DEPARTMENT OF ENERGY (DOE)

SMALL BUSINESS INNOVATION RESEARCH (SBIR)

SMALL BUSINESS TECHNOLOGY TRANSFER (STTR)

FY 2023 PHASE I RELEASE 2

FUNDING OPPORTUNITY ANNOUNCEMENT (FOA) NUMBER:

DE-FOA-0002903
FOA TYPE: NEW
CFDA NUMBER: 81.049

FOA Issue Date: December 12, 2022

Submission Deadline for Letters of Intent: January 3, 2023 5:00 PM Eastern Time
Submission Deadline for Applications: February 23, 2023 11:59 PM Eastern Time
 UPDATES AND REMINDERS

RECOMMENDATION

Please register in all systems as soon as possible, as described in Section VIII of this FOA. You
are also encouraged to submit letters of intent and applications well before the deadline.

NOTE: Due to the high demand of UEI requests and SAM registrations, entity legal
business name and address validations are taking longer than expected to process. Entities
should start the UEI and SAM registration/update process immediately as the processing
time to complete a registration/update currently may take weeks to months. This includes
address and expired registration updates. If entities have technical difficulties with the UEI
validation or SAM registration process they should utilize the HELP feature on SAM.gov.
SAM.gov will work entity service tickets in the order in which they are received and asks
that entities not create multiple service tickets for the same request or technical issue.
Additional entity validation resources can be found here: GSAFSD Tier 0 Knowledge Base
- Validating your Entity.

FOREIGN RELATIONSHIPS DISCLOSURE FORM

The SBIR/STTR Extension Act of 2022 requires each small business concern to disclose ties to
foreign relationships with its application for a Small Business Innovation Research (SBIR)/Small
Business Technology Transfer (STTR) award. Please refer to Section IV.D for details.

TECHNICAL AND BUSINESS ASSISTANCE

DOE has changed the terminology associated with technical and business assistance to be
consistent with statutory references and terminology at other agencies. In the FOA, the term
technical and business assistance (TABA) is used in place of commercialization assistance that
was used in past FOAs.

COMMERCIALIZATION HISTORY REPORT

DOE has changed the reporting requirements for the commercialization history report.

HOW TO SUBMIT COMMERCIALIZATION HISTORY FOR STTR-ONLY APPLICATIONS

Review the instructions for how to submit the commercialization history for STTR-only
applications.

CURRENT AND PENDING SUPPORT AND BIOSKETCHES

The instructions for the content of current and pending support and biosketches have changed.
Please read the instructions carefully and follow them.

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INTERAGENCY FORMATS FOR CURRENT AND PENDING SUPPORT AND BIOGRAPHICAL SKETCHES

Interagency common instructions for preparing current and pending support and biographical
sketches are being developed. The Science Experts Network Curriculum Vitae (SciENcv) system
at https://www.ncbi.nlm.nih.gov/sciencv/ will be updated to support the forthcoming common
instructions and formats. The fillable PDFs at
https://nsf.gov/bfa/dias/policy/nsfapprovedformats/ may not be available in the future. When
interagency common formats and instructions are promulgated, their use will be required. SC
strongly encourages all researchers to use the online SciENcv system to ensure that their
documents are prepared in the appropriate format with the least inconvenience.

REPORTING AND ADMINISTRATIVE REQUIREMENTS

DOE is implementing enhanced reporting requirements for applications and awards. Reporting
and administrative requirements, including but not limited to those pertaining to other sources of
support and potential conflicts of interest or commitment, are subject to change before the
Federal award date. The terms and conditions of award will specify changed requirements:
Applicants have the right to reject any proposed awards. Terms and conditions may be modified
at the time of an award modification: Recipients have the right to reject such modifications and
allow an award to expire.

AVOIDING ERRORS

The following advice is compiled from actual experiences of applicants for financial assistance
awards:
 Please ensure that the research narrative is comprised of one and only one Portable
Document Format (PDF) file, including all appendices, when it is attached to the SF-
424(R&R) form.
 Please ensure that all attachments to your application have filenames of less than 50
characters.
 When using the PAMS website at https://pamspublic.science.energy.gov, please avoid using
the back-arrow button in your web browser to navigate.
 Please ensure that the application contains no sensitive or protected Personally Identifiable
Information (PII).
 Please ensure that the budget is calculated using the applicable negotiated indirect cost and
fringe benefit rates.

Online assistance is available for application preparation: https://science.osti.gov/SBIRLearning.

GRANTS.GOV WORKSPACE

Applications submitted through Grants.gov at https://www.Grants.gov must be submitted

through a “Workspace,” or through an applicant’s system-to-system software. Workspace
permits members of a team to simultaneously work on their application in an online collaborative
environment. Application forms may exist as both online webforms and downloadable forms.

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More information is available at https://www.grants.gov/web/grants/applicants/workspace-
overview.html.

WHERE TO SUBMIT

Applications must be submitted through Grants.gov to be considered for award. You cannot
submit an application through Grants.gov unless you are registered. Please read the registration
requirements carefully and start the process immediately. See Section VIII of the FOA for more
information.

WHERE TO FIND THE TOPICS

To download the FY 2023 Phase I Release 2 Topics in a searchable PDF file, please visit the
DOE SBIR/STTR website by clicking on the following link:
https://science.osti.gov/sbir/Funding-Opportunities.

DON’T FAIL THE INITIAL REVIEW

The number one reason applications are declined without merit review is applicants fail to
submit a letter of intent or to submit required documents as specified Section VIII, A. Also, be
sure not to exceed the maximum award budget associated with an individual topic.

PHASE I PRINCIPAL INVESTIGATOR MEETING

Phase I Principal Investigators are expected to attend a DOE SBIR/STTR Phase I Principal
Investigator Meeting. This two-day meeting will be held in the DC metro area. Applicants may
include the registration cost ($250) and Principal Investigator travel in their Phase I budget and,
if necessary, registration cost ($250) and travel expenses for a person from the small business
representing the commercialization interests of the company to attend the DOE SBIR/STTR
Phase I Principal Investigator Meeting.

GET ASSISTANCE WITH YOUR APPLICATION

If you are applying for a DOE SBIR or STTR grant for the first time, you may be able to get
assistance with completing your Phase I application through DOE’s Phase 0 assistance
program. Learn more.

PDF GENERATION

The research narrative in an application must be one single machine-readable PDF file that
contains the DOE Title Page, project narrative, and all required appendices. This single PDF file
may not be scanned from a printed document and must be attached in Field 8 on the Grants.gov
form. This must be a plain PDF file consisting of text, numbers, and images without editable
fields, signatures, passwords, redactions, or other advanced features available in some PDF-
compatible software. Do not use PDF portfolios or binders. The research narrative will be read
by SC staff using the full version of Adobe Acrobat: Please ensure that the narrative is readable

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in Acrobat. If combining multiple files into one research narrative, ensure that a PDF portfolio or
binder is not created. If creating PDF files using any software other than Adobe Acrobat, please
use a “Print to PDF” or equivalent process to ensure that all content is visible in the research
narrative. Once a research narrative has been assembled, please submit the combined research
narrative file through a “Print to PDF” or equivalent process to ensure that all content is visible
in one PDF file that can be viewed in Adobe Acrobat.

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 TABLE OF CONTENTS

UPDATES AND REMINDERS ..................................................................................................... 2 

SECTION I – FUNDING OPPORTUNITY DESCRIPTION......................................................... 8 
GENERAL INQUIRIES ABOUT THIS FOA SHOULD BE DIRECTED TO: ....................................................... 8 
STATUTORY AUTHORITY ................................................................................................................................... 8 
APPLICABLE REGULATIONS .............................................................................................................................. 8 
SUMMARY .............................................................................................................................................................. 8 
A. PHASE I ............................................................................................................................................................... 8 
B. FAST-TRACK (COMBINED PHASE I AND PHASE II) .................................................................................. 9 
C. SBIR/STTR PROGRAM OBJECTIVES ........................................................................................................... 10 
D. TECHNOLOGY TRANSFER OPPORTUNITY ............................................................................................... 11 
SECTION II – AWARD INFORMATION ................................................................................... 12 
A. TYPE OF AWARD INSTRUMENT ................................................................................................................. 12 
B. ESTIMATED FUNDING ................................................................................................................................... 12 
C. MAXIMUM AND MINIMUM AWARD SIZE................................................................................................. 12 
D. EXPECTED NUMBER OF AWARDS ............................................................................................................. 12 
E. ANTICIPATED AWARD SIZE ......................................................................................................................... 12 
F. PERIOD OF PERFORMANCE .......................................................................................................................... 12 
G. TYPE OF APPLICATION ................................................................................................................................. 13 
SECTION III – ELIGIBILITY INFORMATION ......................................................................... 14 
A. ELIGIBLE SBIR AND STTR APPLICANTS ................................................................................................... 14 
B. PARTICIPATION BY FEDERALLY FUNDED RESEARCH AND DEVELOPMENT CENTERS .............. 17 
C. COST SHARING ............................................................................................................................................... 18 
F. RESTRICTIONS ON SUBMITTING APPLICATIONS ...................................................................................19 
G. RESTRICTIONS ON THE LEVEL OF SMALL BUSINESS PARTICIPATION – PHASE I ......................... 21 
H. RESTRICTIONS ON THE LEVEL OF SMALL BUSINESS PARTICIPATION – FAST-TRACK ............... 22 
I. GENERAL REQUIREMENTS AND RESTRICTIONS ON THE PI ................................................................. 22 
J. RESTRICTIONS ON THE MANAGEMENT OF SBIR/STTR PROJECTS ..................................................... 23 
SECTION IV – APPLICATION AND SUBMISSION INFORMATION.................................... 25 
A. ADDRESS TO REQUEST APPLICATION PACKAGE .................................................................................. 25 
B. LETTER OF INTENT AND PRE-APPLICATION ........................................................................................... 25 
C. GRANTS.GOV APPLICATION SUBMISSION AND RECEIPT PROCEDURES ......................................... 26 
D. CONTENT AND APPLICATION FORMS (PHASE I ONLY) ........................................................................ 26 
E. CONTENT AND APPLICATION FORMS (FAST-TRACK ONLY)............................................................... 42 
F. SUBMISSIONS FROM SUCCESSFUL PHASE I APPLICANTS ................................................................... 60 
G. SUBMISSION DATES AND TIMES................................................................................................................ 60 
H. INTERGOVERNMENTAL REVIEW............................................................................................................... 62 
I. FUNDING RESTRICTIONS............................................................................................................................... 62 
SECTION V – APPLICATION REVIEW INFORMATION ....................................................... 64 
A. CRITERIA.......................................................................................................................................................... 64 
B. REVIEW AND SELECTION PROCESS .......................................................................................................... 65 
C. ANTICIPATED NOTICE OF SELECTION AND GRANT START DATES .................................................. 68 
SECTION VI – AWARD ADMINISTRATION INFORMATION .............................................. 69 
A. AWARD NOTICES ........................................................................................................................................... 69 
B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS ............................................................ 70 
C. REPORTING ...................................................................................................................................................... 70 
SECTION VII – QUESTIONS/AGENCY CONTACTS .............................................................. 72 
A. QUESTIONS ...................................................................................................................................................... 72 
B. AGENCY CONTACTS...................................................................................................................................... 72 
C. DOE, OFFICE OF INSPECTOR GENERAL HOTLINE: ................................................................................. 73 

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SECTION VIII – SUPPLEMENTAL INFORMATION .............................................................. 74 
A. HOW-TO GUIDES ............................................................................................................................................ 74 
B. POLICY PROVISIONS ..................................................................................................................................... 94 
C. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS ............................................................ 95 
D. REFERENCE MATERIAL.............................................................................................................................. 105 

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 SECTION I – FUNDING OPPORTUNITY DESCRIPTION

GENERAL INQUIRIES ABOUT THIS FOA SHOULD BE DIRECTED TO:

TECHNICAL/SCIENTIFIC PROGRAM CONTACT:

Please refer to the appropriate DOE Program Manager listed after each subtopic in the
accompanying DOE SBIR/STTR Topics document located on the DOE SBIR/STTR Programs
website at https://science.osti.gov/sbir/Funding-Opportunities. Administrative Contact (questions
about budgets and eligibility):

Carl Hebron, (301) 903-5707, [email protected]

STATUTORY AUTHORITY

Section 646 of Public Law 95-91, U.S. Department of Energy Organization Act
Section 9 of the Small Business Act (15 U.S.C. § 638)

APPLICABLE REGULATIONS

Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal
Awards, codified at 2 CFR 200
U.S. Department of Energy Financial Assistance Rules, codified at 2 CFR 910
Size and Eligibility Requirements for the Small Business Innovation Research (SBIR) and Small
Business Technology Transfer (STTR) Programs, codified at 13 CFR 121.701 et seq.

SUMMARY

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

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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.

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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.”

C. SBIR/STTR PROGRAM OBJECTIVES

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 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.

Other than different eligibility requirements (see Section 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.

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 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.

Under Phase III, it is intended that non-SBIR/STTR funds be used by the small business to
pursue commercial applications of the R&D. That is, the non-SBIR/STTR Federal funding pays
for research or R&D meeting DOE mission-related objectives identified by DOE Phases I and II;
non-SBIR/STTR capital provides follow-on developmental funding to meet commercial
objectives for Phase III. Additionally, under Phase III, Federal agencies may award non-
SBIR/STTR funded follow-on grants or contracts to Phase I and Phase II awarded projects for
(1) products or processes that meet the mission needs of those agencies, or (2) further research or
R&D. The competition for SBIR/STTR Phase I and Phase II awards satisfies any competition
requirement of the Federal Property and Administrative Services Act, and the Competition in

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Contracting Act. Therefore, an agency that funds an SBIR/STTR Phase III project is not required
to conduct another competition in order to satisfy those statutory provisions.

The receipt of earlier Phase funding does not represent any commitment or obligation to fund a
later Phase.

D. TECHNOLOGY TRANSFER OPPORTUNITY

A Technology Transfer Opportunity (TTO) is an opportunity for small businesses, in the course
of an SBIR/STTR award, to leverage technology that has been developed at a participating DOE
Research Institution. Please refer to the Topics document associated with this FOA. The TTO
will be described in a particular subtopic and additional information may be obtained by using
the link in the subtopic to the DOE Research Institution that has developed the technology.
Typically, the technology was developed with DOE funding of either basic or applied research at
a DOE Research Institution and is currently available for licensing. The level of technology
maturity will vary, and applicants are encouraged to investigate what work has been done prior
to submitting an application.

Those selected for award under a TTO subtopic, will be able to perform research and
development of the technology during their Phase I or Phase II grants under the Government
Use License. Please note that these are NOT commercial rights allowing an awardee to license,
manufacture, or sell, but only rights to perform research and development during the
performance of the award.

In addition, the DOE Research Institution will provide the grantee, prior to the start of its Phase I
grant, with a no-cost, six-month option to license the technology. A written statement certifying
that the small business and Research Institution have executed at least an option to license any
patents owned by the Research Institution related to the TTO topic will be required after
notification of selection of an award. It will be the responsibility of the small business to
demonstrate adequate progress towards commercialization and to negotiate an extension to the
option or convert the option to a license with the Research Institution. A copy of the option
agreement template will be available at the Research Institution’s website owning the TTO. A
small business’ failure to maintain suitable commercialization rights (at least an option to a
license) could result in delayed work, deferment or removal from the program.

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 SECTION II – AWARD INFORMATION

A. TYPE OF AWARD INSTRUMENT

DOE anticipates awarding grants under this FOA.

B. ESTIMATED FUNDING

Approximately $40,000,000 is expected to be available for new awards under this FOA. Funding
for all awards and future budget periods are contingent upon the availability of funds
appropriated by Congress for the purpose of this program and the availability of future-year
budget authority, and Congressional authorization of the SBIR/STTR programs.

C. MAXIMUM AND MINIMUM AWARD SIZE

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.

Fast-Track Ceiling (i.e., the maximum amount for an individual award made under this FOA):
$1,300,000 or $1,850,000 for SBIR and STTR grants. Refer to the individual topic for its
respective maximum award size.

Floor (i.e., the minimum amount for an individual award made under this FOA): N/A

D. EXPECTED NUMBER OF AWARDS

DOE anticipates making approximately 196 awards under this FOA. SBIR and STTR awards are
subject to the availability of appropriated funds and this FOA does not obligate DOE to make
any awards under Phase I or Fast-Track.

E. ANTICIPATED AWARD SIZE

The anticipated median Phase I award will be approximately $200,000.

F. PERIOD OF PERFORMANCE

DOE anticipates making Phase I awards that will have a period of performance of 6 to 12 months
with a start date of June 26, 2023.

Please note that applications for Phase II are due approximately 9.5 months after the grant start
date. DOE permits periods of performance greater than 9 months to provide funding during the
gap between Phase I and Phase II awards.

Fast-Track: DOE anticipates making awards that will have period of performances of up to 33
months with the project beginning on June 26, 2023.

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G. TYPE OF APPLICATION

DOE will accept new Phase I and Fast-Track applications under this FOA.

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 SECTION III – ELIGIBILITY INFORMATION

A. ELIGIBLE SBIR AND STTR APPLICANTS

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, which are more likely to be constrained by lack
of access to such funding.

Ownership and Control

A majority (more than 50%) of your firm’s equity (e.g., stock) must be directly owned and
controlled by one of the following:
1. One or more individuals who are citizens or permanent resident aliens of the U.S. Each
individual you include as part of the eligible majority ownership of your company must be
either a citizen or permanent resident alien of the U.S. The term “individual” refers only to
actual people—it does not refer to companies or other legal entities of any sort. “Permanent
resident alien” refers to an alien admitted to the U.S. as a lawful permanent resident by the
U.S. Citizenship and Immigration Services.;
2. Other for-profit small business concerns (each of which is more than 50% directly owned and
controlled by individuals who are citizens or permanent resident aliens of the U.S.).; or
3. A combination of (1) and (2) above.

Small Business Concern (SBC)

An SBC is one that, at the time of award for both Phase I and Phase II SBIR/STTR awards,
meets all of the following criteria (time of award is the date when the grant is signed by
Grants/Agreements Officer, and DOE anticipates that this date will be at or around the grant start
date listed in Section II F., Period of Performance, of this FOA):
 Organized for profit, with a place of business located in the U.S., which operates primarily
within the U.S. or which makes a significant contribution to the U.S. economy through
payment of taxes or use of American products, materials or labor;
 Is in the legal form of an individual proprietorship, partnership, limited liability company,
corporation, joint venture, association, trust or cooperative, except that where the form is a
joint venture, there can be no more than 49% participation by foreign business entities in the
joint venture;
 Meets the Ownership and Control requirements stated above; and
 Has, including its affiliates, not more than 500 employees and meets the other regulatory
requirements found in 13 CFR 121. Business concerns, other than investment companies

14
 licensed, or state development companies qualifying under the Small Business Investment
Act of 1958, 15 U.S.C. 661, et seq., are affiliates of one another when either directly or
indirectly, (a) one concern controls or has the power to control the other; or (b) a third-
party/parties controls or has the power to control both. Control can be exercised through
common ownership, common management, and contractual relationships. The term
“affiliates” is defined in greater detail in 13 CFR 121. The term “number of employees” is
defined in 13 CFR 121.

Additional Information
A joint venture, as defined in Appendices/Reference Material, may apply, provided the entity
created also qualifies as an SBC at the time of the award.

SBCs that are majority-owned by multiple venture capital operating companies, hedge funds, or
private equity firms, or any combination of these, are not eligible for funding under this FOA.
SBCs must meet this criterion at both time of submission and time of award.

If a size determination of your firm is conducted, you may be asked to show proof of ownership.

Further information on eligibility for the SBIR/STTR programs is available from the Small
Business Administration at https://www.sbir.gov/faqs/eligibility-requirements.

SBC’s submitting to both the SBIR and STTR programs must meet eligibility requirements of
both SBIR and STTR applicants. If an application is submitted to both programs but fails to meet
the eligibility requirements for one of the programs, it will only be considered for the one
program for which it does meet the eligibility requirements.

There are two eligibility requirements associated with prior progress from Phase I to II (Phase I
to Phase II Transition Rate Benchmark) and from Phase II to Phase III (Commercialization Rate
Benchmark):

 To be eligible to submit a DOE Phase I SBIR or STTR application, the applicant must
meet the Phase I to Phase II Transition Rate Benchmark as required by the SBIR/STTR
Reauthorization Act of 2011. The Transition Rate Benchmark applies only to SBIR and
STTR Phase I applicants that have received more than 20 Phase I awards over the past
five fiscal years, excluding the most recently completed fiscal year. For these companies,
the benchmark establishes a minimum number of Phase II awards the company must
have received for a given number of Phase I awards received during the five-year time
period in order to be eligible to receive a new Phase I award. This requirement does not
apply to companies that have received 20 or less Phase I awards over the five-year
period.
 The Commercialization Rate Benchmark applies only to SBIR and STTR Phase I
applicants that have received more than 15 Phase II awards during the past 10 fiscal
years, excluding the two most recently completed fiscal years. For these companies, this
benchmark establishes the minimum levels of commercialization activity a company
must have achieved to-date that result from its Phase II awards from this 10-year period
of time. SBCs are encouraged to update commercialization results for their prior

15
 SBIR/STTR awards at SBIR.gov to ensure accuracy in assessing the Commercialization
Rate Benchmark.

On June 1 of each year, SBIR/STTR awardees registered on SBIR.gov are assessed to determine
if they meet the benchmark requirements. Companies that fail to meet the transition rate
benchmark on June 1, 2022 are not eligible to submit a Phase I application during the period
June 1, 2022 through May 31, 2023.

The Transition Rate is calculated as the total number of SBIR and STTR Phase II awards a
company received during the past five fiscal years divided by the total number of SBIR and
STTR Phase I awards it received during the past five fiscal years, excluding the most recently
completed year. The benchmark minimum Transition Rate is currently 0.25.

The Commercialization Rate is calculated as the total revenues and additional investment to-date
that have resulted from Phase II awards received during the past ten fiscal years, excluding the
two most recently completed fiscal years, divided by the total number of such Phase II awards
OR the total number of patents resulting from these Phase II awards divided by the total number
of Phase II awards. The Commercialization Rate minimums are currently set at $100,000 for
total revenue/investment and 0.15 for number of patents per Phase II awards. SBA calculates the
individual company Transition and Commercialization Rates using SBIR and STTR award
information across all Federal agencies reported on www.sbir.gov. Companies that fail to meet
these benchmarks are notified directly by the SBA. More information on the Transition Rate and
Commercialization Rate requirements is available at www.sbir.gov.

In accordance with 2 CFR 910.126, Competition, eligibility for award is restricted to SBC’s as
described above.

Increased Minimum Performance Standards

Effective April 1, 2023, an SBC that received or receives more than 50 Phase
II awards during the consecutive period of 10 fiscal years preceding the most recent 2 fiscal
years ("covered period"), must have an average of $250,000 of aggregate sales and investments
per Phase II award received during such covered period. A SBC that received or receives more
than 100 Phase II awards during the consecutive period of 10 fiscal years preceding the most
recent 2 fiscal years ("covered period") must have an average of $450,000 of aggregate sales and
investments per Phase II award received during such covered period.

The SBA is charged with implementation of the increased minimum performance standards.
Each SBC that is subject to an increased minimum performance standard must submit to the
SBA supporting documentation evidencing that all covered sales of the SBC were properly used
to meet the increased minimum performance standard. Covered sales are defined at 15 U.S.C. §
638(qq)(3)(B)(iii)(II).

There are consequences of failure to meet the increased minimum performance standards,
including prohibition against receiving more than 20 total Phase I awards and Phase II awards

16
from each agency during the 1-year period beginning on the date on which such determination is
made.

B. PARTICIPATION BY FEDERALLY FUNDED RESEARCH AND DEVELOPMENT

CENTERS

Federally Funded Research and Development Centers (FFRDC) are not eligible for an award
under this FOA, but they may be proposed as a team member subject to the following guidelines:

1. Authorization for non-DOE/NNSA FFRDCs

The Federal agency sponsoring the FFRDC must authorize in writing the use of the FFRDC on
the proposed project and this authorization must be submitted with the application. The use of an
FFRDC must be consistent with its award and must not place the FFRDC in direct competition
with the private sector.

2. Authorization for DOE/NNSA FFRDCs

The cognizant DOE Contracting Officer must authorize in writing the use of a DOE/NNSA
FFRDC on the proposed project and this authorization should be submitted with the application,
if available. The following wording is acceptable for this authorization.

“Authorization is granted for the (insert name) National Laboratory and its Contractor to
participate in the proposed project entitled _________. The work proposed for the National
Laboratory Contractor is consistent with or complementary to the missions of the Laboratory,
will not adversely impact execution of the DOE/NNSA assigned programs at the Laboratory, and
will not place the Laboratory in direct competition with the domestic private sector.”

Failure to obtain such approval in a timely manner may delay the project if a grant is awarded, as
work may not be performed by the FFRDC until DOE Contracting Officer approval is provided.

3. Responsibility

A successful applicant will be the responsible authority regarding the settlement and satisfaction
of all contractual and administrative issues, including but not limited to, disputes and claims
arising out of any agreement between the applicant and the FFRDC.

CONFLICTS OF INTEREST

Applicants must be aware of potential conflicts of interest in the event their SBIR or STTR
application includes a subcontract to a research institution (e.g., National Laboratory, University,
etc.) and the applicant’s employee(s)/ownership is (are) also an employee(s) of the research
institution. A potential conflict of interest can also arise when an applicant obtains a license or
option license for a TTO from a National Laboratory Contractor and the applicant subcontracts
to the same National Laboratory Contractor for work to be performed in commercializing the

17
TTO. The subcontracted work might either be a Strategic Partnership Project (SPP) or a
Cooperative Research and Development Agreement (CRADA).

Any conflict of interest related to a subcontracted effort with DOE or its contractors shall be
addressed prior to award by providing (to DOE) a statement from the DOE Contracting Officer
at the Laboratory Site Office, that he/she confirmed that the National Laboratory Contractor is
aware of the ownership (or dual employment) and that the National Laboratory Contractor has
conducted a conflict review in accordance with its approved conflict procedures. A similar
statement should be obtained from the Sponsored Program Office or similar business office in
the event the subcontract is with a University or other research institution.

In addition, the recipient shall provide to DOE prior to award, a document detailing how it will
exercise both financial and managerial control over the project and how the recipient will isolate
the Research Institution employee(s) from influencing control of the project.

C. COST SHARING

Cost sharing under this FOA is not required. However, any commercial contribution will be
considered as part of the evaluation.

D. OTHER ELIGIBILITY REQUIREMENTS

All funded research or R&D must be performed in the U.S. for both Phases I and II, except under
exceptional circumstances, for which an explanation must be submitted to DOE and an approval,
if made, has been conveyed in writing by DOE. “U.S.” means the 50 states, the territories, and
possessions of the U.S., the Commonwealth of Puerto Rico, the Republic of the Marshall Islands,
the Federated States of Micronesia, the Republic of Palau, and the District of Columbia. Non-
U.S. citizens are eligible to perform work on SBIR/STTR projects provided they are legally
empowered to work in the U.S. at the time that an award is made and throughout the duration of
the project. That is, a foreign national working on an SBIR/STTR project must NOT be an illegal
alien and must be an immigrant alien or a foreign national visiting the U.S. on an approved visa.

In exceptional circumstances, where expertise or facilities do not exist in the U.S. to perform the
R&D, applicants may propose to perform R&D outside the U.S. in their application. In these
situations, the applicant must clearly justify the need for foreign R&D including details of
domestic experts and facilities that were contacted to make this determination. No pre-approval
of foreign R&D will be granted in advance of the application. DOE will make a determination on
whether performance of R&D outside the U.S. is justified as part of the application review
process. Insufficient justification may result in declination of the application.

None of the employees or owners of the applicant small business may be paid as consultants.
None of the employees or owners of the applicant small business may be employees of a
subcontractor, except when the subcontractor is a research institution. Consultants must not be
employees of any proposed subcontractor. Please note, a person listed on the budget form
(Section A - Key/Senior Person or Section B - Other Personnel) as an employee of the SBC is
required to be either (a) an owner of the business, (b) paid using a W-2 form, or (c) possess an

18
Internal Revenue Service Form SS-8 determination that the person is an employee. Persons
receiving a 1099 (and not possessing an employee determination using Form SS-8) are to be
treated as independent contractors and should be listed on the budget form in Section F - Other
Direct Costs.

An applicant may be required to submit proof that its personnel may legally perform work on
this project before a new, continuation, or transition award is made.

Applicants must include all mandatory documents described in Section IV.D. Failure to include
mandatory documents will result in the declination of the application during initial review.

E. SUBMITTING LETTERS OF INTENT

A single Letter of Intent (LOI) is required for each application and must be received through
PAMS by the deadline printed on the cover of this FOA. Only those applicants for which an
LOI has been received by the due date are eligible to submit an application under this
FOA. DOE uses LOIs to identify reviewers. Therefore, applicants are requested to submit an
LOI only when there is serious intent for submission of an application.

Applicants are limited to submitting a total of 10 different LOIs under this FOA and each LOI
must be uniquely responsive to the topic and subtopic to which it is submitted. Duplicate LOIs
(those containing essentially similar abstracts) will not be accepted to this FOA, only the last
submission will be accepted. If more than 10 LOIs are received under this FOA, only the last 10
LOIs received will be accepted. Please refer to Section IV, B. for LOI content guidance.

F. RESTRICTIONS ON SUBMITTING APPLICATIONS

1. Choice of Topic and Subtopic

Each LOI and application must be submitted to only one topic, including a Technology Transfer
Opportunity topic, if applicable, and, within the topic, to only one subtopic. DOE will not assign
a topic and/or subtopic to applications; this must be done by the applicant. When an application
has relevance to more than one subtopic within a topic, the applicant must decide which subtopic
is the most relevant and submit the application under that subtopic only. Each grant application
must fall within the description of the subtopic and also satisfy any conditions contained in the
introductory section of that topic. Applications that do not directly address the subtopic statement
will not be peer reviewed. The language in both the topic introductions and the subtopics should
be taken literally. Applications with a topic and subtopic that do not match the LOI are
subject to administrative declination.

2. Responsiveness

Applications will be evaluated for responsiveness by DOE technical program experts to ensure
that they (1) meet stated FOA requirements described in Section III - Eligibility Information, and
Section IV, C. and D., (2) identify a topic and subtopic, (3) contain sufficient information for a
meaningful technical review, (4) are for research or for research and development, (5) do not

19
duplicate other previous or current DOE-funded work, and (6) are consistent with program area
mission, policies, and other strategic and budget priorities. Applications failing to pass this initial
review will be declined without further review.

3. Submitting to both SBIR and STTR Programs

Applications that include at least 30%, but not more than 33%, of cooperative research
collaboration with a single research institution may be considered for funding in both SBIR and
STTR programs. Applicants may indicate their interest in being considered for both SBIR and
STTR programs by selecting the appropriate box under “Program Type” on the “SBIR/STTR
Information” form.

4. Submitting to both the Phase I and Fast-Track Program

If two applications (Phase I or Fast-Track) proposing substantively the same work are submitted
to different topics or subtopics, the application with the most recent submission date and time to
Grants.gov will be evaluated

5. Duplicate Applications

Duplicate or substantially similar applications, even if submitted to different topics and/or

subtopics, will be rejected without review. That is, the application with the latest Grants.gov
submission date and time will be the only version considered for evaluation.

6. Multiple Applications

Applicants are limited to submitting a total of 10 different applications under this FOA and each
application must be uniquely responsive to the topic and subtopic to which it is submitted. If
more than 10 applications are received under this FOA, only the last 10 applications received
will be considered for evaluation.

7. Classified Applications

Classified applications are not accepted under the DOE SBIR/STTR Programs and will be
appropriately destroyed. Applications that have a probability of resulting in classified work will
be administratively declined. Applicants are expected to comply with the following clause,
which will be included in any grant awarded:
1) This award is intended for unclassified, publicly releasable research. You will not be granted
access to classified information. DOE/NNSA does not expect that the results of the research
project will involve classified information. Under certain circumstances, however, a
classification review of information originated under the award may be required. The
Department may review research work generated under this award at any time to determine if
it requires classification.
2) Executive Order 13526 (75 Fed. Reg. 707 (January 5, 2010)) states that basic scientific
research information not clearly related to the national security shall not be classified.
Nevertheless, some information concerning (among other things) scientific, technological, or

20
 economic matters relating to national security or cryptology may require classification. If you
originate information during the course of this award that you believe requires classification,
you must promptly:
a) Notify the DOE Project Manager and the DOE Award Administrator;
b) Submit the information by registered mail directly to the Director, Office of
Classification and Information Control, SO-10.2; U.S. Department of Energy; P.O. Box
A; Germantown, MD 20875-0963, for classification review.
c) Restrict access to the information to the maximum extent possible until you are informed
that the information is not classified, but no longer than 30 days after receipt by the
Director, Office of Classification and Information Control.
3) If you originate information concerning the production or utilization of special nuclear
material (i.e., plutonium, uranium enriched in the isotope 233 or 235, and any other material
so determined under section 51 of the Atomic Energy Act) or nuclear energy, you must:
a) Notify the DOE Project Manager and the DOE Award Administrator;
b) Submit the information by registered mail directly to the Director, Office of
Classification and Information Control, SO-10.2; U.S. Department of Energy; P. O. Box
A; Germantown, MD 20875-0963 for classification review within 180 days of the date
the recipient first discovers or first has reason to believe that the information is useful in
such production or utilization; and
c) Restrict access to the information to the maximum extent possible until you are informed
that the information is not classified, but no longer than 90 days after receipt by the
Director, Office of Classification and Information Control.
4) If DOE determines any of the information requires classification, you agree that the
Government may terminate the award with consent of the recipient in accordance with 2 CFR
200.340(a)(3). All material deemed to be classified must be forwarded to the DOE, in a
manner specified by DOE.
5) If DOE does not respond within the specified time periods, you are under no further
obligation to restrict access to the information.

G. RESTRICTIONS ON THE LEVEL OF SMALL BUSINESS PARTICIPATION –

PHASE I

For both SBIR and STTR Programs, there are requirements on the amount of the research or
analytical effort that must be performed by the small business in order to be selected for and to
receive a grant. The research or analytical effort is defined as the total requested funding minus
the cost of any work performed by a consultant, a DOE National Laboratory contractor, and any
other subcontractor, including TABA. Please refer to the Level of Effort & Max Funding
Worksheet on the DOE SBIR/STTR Programs home page, under Application Resources to assist
you in assuring the application is in compliance.

1. SBIR Restrictions on Level of Small Business Participation

To be awarded an SBIR Phase I grant, a minimum of two-thirds or 67% of the research or

analytical effort must be carried out by the applicant during Phase I; correspondingly, a
maximum of one-third or 33% of the effort may be performed by an outside party such as
consultants or subcontractors.

21
2. STTR Restrictions on Level of Small Business Participation

To be awarded an STTR Phase I grant, at least 40% of the research or analytical effort must be
performed by the applicant, and at least 30% of the effort must be performed by a single research
institution.

H. RESTRICTIONS ON THE LEVEL OF SMALL BUSINESS PARTICIPATION –

FAST-TRACK

1. SBIR Restrictions on Level of Small Business Participation

Under Fast-Track, to be awarded an SBIR Phase I grant, a minimum of two-thirds or 67% of the
research or analytical effort must be carried out by the small business applicant during Phase I;
correspondingly, a maximum of one-third or 33% of the effort may be performed by an outside
party such as consultants or subcontractors. During the Phase II portion of the Fast-Track, at
least 50 percent of the research or analytical effort must be performed by the small business.
Accordingly, at least 50 percent of the total funding requested on the budget form, excluding
any purchased or leased equipment, materials, and supplies (whether purchased by the applicant
or a subcontractor), must be allocated to the small business.

2. STTR Restrictions on Level of Small Business Participation

STTR awards will be made to small businesses for cooperative R&D to be conducted jointly
with a research institution. At least 40 percent of the work must be performed by the small
business, and at least 30 percent of the work must be performed by a single research institution.
The research institution must be the same as that used in the Phase I research, except under very
unusual circumstances, for which an explanation must be submitted to the DOE and an approval,
if made, will be conveyed in writing by the DOE. Accordingly, at least 40 percent of the total
funding requested on the budget form, excluding any purchased or leased equipment, materials,
and supplies (whether purchased by the applicant, the research institution, or a subcontractor),
must be allocated to the small business, and at least 30 percent must be allocated to a single
research institution.

I. GENERAL REQUIREMENTS AND RESTRICTIONS ON THE PI

The Principal Investigator (PI) is the key individual designated by the applicant to direct the
project. Only one PI is acceptable per project. Co-PIs are not allowed and should not be
proposed. The PI must be identified by name at time of application, knowledgeable in all
technical aspects of the application, and be capable of leading the research effort. The PI must be
primarily employed by the either the small business (SBIR or STTR) or Research Institution
(STTR only) by the start date of the award. DOE’s evaluation of the application is critically
dependent on the qualifications of the PI. Any changes in the PI that are made after award
selection are strongly discouraged and must be pre-approved by DOE. Requests for PI changes
will be closely scrutinized and may cause delays in grant execution.

22
A Phase I PI is required to devote to the project a considerable part of his or her time.
“Considerable” means a minimum average of three hours per week for the duration of the project
for both SBIR and STTR Phase I projects. The number of PI hours must be reported in the
budget justification. The SF-424 (R&R) Project Narrative must state the duration of the project
in weeks. In order to ensure appropriate technical guidance for the project, only one PI will be
accepted per project. Before a grant is awarded, the applicant will be required to sign a statement
certifying adherence to these requirements.

A Fast-Track PI is required to devote to the Phase II project a minimum average of five hours per
week for the duration of the Phase II project. For example, a two-year project, lasting 104 weeks,
would require a commitment of 520 hours. The SF 424 (R&R) Project Narrative must state the
duration of the project in weeks, if the project is to be completed in less than two years, in order
to demonstrate that this requirement is fully met in order to ensure appropriate technical
guidance for the project, only one PI will be accepted per project. Processing of applications that
include co-PIs may be delayed while the error is corrected by the applicant. Before a grant is
awarded, the applicant will be required to sign a statement certifying adherence to these
requirements.

1. Additional PI Restrictions when submitting to SBIR Program Only

To be awarded a Phase I SBIR grant, the applicant must meet the general requirements and the
PI’s primary employment must be with the applicant at the time of award and during the conduct
of the proposed research. Primary employment means that no less than 20 hours per week is
spent in the employment of the applicant during the conduct of the project and no more than 19
hours per week spent in the employment of another organization.

2. Additional PI Restrictions when submitting to STTR Program Only

To be awarded a Phase I STTR grant, the applicant must meet the general requirements and the
PI’s primary employment may be with the applicant or the research institution. However, the
applicant must still provide technical control and oversight of the project. If the PI is employed
by the research institution, his or her primary employment (at least 20 hours per week)
must be with the research institution in order to qualify under STTR and the research
institution must provide at least 30% of the research effort. The PI’s hours must be budgeted
under the organization of his or her primary employment.

3. PI Restrictions when submitting to both SBIR and STTR Programs

Applicants submitting to both programs must adhere to the PI restrictions set forth. Therefore, if
the PI is employed by the applicant, the applicant is eligible to submit to both programs.
However, in cases where the PI is employed by the research institution, the application will only
be considered under the STTR Program.

J. RESTRICTIONS ON THE MANAGEMENT OF SBIR/STTR PROJECTS

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All SBIR and STTR funding agreements are made with the applicant regardless of the proportion
of the work or funding of each of the performers (small business, research institution,
subcontractor, etc.) under the grant. As the grantee, the applicant has the overall responsibility of
the project, including financial management and the direction and control of the performance.
For STTR projects, where the PI is employed by the research institution, the applicant will
maintain the overall supervision of the project, while the PI will manage the research portion of
the project.

All agreements between the applicant and any subcontractor (including the research institution
collaborating in an STTR project) are required to reflect the controlling management position of
the applicant during the performance of the Phase I and/or Phase II project. This includes, but is
not limited to, any business plan concerning agreements and responsibilities between the parties
or for the commercialization of the resulting technology or regarding assignments from a DOE
National Laboratory Contractor for a Technology Transfer Opportunity.

24
 SECTION IV – APPLICATION AND SUBMISSION INFORMATION

A. ADDRESS TO REQUEST APPLICATION PACKAGE

Application forms and instructions are available at Grants.gov. To access these materials, go to
https://www.Grants.gov, select “Apply for Grants”, and then select “Download a Grant Application
Package.” Enter the Code of Federal Domestic Assistance (CFDA) number (81.049) and/or the FOA
number shown on the cover of this FOA and then follow the prompts to download the application
package.

Applications submitted through www.FedConnect.net will not be accepted. Applications may not
be submitted through PAMS (https://pamspublic.science.energy.gov/).

B. LETTER OF INTENT AND PRE-APPLICATION

1. Letter of Intent (LOI)

A letter of intent (LOI) is required and must be submitted by the SBC to PAMS and is due by the
date printed on the cover of this FOA. Only those applicants that submit an LOI to PAMS which
is received by DOE by the due date are eligible to submit an application under this FOA.

Detailed instructions about how to submit an LOI to PAMS are in Section VIII of this FOA.
 Your LOI must contain the following information:
o Business Official name and contact information (telephone number and email
address).
o Name(s) of any proposed subcontractor(s) or consultant(s), if any.
o Designate that you are submitting a Phase I or Fast-Track application.
o Your designation must be the same for your LOI and your full application. You
cannot designate your LOI as “Phase I” and then subsequently designate your full
application as “Fast-Track.”
o Technical abstract that sufficiently describes your technology and application. The
abstract should not exceed 500 words and two pages, and it must provide sufficient
technical depth to allow DOE to assign technical reviewers for your application.
Please note that your abstract should not contain any proprietary information.
The technical abstract in the LOI will be used by DOE Program Managers to determine the
number of independent scientific and engineering experts that may be required to conduct the
application reviews process identified in Section V – Application Review Information.
Therefore, the innovation described in the LOI technical abstract, and the application should be
substantially the same. Substantial changes in the proposed innovation from that described in the
technical abstract may result in declination of the application during initial review.

DOE will not provide a letter of encouragement in response to your LOI. Feedback will only be
provided to those applicants where the proposed R&D described in the LOI appears to be
nonresponsive to the selected topic and subtopic. DOE anticipates providing this feedback within
three weeks of the LOI deadline. LOIs must be submitted by eligible small business applicants
only. LOIs will not be accepted from research institutions or other partners.

25
Collaborative Proposals: Each small business applicant in a collaborative proposal must submit
an LOI.
Please visit the DOE SBIR/STTR Programs website under “Applicant Resources“ for an LOI
example.

2. Pre-Applications

Pre-Applications are not sought under this FOA.

C. GRANTS.GOV APPLICATION SUBMISSION AND RECEIPT PROCEDURES

Applications in response to this FOA must be submitted through Grants.gov. Detailed

instructions for registering in and using Grants.gov are in Section VIII of this FOA.

D. CONTENT AND APPLICATION FORMS (PHASE I ONLY)

For detailed application, forms, and other applicant information, please see the “Instructions for
Completing a DOE SBIR/STTR Phase I Grant Application“ located on the DOE SBIR/STTR
Programs Office website under “Preparing a DOE SBIR/STTR Phase I Grant Application” at
https://science.osti.gov/sbir/Applicant-Resources/Grant-Application. If there are any
inconsistencies between the information provided in the FOA and the “Instructions for
Completing a DOE SBIR/STTR Phase I Grant Application,” the information contained in the
FOA prevails.

For questions regarding the preparation of an application, you may call the DOE SBIR/STTR
Operations Support Staff at (301) 903-5707 or via email at [email protected].

Please note, you may only use the following UTF-8 characters when naming your application
attachments: A-Z, a-z, 0-9, underscore (_), hyphen (-), space ( ), and period (.). You must limit
the file name to 50 or fewer characters. Attachments that do not follow this rule may cause the
entire application to be rejected or cause issues during processing. Each attached file must have a
unique filename (for example, don’t use “budget justification” for both the total budget
justification and a subaward budget justification).

1. SF-424 (R&R), Application for Federal Assistance [MANDATORY]:

Complete this form first to populate data in other forms. The list of certifications and assurances
referenced in Field 17 is available on the DOE Financial Assistance Forms Page at
https://energy.gov/management/office-management/operational-management/financial-
assistance/financial-assistance-forms under Certifications and Assurances.

Applicants are bound by their representations and certifications in SAM.gov.

Complete all the required fields in accordance with the pop-up instructions on the form. Please
ensure that the Project Title in field 11 of the SF-424 is identical to the title listed on your Project
Narrative cover page and the title listed in our LOI. The project title must be the same as

26
submitted in your LOI; applications not meeting this requirement may be administratively
declined.
Use 06/26/2023 as the proposed project start date.

Notice: By signing the SF-424, you are certifying that the statements contained in the SF-
424 and all other documents submitted as part of your application are true, complete, and
accurate to the best of your knowledge. DOE relies on your certification and all
documents submitted as part of your application which includes all mandatory, required,
and optional information identified in this FOA. Further, DOE relies on all information
that you voluntarily provide which was not requested in this FOA. All information and
documents provided by you materially affects the decision to make an award even if the
information is not listed as a review criterion in Section V. of this FOA.

UEI AND EIN NUMBERS (FIELDS 5 AND 6)

The UEI and Employer Identification Number (EIN) fields on the SF-424 (R&R) form are used
in PAMS to confirm the identity of the individual or organization submitting an application. The
UEI is assigned by SAM.
. • Enter each number as a nine-digit number.
• Do not use hyphens or dashes.
• SC does not use the twelve-digit EIN format required by some other agencies

2. RESEARCH AND RELATED Other Project Information: [MANDATORY]

Complete questions 1 through 6 and attach files. If the answer to question 3 is “Yes”, you must
identify proprietary information with a legend on the first page of your attached Project Narrative
document and on each page that contains proprietary information in accordance with instructions
provided in Section VIII, C. Failure to comply may result in DOE’s inability to treat such
information as proprietary and may delay the grant process.

NOTE CONCERNING QUESTION 1.

Applicants that plan to include human subjects as part of their research, should be aware
that there are requirements that must be met for this type of research to be federally
funded. Please refer to the following webpage to learn about these requirements:
https://science.osti.gov/ber/human-subjects

NOTE CONCERNING QUESTION 4.A.

DOE understands the phrase in field 4.a., “potential impact – positive or negative - on the
environment”, to apply if the work described in the application could potentially have any
of the impacts listed in (1) through (5) of 10 CFR 1021, Appendix B, Conditions that are
Integral Elements of the Classes of Action. See Subpart D – Typical Classes of Actions,
Appendix B to Subpart D of Part 1021 – Categorical Exclusions Applicable to Specific
Agency Actions; B. Conditions that are Integral Elements of the Classes of Actions in
Appendix B. (See www.ecfr.gov.)

Additionally, for actions that could have any other negative high consequence impacts to
the environment or have any possibility for negative high consequence impacts to human

27
 health (e.g., use of human subjects, biosafety level 3-4 laboratory construction/operation,
manufacture or use of certain nanoscale materials known to impact human health, or any
activities involving transuranic or high level radioactive waste or materials or exposure to
any radioactive materials beyond de minimis levels), applicants should indicate “Yes”
under 4.a. and then start their explanation under 4.b. with “Negative potential impact;”
followed by their explanation.

Moreover, applicants should indicate potential negative impact on the environment if: 1)
there would be extraordinary circumstances (i.e., scientific or public controversy) related
to the significance of environmental effects [10 CFR 1021.410(b)(2)], 2) the work is
connected to other actions with potentially significant impacts [10 CFR 1021.410(b)(3)],
or 3) the work is related to other nearby actions with the potential for cumulatively
significant impacts [10 CFR 1021.410 (b)(3)].

If question 4.a. is answered “Yes”, due to actual or potential negative impact(s) on the
environment, the applicant will be required to complete the form entitled “National
Environmental Policy Act (NEPA) Environmental Evaluation Notification Form” (SC-
CH Form 560) upon request by the DOE Contracting Officer.

Lastly, if question 4.a. is answered yes due to an actual or potential positive impact on the
environment, applicants should indicate “Yes” under 4.a. and then start their explanation
under 4.b. with “Positive potential impact;” followed by their explanation.

For fields 7 through 12, the files that are attached must comply with the following instructions:

PROJECT ABSTRACT AND SUMMARY (FIELD 7 ON THE FORM) [MANDATORY]

The Project Abstract and Summary must contain a summary of the proposed activity suitable for
dissemination to the public. This document must not include any proprietary or sensitive
business information as DOE may make it available to the public. The Project Abstract and
Summary must not exceed one page. Save this information in a file named “Summary.pdf,” and
click on “Add Attachment” to attach it.

The purpose of the Project Abstract and Summary is to communicate the overall sense of the
combined Phase I and Phase II project, not every step of the work plan or every accomplishment.

Statements of future applications or benefits belong in the section on Commercial Applications

and Other Benefits. Do not use acronyms, abbreviations, first-person references, or any proper
names (including the name of the small business, any subcontractors or institutions, or any trade
or product name) in the body of the summary.

The header must include:

 Company Name
 Project Title
 Principal Investigator
 Topic number/Subtopic letter, e.g. 12b

28
The body must include:
 Statement of the problem or situation that is being addressed in your application. Describe
the problem or situation being addressed—be sure that the DOE interest in the problem is
clear, but not in such a way that implies that any services or products are being provided for
the direct benefit of DOE rather than for the advancement of a public purpose. (Typically one
to three sentences).
 General statement of how this problem is being addressed. This is the overall objective of the
Phase I project. How is this problem being addressed? What is the overall project approach?
(Ideally, two to four sentences).
 What is to be done in Phase I? (Typically three to four sentences).
 Commercial Applications and Other Benefits (limited to the space provided). Summarize the
future applications or public benefits if the project is carried over into Phase II or Phase III
and beyond. Do not repeat information already provided above.
 Key Words - Provide listing of key words that describe this effort.
 Summary for Members of Congress: (layperson’s terms, two sentences, and maximum 100
words). DOE notifies members of Congress of grants in their districts. Therefore, please
provide, in clear and concise layperson’s terms, a very brief (100 words or less) summary of
the project, suitable for use in a press release from DOE or a Congressional office. The
summary should address the relevant problem (why is this project necessary and why did it
merit DOE funding?) and the anticipated solution (what does the project hope to accomplish
and how will it address the problem?). Two examples of appropriate summaries are provided
below
o “The next generation “atom smashers” will require dipole magnets of very high
magnetic field. This proposal will explore innovative block coil designs that can be
used to make magnets shorter and more reliable.”
o “Computer simulation is a crucial step in developing clean nuclear energy
generators, but the simulation process is currently so complex and esoteric that new
users are discouraged from entering the field. This proposal will simplify the
simulation process and the software interface to encourage new investment in nuclear
energy.”

PROJECT NARRATIVE: (FIELD 8 ON THE FORM) [MANDATORY]

The Project Narrative is considered the main portion of the grant application and must specify
clear, measurable goals and milestones that should be achieved in Phase I.

Phase I applications must propose research and development required to meet the DOE
objectives stated in the technical topic of the FOA and provide sufficient information to convince
DOE and members of the research community who review the application that it is worthy of
support under the stated evaluation criteria in Section V.

For Phase I there is a 15-page, 7,500 words (10-point minimum font size) of text limitation on
the Project Narrative, which includes the cover page. Please note that the word limit applies to
the text in the body of the Project Narrative and does not include words in tables and graphs.
Also, sections such as the budget, budget justification, key personnel, and commercialization

29
plan should not be included in the Project Narrative but attached in the appropriate fields for
those forms.

The application should be written succinctly using the outline below. To attach a Project
Narrative, click “Add Attachment.”

Using the outline below, the Project Narrative must include ALL of the following:

 Cover page – Provide company-specific and project information including company name
and address, principal investigator, project title, topic number, and subtopic letter.
 Proprietary Data Legend (Proprietary Application Information – Trade Secrets, Commercial,
or Financial Information) – If applicable, see Section VIII, C. If your application contains
trade secrets or commercial or financial information, you must include the Notice of
Restriction on Disclosure and Use of Data on the first page of your Project Narrative in
accordance with guidance under Section VIII (Proprietary Application Information, Trade
Secrets, Commercial or Financial Information) of this FOA.
 Identification and Significance of the Problem or Opportunity, and Technical Approach –
Define the specific technical problem or opportunity addressed by your application. Provide
enough background information so that the importance of the problem/opportunity is clear.
Indicate the overall technical approach to the problem/opportunity and the part that the
proposed research plays in providing needed results.
 Anticipated Public Benefits – Discuss the technical, economic, social, and other benefits to
the public as a whole anticipated if the project is successful and is carried over into Phases II
and III. Identify specific groups in the commercial sector as well as the Federal Government
that would benefit from the projected results. Describe the resultant product or process, the
likelihood that it could lead to a marketable product, and the significance of the market.
 Technical Objectives - State the specific technical objectives for the Phase I research and
development.
 Work Plan – This section should be a substantial part of the application. Provide an explicit,
detailed description of the Phase I research approach and work to be performed. Indicate
what will be done, the qualifications of the team (principal investigator, key personnel,
subcontractors and consultants) to execute the project, where it will be done, and how the
work will be carried out.
 Link the Work Plan to the Technical Objectives of the proposed project. Discuss methods
planned to achieve each objective or task explicitly and in detail. Be sure to address how the
research or research and development effort could lead to a product, process, or service if
funded beyond Phase I. Show how the management direction and control of the project will
be assured. Regardless of the proportion of the work or funding of each of the performers
under the grant, the applicant is to be the primary grantee with overall responsibility for its
performance.
 Performance Schedule - The Phase I budget period may be less than, but no longer than 12
months. Briefly describe the important milestones to be achieved and the estimated amount
of time for completing each task described in the Work Plan. Please be aware that your Phase
II application will be due approximately 9.5 months after the project start date. Critical
milestones that will be important to include in your Phase II application should be completed
in the first 9 months of your project.

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 Facilities/Equipment - Describe available equipment and physical facilities necessary to carry
out the Phase I effort. Equipment is defined as an article of tangible, nonexpendable, personal
property, including exempt property, charged directly to the grant, having a useful life of
more than one year and an acquisition cost of $5,000 per unit or more. Items of equipment to
be leased or purchased must be described and justified in this section. Title to equipment
purchased under this grant lies with the government. It may be transferred to the grantee
where such transfer would be more cost effective than recovery of the property by the
government. Grantees wishing to obtain title should contact their contract specialist prior to
project completion for the procedure to follow to make such a request. If the equipment,
instrumentation, and facilities are not the property of the applicant and are not to be
purchased or leased, the source must be identified and their availability and expected costs
specifically confirmed in this section. A principal of the organization that owns or operates
the facilities/equipment must provide written verification regarding the availability and cost
of facilities/equipment and any associated technician cost. Small businesses may get credit
for obtaining this equipment as an in-kind Phase II commercial contribution.
American-Made - To the extent possible in keeping with the overall purposes of the program,
only American-made equipment and products should be purchased with the funds provided
by the financial assistance under DOE Phase I grants.
 Research Institution (RI) - If the grant application contains formal collaboration with an RI
(required for STTR, optional for SBIR), (1) identify the name and address of the institution,
the name, phone number, and email address of the certifying official from the RI, and the
total dollar amount of the subcontract; (2) describe in detail the work to be done by this RI in
the Work Plan section; and (3) provide a detailed cost estimate including costs for labor,
equipment, and materials, if any, as well as a specific statement certifying that they have
agreed to serve in the manner and to the extent described in the Work Plan section of the
grant application” from RIs.
The RI will be considered a subcontractor to the applicant. The RI must provide a Letter of
Commitment (LOC) on official letterhead from an authorized representative of the RI which
commits the institution to participate in the project as described in the application. The LOC
should be attached as an “Other Attachment” in field 12, on the Research & Related Other
Project Information form. If selected for a grant, participation of the RI will be verified by
the DOE Contracting Officer.
 Other Consultants and Subcontractors - Involvement of consultants or subcontractors in the
project is permitted provided the work is performed in the United States, for exceptions, see
Section III., D. If consultants and/or subcontractors are to be used, this section of the
application must identify them by name, identify whether the party is being proposed as a
consultant versus as a subcontractor, and should provide Letters of Commitment (LOC) from
an authorized representative of the consultants and/or subcontractors. The LOC must provide
a detailed cost estimate, including costs for labor, equipment, and materials, if any, for the
consultant or subcontractor, as well as a specific statement certifying that the consultant(s) or
subcontractor(s) have agreed to serve in the manner and to the extent described in the Work
Plan section of the application. Each LOC must be on official letterhead with an authorizing
representative’s contact information provided and submitted as an “Other Attachment” to the
application. If selected for a grant, the DOE Contracting Officer will verify the participation
of any subcontractor(s) and/or consultant(s) and will require budget and budget explanations
for subcontractors and verification of the rates for consultants.

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 Note: None of the employees or owners of the applicant SBC may be consultants. None of
the employees or owners of the applicant SBC may be employees of a Subcontractor except
when the Subcontractor is a Research Institution. Consultants must not be employees of any
proposed Subcontractor. SBC personnel cannot be reimbursed with DOE funding as a
consultant under the project. SBC personnel cannot be reimbursed with DOE funding as an
employee of a Subcontractor except when the Subcontractor is a Research Institution under
the project. Non-U.S. citizens are eligible to perform work on SBIR/STTR projects provided
they are legally empowered to work in the U.S. at the time the award is made.
 Letters of Support [OPTIONAL] - While not a requirement to obtain Phase I funding,
applicants are strongly encouraged to submit letters of support from the private sector, which
will be considered as part of the evaluation criterion on “Impact.” Add as an attachment in
field 12, “Other Attachments”, on this form.
 Phase II Funding Commitment (Commercial Contribution) [OPTIONAL] - While not a
requirement to obtain Phase I funding, applicants are strongly encouraged to submit
commitments from the private sector or from non-SBIR/STTR funding sources, which will
be considered as part of the evaluation criterion on “Impact.” Add as an attachment in field
12, “Other Attachments”, on this form.
 Phase III Follow-On Funding Commitment [OPTIONAL] - Applicants are encouraged to
submit a Phase III follow-on funding commitment which will be considered as part of the
evaluation criterion on Impact. The commitment must be signed by a person with the
authority to make it, indicate when the funds will be made available, and contain specific
technical objectives which will make the commitment exercisable by the applicant. If the
commitment is firm regardless of achievement of technical objectives, it should state so. The
commitment may include: (1) third party financing; (2) self-financing (in which case the
applicant must demonstrate the ability to provide the Phase III funding); (3) state or local
government financing; or (4) federal funding. In-kind contributions are allowed; however,
the applicant or donor must estimate the dollar value of any in-kind contribution. The Phase
III funding cannot be contingent on obtaining a patent because of the length of time this
process requires. The Phase III Commitment must be submitted with the Phase I application
as a separate attachment. Add as an attachment in field 12, “Other Attachments”, on this
form. You should also reference it in the technical proposal in the “Work Plan” Section.
 Bibliography & References Cited (Field 9 on this form) - Do not attach a file in this field.
Include this information, if any, in the Phase I Project Narrative. Bibliography and
References cited count against the Phase I Project Narrative 15 page limit.
 Facilities & Other Resources (Field 10 on this form) - Do not attach a file in this field.
Include this information, if any, in the Project Narrative. Facilities and Other Resources
information counts against the Phase I Project Narrative 15 page limit.
 Equipment (Field 11 on this form) - Do not attach a file in this field. Include this information,
if any, in the Project Narrative. Equipment information counts against the Phase I Project
Narrative 15 page limit.

3. Other Attachments: (Field 12 on this form)

Note: Field 12 will hold more than one attachment. If you need to elaborate on your responses to
questions 1 – 6 on the “Other Project Information” form, provide the information in a single file
named “projinfo.pdf.” Click on “Add Attachments” in Field 12 to attach file.

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DIGITAL DATA MANAGEMENT PLAN REQUIREMENT (REQUIRED)
All SBIR and STTR applicants must select one of the following options for their Data
Management Plan (DMP):

Option 1)
The Option 1 DMP is: “It is anticipated that all generated digital data will be protected as
SBIR/STTR data and therefore will not be publicly shared during the applicable SBIR/STTR
data protection period. If any data generated under this award are published, an effort will be
made to also release any related digital data that is not protected SBIR/STTR data.” Applications
that select Option 1 must not include publication costs in their budget, as this implies that data
will be shared publicly.

Please note that if you do not include a DMP with your application, Option 1 for the
DMP will be assumed for your application. However, if you plan to publicly disclose
generated digital data, you must provide a DMP under Option 2.

Option 2)
If you plan to publicly disclose technical data during the data protection period or, for data not
expected to be asserted as protected SBIR/STTR rights data, please submit a DMP, following the
instructions in Section VIII.

DISCLOSURE OF FOREIGN RELATIONSHIPS (REQUIRED)

All SBIR and STTR applicants must disclose their foreign relationships as required by the SBIR
and STTR Extension Act of 2022. The required form that must be used to disclose these
relationships is available here: https://science.osti.gov/sbir/Applicant-Resources/Grant-
Application. Instructions are included on the form. Please note that even if you do not have any
foreign relationships, you must complete this form to certify that such relationships do not exist.
Failure to include this form may result in declination of your application without review at
DOE’s discretion.

ALSO, ATTACH THE FOLLOWING FILES IN FIELD 12:

 SBA Company Registration (Required).

 Authorization for non-DOE/NNSA FFRDCs, if applicable.
 Authorization for DOE/NNSA FFRDCs, if applicable, if available.
 Signed Letter of Funding Commitment, if applicable.
 Phase III Follow-On Funding Commitment, if applicable.
 Signed Letter of Commitment (LOC) from research institution, as applicable. LOC must
include name and address of institution, dollar amount of subcontract, and certifying
official’s name, phone number and email address.
 LOC from consultants, subcontractors or other third parties.
 Level-of-Effort Worksheet (discussed in Section III) may be found on the DOE SBIR/STTR
Programs website at https://science.osti.gov/sbir/Applicant-Resources/Grant-Application.

33
 Company Commercialization Report from SBIR.gov for STTR-only applications, if
applicable

4. RESEARCH AND RELATED Senior/Key Person: [MANDATORY]

Complete this form before the Budget form to populate data on the Budget form.

Principal Investigator and other Key Personnel - The Principal Investigator (PI) is the key
individual designated by the applicant to direct the project. Only one PI is acceptable per project.
The PI and Key Personnel do not need to be U.S. citizens; however, all work must be performed
in the United States. For exceptions, see “Other Eligibility Requirements” in Section III. D. See
“General Requirements and Restrictions on the PI” in Section III. H.

Beginning with the PI, provide a profile for each senior/key person proposed. Each senior/key
person must be aware that he/she is included in the application and must agree to perform the
work if awarded. A senior/key person is any individual who contributes in a substantive,
measurable way to the scientific/technical development or execution of the project, whether or
not a salary is proposed for this individual. Senior/key personnel should only be named in the
application if the person will be an employee of the small business as of the start date of the
grant. If the person will be joining the small business at a later date, please list them by the
position title (e.g. Senior Engineer) only. Sub-awardees and consultants must be included if they
meet this definition. For each senior/key person provide:

BIOGRAPHICAL SKETCH

Complete a biographical sketch for each senior/key person and attach to the “Attach
Biographical Sketch” field in each profile, following the instructions in Section VIII.
WARNING: These instructions have been significantly revised to require
disclosure of a variety of potential conflicts of interest or commitment, including
participation in foreign government-sponsored talent recruitment programs.

The PI and each senior/key person at the prime applicant and any proposed
subaward must provide a list of all sponsored activities, awards, and
appointments, whether paid or unpaid; provided as a gift with terms or conditions
or provided as a gift without terms or conditions; full-time, part-time, or
voluntary; faculty, visiting, adjunct, or honorary; cash or in-kind; foreign or
domestic; governmental or private-sector; directly supporting the individual’s
research or indirectly supporting the individual by supporting students, research
staff, space, equipment, or other research expenses. All foreign government-
sponsored talent recruitment programs must be identified in current and pending
support.

CURRENT AND PENDING SUPPORT

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Provide current and pending support for each senior/key person and attach to the “Attach Current
and Pending Support” field in each profile, following the instructions in Section VIII.

5. RESEARCH AND RELATED BUDGET: [MANDATORY]

You must provide a budget for the period of support requested and a cumulative budget for the
total project. In accordance with the SBIR/STTR topic funding allowance, applicants may
request funding for up to 12 months, but not less than six months. Any application that proposes
less than a 6-month Phase I budget period will be revised upward to six months by DOE. The
amount budgeted cannot exceed the Phase I maximum grant amount for the topic. In the event
you choose to use your own commercialization vendor, you may exceed the topic amount by up
to $6,500. Please refer to the TABA section for guidance.

Complete the Research and Related Budget form in accordance with the instructions on the form
and the following instructions. The form will generate a cumulative budget for the total project
period. You may request funds under any of the categories listed as long as the item and amount
are necessary to perform the proposed work, meet all the criteria for allow ability under the
applicable Federal cost principles, and are not prohibited by the funding restrictions in this FOA
(See Section IV). All budget items should be rounded to the nearest dollar and consistent with
the budget justification form.

Phase I Principal Investigator meeting: Applicants may include in their Phase I budget a
registration fee ($250) and travel expenses for the Principal Investigator and, if necessary, a
registration fee ($250) and travel expenses for a person from the small business representing the
commercialization interests of the company to attend the DOE SBIR/STTR Phase I Principal
Investigator Meeting. Attendance by the Principal Investigator is expected. This two-day
meeting, held in the DC metro area, will provide opportunities to meet with DOE Program
Managers and TABA providers, as well as learn about the DOE SBIR/STTR programs, with an
emphasis on the Phase II application. The DOE SBIR/STTR Phase I Principal Investigator
Meeting will be held approximately four months after the Phase I period of performance begins.
Principal Investigators will be notified of the exact date and venue for the DOE SBIR/STTR
Phase I Principal Investigator Meeting approximately eight weeks after the Phase I grant start
date by an e-mail from the DOE contractor managing the meeting. The email will contain the
URL for the DOE SBIR/STTR Phase I Principal Investigator Meeting website, where
participants will be able to register, make lodging reservations, and view the agenda for the
meeting.

TECHNICAL AND BUSINESS ASSISTANCE (FORMERLY COMMERCIALIZATION ASSISTANCE)

(SECTION F, FIELD 8, 9, OR 10 [OPTIONAL])

In accordance with the John S. McCain National Defense Authorization Act for Fiscal Year
2019, DOE is able to fund discretionary technical and business assistance (TABA) to all DOE
SBIR and STTR Phase I grantees. Grant recipients have two options for receiving TABA: (1)
utilize services provided by a DOE vendor or (2) identify their own TABA provider(s).

35
If you wish to receive TABA from a DOE-funded vendor, you do not need to include this
expense in your budget. If you are awarded a Phase I grant, you will receive notification from
DOE and follow-up contact from a DOE-funded vendor on what services are available to you
and how to obtain these services at no cost to your small business.

If you wish to utilize your own TABA provider(s), you are required to include this as one or
more subcontracts or consultants in your budget and to provide a detailed budget justification.
You may include up to $6,500 per project. Please note that the TABA does not count toward the
maximum grant size listed in Section II. C.; e.g., seeking TABA from your provider could result
in a maximum grant in the amount of $206,500 for topics that specify a maximum award amount
of $200,000. Reimbursement is limited to services received that comply with 15 U.S.C. § 638(q).
Only direct costs can be included in the $6,500 allowed for TABA. Overhead costs associated
with TABA must be included in the maximum award amount.

You may propose services in the following areas:

 product sales
 intellectual property protections
o Patent prosecution costs related to obtaining United States patent protection for
subject inventions of this award may be budgeted under TABA. Patent
prosecution costs include attorney fees and United States Patent and Trademark
Office (USPTO) fees. United States patent protection includes filings with the
USPTO related to provisional, Patent Cooperation Treaty (PCT), non-provisional,
continuation, and continuation-in-part patent applications. Patent prosecution
costs related to foreign patent protection (e.g. foreign attorney, foreign patent
office or translation fees) are unallowable.
 market research
 market validation
 development of certifications and regulatory plans
 development of manufacturing plans

Services are defined as acts of assistance in which no goods are exchanged. In some situations,
incidental goods, such a report on the services provided, are exchanged. The following examples
are provided for clarification:
• Market Research: Conducting market research in the planned area of commercialization
is a service, and a report describing the finding is typically provided.
• Advertising: Developing an advertising strategy or designing advertising campaign
materials are services. Paying to place ads or print brochures would not be considered a
service.
• Website Development: Developing website content is a service.

Third party vendors or a federal entity issuing patents, certifications or regulatory approvals,
must be used when spending TABA funds. Vendor(s) may not be the SBIR/STTR applicant or
awardee or its research partner or a research institution performing part of the research and
development portion of the award.

36
In the event some or the entire amount listed is not expended on TABA services, the remaining
funds cannot be re-budgeted to other project costs. Re-budgeting of these funds for other than
TABA services is not allowable.

BUDGET JUSTIFICATION (FIELD L ON THE FORM): [MANDATORY]

Provide supporting information for all proposed costs, including hours and rates for all
personnel. Attach a single budget justification file for the entire project period in Field K. A
budget justification template may be found here: https://science.osti.gov/sbir/Applicant-
Resources/Grant-Application. Provide any other information you wish to submit to justify your
budget request. If your organization has an Indirect Cost Rate Agreement (ICRA) in effect with
your Cognizant Federal Agency [Defense Contract Audit Agency (DCAA), Department of
Health and Human Service’s Division of Cost Allocation (DCA), etc.] supporting the indirect
rate(s) proposed, please provide this information with your application if the rate agreement (a)
is dated no later than 2019 and (b) covers the proposed period of activity. Please note that if you
are selected for a grant, additional budget explanation will most likely be required.

Note: All proposed purchase of equipment will be carefully reviewed relative to need and
appropriateness for the research or R&D proposed. Although there is no absolute cap on indirect
costs, grant applications will be evaluated for overall economy and value to DOE.
 Travel funds must be justified and related to the needs of the project, e.g., travel to DOE
Headquarters to meet with the DOE Program Manager. Travel expenses for technical
conferences are not permitted unless the purpose of attending the conference directly relates
to the project, e.g., to present results of the project. Foreign travel is not normally an
appropriate expense. Funds to cover travel expenses outside of the United States are
considered an unallowable direct cost unless written approval has been obtained from the
DOE Contracting Officer.
 Grant funds may not be used to pay patent prosecution costs and related expenses. See
TABA for paying such fees.
 Tuition expenses are allowable only if requested from a research institution or subcontractor
that is a university, provided the amount requested for tuition is reasonable and comparable
to what a student would be paid for performing research during the grant performance period.
 Any commercial and/or in-kind contribution to the project should be reflected in the project
narrative and not included on the budget pages.

6. R&R SUBAWARD BUDGET ATTACHMENT(S) FORM: [if applicable, Budgets for

Subawards, including Research Institutions]

Budgets for Subrecipients: You must provide a separate R&R budget for each subrecipient.
Download the R&R Budget Attachment from the R&R SUBAWARD BUDGET
ATTACHMENT(S) FORM and either e-mail it to each subrecipient that is required to submit a
separate budget or use the collaborative features of Workspace. After the subrecipient has either
e-mailed its completed budget back to you or completed it within Workspace, attach it to one of
the blocks provided on the form. Use up to 10 letters of the subrecipient’s name (plus.pdf) as the
file name (e.g., ucla.pdf or energyres.pdf). Filenames should not exceed 50 characters.

37
If the project involves more subrecipient than there are places in the SUBAWARD BUDGET
ATTACHMENT(S) FORM, the additional subaward budgets may be saved as PDF files and
appended to the Budget Justification attached to Field K.

Applicants should consult their local information technology (“IT”) support resources for any
necessary assistance in converting the forms downloaded from Grants.gov into plain PDF files
that can be combined into one non-Portfolio PDF file (the Budget Justification).

Ensure that any files received from subrecipients are the PDF files extracted from the
SUBAWARD BUDGET ATTACHMENT(S) FORM. Errors will be created if a subrecipient
sends a prime applicant a budget form that was not extracted from the application package. Do
not use a sub-award budget downloaded directly from grants.gov or any source other than the
application package.

Additional budget information for any subrecipient will likely be required if selected for award.

7. SF-LLL DISCLOSURE OF LOBBYING ACTIVITIES: [OPTIONAL]

If any funds other than Federal appropriated funds have been paid or will be paid to any person
for influencing or attempting to influence an officer or employee of any Federal agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with the grant/cooperative agreement, you must complete and submit
SF-LLL “Disclosure Form to Report Lobbying.”

8. SBIR/STTR INFORMATION FORM: [MANDATORY]

Complete all the required forms in accordance with the pop-up instructions on the form.

Each application must be submitted to a DOE SBIR/STTR Topic and, within the Topic, to only
one Subtopic. DOE will not assign a Topic and/or Subtopic to grant applications; this must be
done by the applicant. The Topic and Subtopic are also required on page 1 of the Project
Narrative.

Applicants must utilize the Company Commercialization Report (CCR) from SBIR.gov to
provide their company commercialization history of past SBIR/STTR awards). The CCR allows
companies to report funding outcomes resulting from prior SBIR and STTR awards. SBIR and
STTR awardees are required by the SBA Policy Directive to update and maintain their
organization’s CCR on SBIR.gov. Companies may complete this report by logging into the
company’s account on SBIR.gov and starting a new Company Commercialization Report. To
complete and include a Company Commercialization Report within your application you should:

1. Log into the company account at https://www.sbir.gov/.

2. Navigate to My Dashboard > My Documents to view or print the information currently
contained in the Company Registry Commercialization Report.
3. Create or update the commercialization record, from the company dashboard, by
scrolling to the “My Commercialization” section, and clicking the create/update

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 Commercialization tab under “Current Report Version”. Please refer to the “Instructions”
and “Guide” documents contained in this section of the Dashboard for more detail on
completing and updating the CCR. Ensure the report is certified and submitted.
4. Click the “Company Commercialization Report” pdf under the My Documents section
of the dashboard to download a pdf of the CCR.
5. For SBIR Applicants including applicants submitting to both SBIR and STTR
Programs, the CCR should be attached to Question 8 of the SBIR/STTR Information
form. For STTR-only applicants, the CCR should be attached to Question 12 of the
Research and Related – Other Project Information Form. The attached document should
be titled “Commercialization History.pdf”

PHASE I COMMERCIALIZATION PLAN (REQUIRED, FIELD 8)

It is a statutory objective of SBIR/STTR funding that technology developed using these designated
taxpayer funds result in some form of benefit for the American people whether it be in the form of
taxable revenue, jobs or some other societal or scientific benefit.

A brief Commercialization Plan (4 pages maximum, 2000 words maximum, 10-point minimum
font size) must be included in a Phase I grant application. If the Commercialization Plan is not
included at the time of application submission, your application will be administratively declined
without review.

The Phase I commercialization plan is designed to get you to begin thinking about the
commercial potential for the technology and your strategy to bring it to market. If you proceed to
submission of a Phase II application, you will be asked to expand upon the ideas presented here
providing validation of the information through customer discovery and due diligence in a 15-
page commercialization plan.

The Phase I commercialization plan will be evaluated under the “Impact” criterion and should
include these elements:

Project Title

You MUST include the following statement after your project title:

“(COMPANY NAME HERE) estimates cumulative sales revenues of $_________ and

cumulative licensing revenues of $________ during the first 10 years of commercialization.”
1. Market Opportunity
Describe the problem and its urgency that will be solved by the product/service resulting
from the technology being proposed. Describe your customers and end-users (if different)
providing example companies. Describe your competitors and your competitive
advantage and/or value proposition. Describe the market opportunity being addressed. If
there are opportunities outside DOE and/or multiple opportunities to pursue, describe
your time-phased plan to address. Describe the envisioned business model that will be
used to generate revenue.

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 2. Company/Team
Describe the capabilities of your team as they relate to the commercialization of your
technology; there is no need to repeat technical qualifications which are covered
adequately elsewhere in your application. If there are gaps in commercialization expertise
on your current team, describe your time-phased plans to address (new personnel,
consultants, contractors, etc.).
3. Intellectual Property
Describe both the state of the intellectual property that exists in your intended market and
plans to protect your intellectual property. Detail the status of patents, trade secrets, and
other steps you plan to take to protect your IP.
4. Revenue Forecast
Provide a revenue forecast during the first 10 years of commercialization. We request the
forecast be for 10 years because the path and development time required to bring the
technology to market will vary - in some cases, commercialization may begin
immediately after Phase II award, but in other cases commercialization may not start for
many years beyond completion of the Phase II award. In doing so, be realistic and do not
assume widespread and immediate adoption of your technology by the entire customer
base. If there are opportunities outside the immediate DOE need, describe your time-
phased plan to address.

Applicants are encouraged to review the example Phase I Commercialization Plan on the DOE
SBIR/STTR website under “Applicant Resources” at https://science.osti.gov/sbir/Applicant-
Resources/Grant-Application.

Question 8 of the SBIR/STTR Information Form will accept the Commercialization Plan
attachment for a Phase I grant application submission after selecting DOE as agency and Phase I
as application type.

Please Note: All applications lacking a separate and attached Phase I Commercialization Plan as
noted above will be administratively declined and will not undergo further review or
consideration for award.

COMMERCIALIZATION HISTORY (FIELD 9, IF APPLICABLE)

If you have received SBIR/STTR Phase II grants from any Federal agency, then you must
provide your company Commercialization History. If you are an SBIR or Both SBIR/STTR
applicant, attach your Company Commercialization Report (CCR) from SBIR.gov to Field 9. For
STTR-only applications, attach your CCR to Field 12 of the R&R Other Project Information.
Please name your CCR document “Commercialization History.pdf”

9. Summary of Required Forms and Files

The table below lists the required forms and the attachments associated with each form. Some of
the information must be directly entered onto the forms and other information must be attached
to the forms as directed. Please read carefully.

40
Please note: Applications lacking the following required documentation will be administratively
declined without technical review. To assist you in submitting the necessary forms with your
application, please refer to the DOE SBIR/STTR Phase I Application Checklist, located on the
DOE SBIR/STTR Programs Office website under “Applicant Resources” at
https://science.osti.gov/sbir/Applicant-Resources/Grant-Application.

Your application must include the following documents:

Name of Document Format Attach to

Application for Federal Assistance, SF-424 Form PDF
Research and Related: Budget Form PDF
Additional Senior Key Persons, if applicable PDF Field A. 9
Additional Equipment, if applicable PDF Field C. 11
Budget Justification PDF Field K
Research and Related: Senior/Key Person Profile Form PDF
Appropriate
Biographical Sketch for each person PDF
Block
Appropriate
Current & Pending Support for each person, if applicable PDF
Block
Research and Related: Other Project Information Form PDF
Project Abstract and Summary PDF Field 7
Project Narrative PDF Field 8
Include in Project
Bibliography and References Cited, if applicable PDF
Narrative
Include in Project
Facilities and Other Resources, if applicable PDF
Narrative
Include in Project
Equipment, if applicable PDF
Narrative
Other— Data Management Plan PDF Field 12
Other— Disclosure of Foreign Relationships PDF Field 12
Other—Level of Effort & Max Funding Worksheet PDF Field 12
Other—Letter of Commitment for consultant, sub-award,
PDF Field 12
or research institution, if applicable
Other—Letters of Support, if applicable PDF Field 12
Other—SBA Company Registration PDF Field 12
Other – Company Commercialization Report from
PDF Field 12
SBIR.gov for STTR-Only applications, if applicable
Authorization for non-DOE/NNSA FFRDCs, if applicable PDF Field 12
Authorization for DOE/NNSA FFRDC, if applicable and if
PDF Field 12
available
Research and Related: Sub-award Budget Form, if
PDF
applicable

41
 Appropriate
Budget Justification for each Sub-award PDF
Block
SF-LLL, Disclosure of Lobbying Activities, if applicable PDF
Project/Performance Site Location(s) PDF
SBIR/STTR Information Form PDF
Phase I Commercialization Plan PDF Field 8
Company Commercialization Report from SBIR.gov for
PDF Field 9
SBIR or Both SBIR/STTR applications, if applicable

E. CONTENT AND APPLICATION FORMS (FAST-TRACK ONLY)

For detailed application, forms, and other applicant information, please see the “Instructions for
Completing a DOE SBIR/STTR Phase I Grant Application” located on the DOE SBIR/STTR
Programs Office website under “Preparing a DOE SBIR/STTR Phase I Grant Application” at
https://science.osti.gov/sbir/Applicant-Resources/Grant-Application. If there are any
inconsistencies between the information provided in the FOA and the “Instructions for
Completing a DOE SBIR/STTR Phase I Grant Application,” the information contained in the
FOA prevails.

For questions regarding the preparation of an application, you may call the DOE SBIR/STTR
Operations Support Staff at (301) 903-5707 or via email at [email protected].

Please note, you may only use the following UTF-8 characters when naming your application
attachments: A-Z, a-z, 0-9, underscore (_), hyphen (-), space ( ), and period (.). You must limit
the file name to 50 or fewer characters. Attachments that do not follow this rule may cause the
entire application to be rejected or cause issues during processing. Each attached file must have a
unique filename (for example, don’t use “budget justification” for both the total budget
justification and a subaward budget justification).

1. SF-424 (R&R), Application for Federal Assistance [MANDATORY]:

Complete this form first to populate data in other forms. The list of certifications and assurances
referenced in Field 17 is available on the DOE Financial Assistance Forms Page at
https://energy.gov/management/office-management/operational-management/financial-
assistance/financial-assistance-forms under Certifications and Assurances.

Applicants are bound by their representations and certifications in SAM.gov.

Complete all the required fields in accordance with the pop-up instructions on the form. Please
ensure that the Project Title in field 11 of the SF-424 is identical to the title listed on your Project
Narrative cover page and the title listed in our LOI. The project title must be the same as
submitted in your LOI; applications not meeting this requirement may be administratively
declined.

Use 06/26/2023 as the proposed project start date.

42
 Notice: By signing the SF-424, you are certifying that the statements contained in the SF-
424 and all other documents submitted as part of your application are true, complete, and
accurate to the best of your knowledge. DOE relies on your certification and all
documents submitted as part of your application which includes all mandatory, required,
and optional information identified in this FOA. Further, DOE relies on all information
that you voluntarily provide which was not requested in this FOA. All information and
documents provided by you materially affects the decision to make an award even if the
information is not listed as a review criterion in Section V. of this FOA.

UEI AND EIN NUMBERS (FIELDS 5 AND 6)

The UEI and Employer Identification Number (EIN) fields on the SF-424 (R&R) form are used
in PAMS to confirm the identity of the individual or organization submitting an application. The
UEI is assigned by SAM.
• Enter each number as a nine-digit number.
• Do not use hyphens or dashes.
• SC does not use the twelve-digit EIN format required by some other agencies

2. RESEARCH AND RELATED Other Project Information: [MANDATORY]

Complete questions 1 through 6 and attach files. If the answer to question 3 is “Yes”, you must
identify proprietary information with a legend on the first page of your attached Project Narrative
document and on each page that contains proprietary information in accordance with instructions
provided in Section VIII, C. Failure to comply may result in DOE’s inability to treat such
information as proprietary and may delay the grant process.

NOTE CONCERNING QUESTION 1.

Applicants that plan to include human subjects as part of their research, should be aware
that there are requirements that must be met for this type of research to be federally
funded. Please refer to the following webpage to learn about these requirements:
https://science.osti.gov/ber/human-subjects

NOTE CONCERNING QUESTION 4.A.

DOE understands the phrase in field 4.a., “potential impact – positive or negative - on the
environment”, to apply if the work described in the application could potentially have any
of the impacts listed in (1) through (5) of 10 CFR 1021, Appendix B, Conditions that are
Integral Elements of the Classes of Action. See Subpart D – Typical Classes of Actions,
Appendix B to Subpart D of Part 1021 – Categorical Exclusions Applicable to Specific
Agency Actions; B. Conditions that are Integral Elements of the Classes of Actions in
Appendix B. (See www.ecfr.gov.)

Additionally, for actions that could have any other negative high consequence impacts to
the environment or have any possibility for negative high consequence impacts to human
health (e.g., use of human subjects, biosafety level 3-4 laboratory construction/operation,
manufacture or use of certain nanoscale materials known to impact human health, or any
activities involving transuranic or high level radioactive waste or materials or exposure to

43
 any radioactive materials beyond de minimis levels), applicants should indicate “Yes”
under 4.a. and then start their explanation under 4.b. with “Negative potential impact;”
followed by their explanation.

Moreover, applicants should indicate potential negative impact on the environment if: 1)
there would be extraordinary circumstances (i.e., scientific or public controversy) related
to the significance of environmental effects [10 CFR 1021.410(b)(2)], 2) the work is
connected to other actions with potentially significant impacts [10 CFR 1021.410(b)(3)],
or 3) the work is related to other nearby actions with the potential for cumulatively
significant impacts [10 CFR 1021.410 (b)(3)].

If question 4.a. is answered “Yes”, due to actual or potential negative impact(s) on the
environment, the applicant will be required to complete the form entitled “National
Environmental Policy Act (NEPA) Environmental Evaluation Notification Form” (SC-
CH Form 560) upon request by the DOE Contracting Officer.

Lastly, if question 4.a. is answered yes due to an actual or potential positive impact on the
environment, applicants should indicate “Yes” under 4.a. and then start their explanation
under 4.b. with “Positive potential impact;” followed by their explanation.

For fields 7 through 12, the files that are attached must comply with the following instructions:

PROJECT ABSTRACT AND SUMMARY (FIELD 7 ON THE FORM) [MANDATORY]

The Project Abstract and Summary must contain a summary of the proposed activity suitable for
dissemination to the public. This document must not include any proprietary or sensitive
business information as DOE may make it available to the public. The Project Abstract and
Summary must not exceed one page. Save this information in a file named “Summary.pdf,” and
click on “Add Attachment” to attach it.

The purpose of the Project Abstract and Summary is to communicate the overall sense of the
combined Phase I and Phase II project, not every step of the work plan or every accomplishment.

Statements of future applications or benefits belong in the section on Commercial Applications

and Other Benefits. Do not use acronyms, abbreviations, first-person references, or any proper
names (including the name of the small business, any subcontractors or institutions, or any trade
or product name) in the body of the summary.

The header must include:

 Company Name
 Project Title
 Principal Investigator
 Topic number/Subtopic letter, e.g. 12b

The body must include:

44
 Statement of the problem or situation that is being addressed in your application. Describe
the problem or situation being addressed—be sure that the DOE interest in the problem is
clear, but not in such a way that implies that any services or products are being provided for
the direct benefit of DOE rather than for the advancement of a public purpose. (Typically one
to three sentences).
 General statement of how this problem is being addressed. This is the overall objective of the
Fast-Track project. How is this problem being addressed? What is the overall project
approach? (Ideally, two to four sentences).
 What is to be done in Phase I and Phase II? (Typically three to four sentences).
 Commercial Applications and Other Benefits (limited to the space provided). Summarize the
future applications or public benefits if the project is carried over into Phase IIA/IIB, Phase
IIC or Phase III and beyond. Do not repeat information already provided above.
 Key Words - Provide listing of key words that describe this effort.
 Summary for Members of Congress: (layperson’s terms, two sentences, and maximum 100
words). DOE notifies members of Congress of grants in their districts. Therefore, please
provide, in clear and concise layperson’s terms, a very brief (100 words or less) summary of
the project, suitable for use in a press release from DOE or a Congressional office. The
summary should address the relevant problem (why is this project necessary and why did it
merit DOE funding?) and the anticipated solution (what does the project hope to accomplish
and how will it address the problem?). Two examples of appropriate summaries are provided
below
o “The next generation “atom smashers” will require dipole magnets of very high
magnetic field. This proposal will explore innovative block coil designs that can be
used to make magnets shorter and more reliable.”
o “Computer simulation is a crucial step in developing clean nuclear energy
generators, but the simulation process is currently so complex and esoteric that new
users are discouraged from entering the field. This proposal will simplify the
simulation process and the software interface to encourage new investment in nuclear
energy.”

PROJECT NARRATIVE: (FIELD 8 ON THE FORM) [MANDATORY]

The Project Narrative is considered the main portion of the Fast-Track application and must
specify clear, measurable goals and milestones that should be achieved in Phase I prior to
initiating Phase II work. If these Phase I milestones are not met, authorization to proceed to
Phase II may not be provided and the grant will be discontinued 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.

Fast-track applications must propose research and development required to meet the DOE
objectives stated in the technical topic of the FOA and provide sufficient information to convince
DOE and members of the research community who review the grant application that it is worthy
of support under the stated evaluation criteria in Part V.

For Fast-Track there is a 25 page, 12,500 words of text limitation on the Project Narrative, which
includes the cover page. Please note that the word limit applies to the text in the body of the Fast-

45
Track Project Narrative and does not include words in tables and graphs. Also, sections such as
the budget, budget justification, key personnel, and commercialization plan should not be
included in the Project Narrative but attached in the appropriate fields for those forms.

The application should be written succinctly using the outline below. To attach a Project
Narrative, click “Add Attachment.”.

Using the outline below, the Project Narrative must include ALL of the following:

 Cover page – Provide company-specific and project information including company name
and address, principal investigator, project title, topic number, and subtopic letter.
 Proprietary Data Legend (Proprietary Application Information – Trade Secrets, Commercial,
or Financial Information) – If applicable, see Part VIII, Section D. If your application
contains trade secrets or commercial or financial information, you must include the Notice of
Restriction on Disclosure and Use of Data on the first page of your Project Narrative in
accordance with guidance under Part VIII, D. Proprietary Application Information - Trade
Secrets, Commercial or Financial Information of this FOA.
 Identification and Significance of the Problem or Opportunity, and Technical Approach –
Define the specific technical problem or opportunity addressed by your application. Provide
enough background information so that the importance of the problem/opportunity is clear.
Indicate the overall technical approach to the problem/opportunity and the part that the
proposed research plays in providing needed results.
 Anticipated Public Benefits – Discuss the technical, economic, social, and other benefits to
the public as a whole anticipated if the Phase I and Phase II projects are successful and the
project is carried over into Phase III. Identify specific groups in the commercial sector as
well as the Federal Government that would benefit from the projected results. Describe the
resultant product or process, the likelihood that it could lead to a marketable product, and the
significance of the market.
 Technical Objectives - State the specific technical objectives for the Phase I and Phase II
research and development.
 Work Plan - This section should be a substantial part of the technical application. Provide an
explicit, detailed description of the Phase I and Phase II research approach and work to be
performed. Indicate what will be done in each Phase, the qualifications of the team (principal
investigator, key personnel, subcontractors and consultants) to execute the project, where it
will be done, and how the work will be carried out.
Link the Work Plan to the Technical Objectives of the proposed project. Discuss methods
planned to achieve each objective or task explicitly and in detail. Be sure to address how the
research or research and development effort could lead to a product, process, or service in
Phase III. Show how the management direction and control of the project will be assured.
Regardless of the proportion of the work or funding of each of the performers under the
grant, the applicant is to be the grantee with overall responsibility for its performance.
 Performance Schedule - The Performance Schedule should cover three distinct budget
periods – Phase I (typically 9 months, but not less than 6 months) and Phase II (Year 1 and
Year 2; up to 12 months each). The Phase I budget period may not exceed 9 months;
however, the budget period may not be less than 6 months. Any application that proposes
less than a 6-month Phase I budget period will be revised upward to 6 months by DOE. Due

46
 to the nature of the Fast-Track program, the DOE will not grant any no-cost extensions of
work during the Phase I budget period. Funding for the 2nd and 3rd budget periods of Phase
II will be contingent on the demonstration of adequate progress as described in the required
progress reports, which must be submitted two months prior to the end of each budget period.
Progress reports will be evaluated against DOE programmatic priorities and the availability
of funds. Funding requests for each of the two budget periods in Phase II should not exceed
one-half of the maximum Phase II grant amount as noted in the respective Phase I topics
document. Exceptions to this will be allowed but must be thoroughly justified in the
accompanying Budget Justification form. Please state in the Performance Schedule section if
the project will be completed in less than 33 months. Briefly describe the important
milestones to be achieved in each budget period and the estimated amount of time for
completing each task described in the Work Plan.
 Facilities/Equipment - Describe available equipment and physical facilities necessary to carry
out the Fast-Track effort. Equipment is defined as an article of tangible, nonexpendable,
personal property, including exempt property, charged directly to the grant, having a useful
life of more than one year and an acquisition cost of $5,000 per unit or more. Items of
equipment to be leased or purchased must be described and justified in this section. Title to
equipment purchased under this grant lies with the government. It may be transferred to the
grantee where such transfer would be more cost effective than recovery of the property by
the government. Grantees wishing to obtain title should contact their contract specialist prior
to project completion for the procedure to follow to make such a request. If the equipment,
instrumentation, and facilities are not the property of the applicant and are not to be
purchased or leased, the source must be identified and their availability and expected costs
specifically confirmed in this section. A principal of the organization that owns or operates
the facilities/equipment must provide written verification regarding the availability and cost
of facilities/equipment and any associated technician cost. Small businesses may get credit
for obtaining this equipment as an in-kind Phase II commercial contribution.
American-Made—To the extent possible in keeping with the overall purposes of the
program, only American-made equipment and products should be purchased with the funds
provided by the financial assistance under the Fast-Track grants.
 Research Institution (RI) - If the grant application contains formal collaboration with an RI
(required for STTR, optional for SBIR), (1) identify the name and address of the institution,
the name, phone number, and email address of the certifying official from the RI, and the
total dollar amount of the subcontract; (2) describe in detail the work to be done by this RI in
the Work Plan section; and (3) provide a detailed cost estimate including costs for labor,
equipment, and materials, if any, as well as a specific statement certifying that they have
agreed to serve in the manner and to the extent described in the Work Plan section of the
application.
The RI will be considered a subcontractor to the small business applicant. The RI must
provide a Letter of Commitment (LOC) on official letterhead from an authorized
representative of the RI, which commits the institution to participate in the project as
described in the grant application. The LOC should be attached as an “Other Attachment” in
field 12, on the Research & Related Other Project Information form. If selected for a grant,
participation of the RI will be verified by the DOE contracting officer.
 Other Consultants and Subcontractors - Involvement of consultants or subcontractors in the
project is permitted provided the work is performed in the United States. If consultants

47
 and/or subcontractors are to be used, this section of the application must identify them by
name, identify whether the party is being proposed as a consultant versus as a subcontractor,
and should provide Letters of Commitment (LOC) from an authorized representative of the
consultants and/or subcontractors. The LOC must provide a detailed cost estimate, including
costs for labor, equipment, and materials, if any, for the consultant or subcontractor, as well
as a specific statement certifying that the consultant(s) or subcontractor(s) have agreed to
serve in the manner and to the extent described in the Work Plan section of the grant
application. Each letter must be on official letterhead with an authorizing representative’s
contact information provided and submitted as an “Other Attachment” to the application. If
selected for a grant, the DOE contracting officer will verify the participation of any
subcontractor(s) and/or consultant(s) and will require budget and budget explanations for
subcontractors and verification of the rates for consultants.
 Phase II Funding Commitment (Commercial Contribution) [OPTIONAL] - While not a
requirement to obtain Phase II funding, applicants are strongly encouraged to submit Fast-
Track commitments from the private sector or from non-SBIR/STTR funding sources, which
will be considered as part of the evaluation criterion on “Impact”. Add as an attachment in
field 12, “Other Attachments”, on this form.
 Phase III Follow-On Funding Commitment [OPTIONAL] - Applicants are encouraged to
submit a Phase III follow-on funding commitment, which will be considered as part of the
evaluation criterion on Impact. The commitment must be signed by a person with the
authority to make it, indicate when the funds will be made available, and contain specific
technical objectives, which if achieved in Phase II, will make the commitment exercisable by
the applicant. If the commitment is firm regardless of technical objectives achieved, it should
state so. The commitment may include: (1) third party financing; (2) self-financing (in which
case the applicant must demonstrate the ability to provide the Phase III funding); (3) state or
local government financing; or (4) Federal funding. In-kind contributions are allowed;
however, the applicant or donor must estimate the dollar value of any in-kind contribution.
The Phase III funding cannot be contingent on obtaining a patent because of the length of
time this process requires. The Phase III commitment must be submitted with the Phase II
application as a separate attachment. Add as an attachment in field 12, “Other Attachments”,
on this form. You should also reference it in the technical proposal in the “Work Plan”
Section.
 Bibliography & References Cited (Field 9 on this form)- Include this information, if any, in
the Fast-Track Project Narrative. Bibliography and References Cited count against the Fast-
Track Project Narrative 25-page limit. Do not attach a file in this field.
 Facilities & Other Resources (Field 10 on this form)- Include this information, if any, in the
Project Narrative. Do not attach a file in this field.
 Equipment (Field 11 on this form)- Include this information, if any, in the Project Narrative.
Do not attach a file in this field.

3. Other Attachments: (Field 12 on this form)

Note: Field 12 will hold more than one attachment. If you need to elaborate on your responses to
questions 1 – 6 on the “Other Project Information” form, provide the information in a single file
named “projinfo.pdf.” Click on “Add Attachments” in Field 12 to attach file.

48
DIGITAL DATA MANAGEMENT PLAN REQUIREMENT (REQUIRED)
All SBIR and STTR applicants must select one of the following options for their Data
Management Plan (DMP):

Option 1)
The Option 1 DMP is: “It is anticipated that all generated digital data will be protected as
SBIR/STTR data and therefore will not be publicly shared during the applicable SBIR/STTR
data protection period. If any data generated under this award are published, an effort will be
made to also release any related digital data that is not protected SBIR/STTR data.” Applications
that select Option 1 must not include publication costs in their budget, as this implies that data
will be shared publicly.

Please note that if you do not include a DMP with your application, Option 1 for the
DMP will be assumed for your application. However, if you plan to publicly disclose
generated digital data, you must provide a DMP under Option 2.

Option 2)
If you plan to publicly disclose technical data during the data protection period or, for data not
expected to be asserted as protected SBIR/STTR rights data, please submit a DMP, following the
instructions in Section VIII.

DISCLOSURE OF FOREIGN RELATIONSHIPS (REQUIRED)

All SBIR and STTR applicants must disclose their foreign relationships as required by the SBIR
and STTR Extension Act of 2022. The required form that must be used to disclose these
relationships is available here: https://science.osti.gov/sbir/Applicant-Resources/Grant-
Application. Instructions are included on the form. Please note that even if you do not have any
foreign relationships, you must complete this form to certify that such relationships do not exist.
Failure to include this form may result in declination of your application without review at
DOE’s discretion

ALSO, ATTACH THE FOLLOWING FILES IN FIELD 12:

 SBA Company Registration (Required).

 Authorization for non-DOE/NNSA FFRDCs, if applicable.
 Authorization for DOE/NNSA FFRDCs, if applicable, if available.
 Signed Letter of Funding Commitment, if applicable.
 Phase III Follow-On Funding Commitment, if applicable.
 Signed Letter of Commitment (LOC) from research institution, as applicable. LOC must
include name and address of institution, dollar amount of subcontract, and certifying
official’s name, phone number and email address.
 LOC from consultants, subcontractors or other third parties.
 Level-of-Effort Worksheet (discussed in Section III) may be found on the DOE SBIR/STTR
Programs website at https://science.osti.gov/sbir/Applicant-Resources/Grant-Application.
 Company Commercialization Report from SBIR.gov for STTR-only applications, if
applicable

49
4. RESEARCH AND RELATED Senior/Key Person: [MANDATORY]

Complete this form before the Budget form to populate data on the Budget form.

Principal Investigator and other Key Personnel - The Principal Investigator (PI) is the key
individual designated by the applicant to direct the project. Only one PI is acceptable per project.
The PI and Key Personnel do not need to be U.S. citizens; however, all work must be performed
in the United States. For exceptions, see “Other Eligibility Requirements” in Section III. D. See
“General Requirements and Restrictions on the PI” in Section III. H.

Beginning with the PI, provide a profile for each senior/key person proposed. Each senior/key
person must be aware that he/she is included in the application and must agree to perform the
work if awarded. A senior/key person is any individual who contributes in a substantive,
measurable way to the scientific/technical development or execution of the project, whether or
not a salary is proposed for this individual. Senior/key personnel should only be named in the
application if the person will be an employee of the small business as of the start date of the
grant. If the person will be joining the small business at a later date, please list them by the
position title (e.g. Senior Engineer) only. Sub-awardees and consultants must be included if they
meet this definition. For each senior/key person provide:

BIOGRAPHICAL SKETCH

Complete a biographical sketch for each senior/key person and attach to the “Attach
Biographical Sketch” field in each profile, following the instructions in Section VIII.
WARNING: These instructions have been significantly revised to require
disclosure of a variety of potential conflicts of interest or commitment, including
participation in foreign government-sponsored talent recruitment programs.

The PI and each senior/key person at the prime applicant and any proposed
subaward must provide a list of all sponsored activities, awards, and
appointments, whether paid or unpaid; provided as a gift with terms or conditions
or provided as a gift without terms or conditions; full-time, part-time, or
voluntary; faculty, visiting, adjunct, or honorary; cash or in-kind; foreign or
domestic; governmental or private-sector; directly supporting the individual’s
research or indirectly supporting the individual by supporting students, research
staff, space, equipment, or other research expenses. All foreign government-
sponsored talent recruitment programs must be identified in current and pending
support.

CURRENT AND PENDING SUPPORT

Provide current and pending support for each senior/key person and attach to the “Attach Current
and Pending Support” field in each profile, following the instructions in Section VIII.

50
5. RESEARCH AND RELATED BUDGET: [MANDATORY]

You must provide a separate budget for each period of support requested and a cumulative
budget for the total project. In accordance with the SBIR/STTR Topic funding allowance,
applicants may request funding of up to combined maximum grant amounts for Phase I and
Phase II for up to 33 months. The first budget period should cover a period of 9 months. Funding
for the 2nd budget period (Year 1 of Phase II) and the 3rd budget period (Year 2 of Phase II) will
be contingent on the demonstration of adequate progress as described in your project milestones,
evaluation of DOE programmatic priorities, and submission of the SBIR Funding Agreement
Certification – Life Cycle or STTR Funding Agreement Certification – Life Cycle. Funding for
all grants and future budget periods are contingent upon the availability of funds appropriated by
Congress for the purpose of this program and the availability of future-year budget authority.
The amount budgeted for the 1st budget period cannot exceed the Phase I maximum grant
amount for the topic, and the amount budgeted for the combined 2nd and 3rd budget periods
cannot exceed the Phase II maximum grant amounts. In the event you choose to use your own
commercialization vendor, you may exceed the topic amount by up to $6,500. Please refer to the
TABA section for guidance.

Complete the Research and Related Budget form in accordance with the instructions on the form
and the following instructions. You must complete a separate budget for each year of support
requested. The form will generate a cumulative budget for the total project period. You must
complete all the mandatory information on the form before the NEXT PERIOD button is
activated. You may request funds under any of the categories listed as long as the item and
amount are necessary to perform the proposed work, meet all the criteria for allow ability under
the applicable Federal cost principles, and are not prohibited by the funding restrictions in this
FOA (See Part IV, G.). Note that foreign travel and participant/trainee costs are typically
considered unallowable costs unless approved by the DOE contracting officer.

Phase I Principal Investigator meeting: Applicants may include in their Phase I budget a
registration fee ($250) and travel expenses for the Principal Investigator and, if necessary, a
registration fee ($250) and travel expenses for a person from the small business representing the
commercialization interests of the company to attend the DOE SBIR/STTR Phase I Principal
Investigator Meeting. Attendance by the Principal Investigator is expected. This two-day
meeting, held in the DC metro area, will provide opportunities to meet with DOE Program
Managers and TABA providers, as well as learn about the DOE SBIR/STTR programs, with an
emphasis on the Phase II application. The DOE SBIR/STTR Phase I Principal Investigator
Meeting will be held approximately four months after the Phase I period of performance begins.
Principal Investigators will be notified of the exact date and venue for the DOE SBIR/STTR
Phase I Principal Investigator Meeting approximately eight weeks after the Phase I grant start
date by an e-mail from the DOE contractor managing the meeting. The email will contain the
URL for the DOE SBIR/STTR Phase I Principal Investigator Meeting website, where
participants will be able to register, make lodging reservations, and view the agenda for the
meeting.

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TECHNICAL AND BUSINESS ASSISTANCE (FORMERLY COMMERCIALIZATION ASSISTANCE)
(SECTION F, FIELD 8, 9, OR 10 [OPTIONAL])

In accordance with the John S. McCain National Defense Authorization Act for Fiscal Year
2019, DOE is able to fund discretionary technical and business assistance (TABA) to all DOE
SBIR and STTR Phase I grantees. Grant recipients have two options for receiving TABA: (1)
utilize services provided by a DOE vendor or (2) identify their own TABA provider(s).

If you wish to receive TABA from a DOE-funded vendor, you do not need to include this
expense in your budget. If you are awarded a Phase I grant, you will receive notification from
DOE and follow-up contact from a DOE-funded vendor on what services are available to you
and how to obtain these services at no cost to your small business.

If you wish to utilize your own TABA provider(s), you are required to include this as one or
more subcontracts or consultants in your budget and to provide a detailed budget justification.
You may include up to $6,500 per project. Please note that the TABA does not count toward the
maximum grant size listed in Section II. C.; e.g., seeking TABA from your provider could result
in a maximum grant in the amount of $206,500 for topics that specify a maximum award amount
of $200,000. Reimbursement is limited to services received that comply with 15 U.S.C. § 638(q).
Only direct costs can be included in the $6,500 allowed for TABA. Overhead costs associated
with TABA must be included in the maximum award amount.

You may propose services in the following areas:

 product sales
 intellectual property protections
o Patent prosecution costs related to obtaining United States patent protection for
subject inventions of this award may be budgeted under TABA. Patent
prosecution costs include attorney fees and United States Patent and Trademark
Office (USPTO) fees. United States patent protection includes filings with the
USPTO related to provisional, Patent Cooperation Treaty (PCT), non-provisional,
continuation, and continuation-in-part patent applications. Patent prosecution
costs related to foreign patent protection (e.g. foreign attorney, foreign patent
office or translation fees) are unallowable.
 market research
 market validation
 development of certifications and regulatory plans
 development of manufacturing plans

Services are defined as acts of assistance in which no goods are exchanged. In some situations,
incidental goods, such a report on the services provided, are exchanged. The following examples
are provided for clarification:
• Market Research: Conducting market research in the planned area of commercialization
is a service, and a report describing the finding is typically provided.

52
 • Advertising: Developing an advertising strategy or designing advertising campaign
materials are services. Paying to place ads or print brochures would not be considered a
service.
• Website Development: Developing website content is a service.

Third party vendors or a federal entity issuing patents, certifications or regulatory approvals,
must be used when spending TABA funds. Vendor(s) may not be the SBIR/STTR applicant or
awardee or its research partner or a research institution performing part of the research and
development portion of the award.

In the event some or the entire amount listed is not expended on TABA services, the remaining
funds cannot be re-budgeted to other project costs. Re-budgeting of these funds for other than
TABA services is not allowable.

BUDGET JUSTIFICATION (FIELD L ON THE FORM): [MANDATORY]

Provide supporting information for all proposed costs, including hours and rates for all
personnel. Attach a single budget justification file for the entire project period in Field K. A
budget justification template may be found here: https://science.osti.gov/sbir/Applicant-
Resources/Grant-Application. Provide any other information you wish to submit to justify your
budget request. If your organization has an Indirect Cost Rate Agreement (ICRA) in effect with
your Cognizant Federal Agency [Defense Contract Audit Agency (DCAA), Department of
Health and Human Service’s Division of Cost Allocation (DCA), etc.] supporting the indirect
rate(s) proposed, please provide this information with your application if the rate agreement (a)
is dated no later than 2019 and (b) covers the proposed period of activity. Please note that if you
are selected for a grant, additional budget explanation will most likely be required.

Note: All proposed purchase of equipment will be carefully reviewed relative to need and
appropriateness for the research or R&D proposed. Although there is no absolute cap on indirect
costs, grant applications will be evaluated for overall economy and value to DOE.
 Travel funds must be justified and related to the needs of the project, e.g., travel to DOE
Headquarters to meet with the DOE Program Manager. Travel expenses for technical
conferences are not permitted unless the purpose of attending the conference directly relates
to the project, e.g., to present results of the project. Foreign travel is not normally an
appropriate expense. Funds to cover travel expenses outside of the United States are
considered an unallowable direct cost unless written approval has been obtained from the
DOE Contracting Officer.
 Grant funds may not be used to pay patent prosecution costs and related expenses. See
TABA for paying such fees.
 Tuition expenses are allowable only if requested from a research institution or subcontractor
that is a university, provided the amount requested for tuition is reasonable and comparable
to what a student would be paid for performing research during the grant performance period.
 Any commercial and/or in-kind contribution to the project should be reflected in the project
narrative and not included on the budget pages.

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6. R&R SUBAWARD BUDGET ATTACHMENT(S) FORM: [if applicable, Budgets for
Subawards, including Research Institutions]

Budgets for Subawardees: You must provide a separate R&R budget for each subawardee.
Download the R&R Budget Attachment from the R&R SUBAWARD BUDGET
ATTACHMENT(S) FORM and either e-mail it to each subawardee that is required to submit a
separate budget or use the collaborative features of Workspace. After the subawardee has either
e-mailed its completed budget back to you or completed it within Workspace, attach it to one of
the blocks provided on the form. Use up to 10 letters of the subawardee’s name (plus.pdf) as the
file name (e.g., ucla.pdf or energyres.pdf). Filenames should not exceed 50 characters.

If the project involves more subawardees than there are places in the SUBAWARD BUDGET
ATTACHMENT(S) FORM, the additional subaward budgets may be saved as PDF files and
appended to the Budget Justification attached to Field K.

Applicants should consult their local information technology (“IT”) support resources for any
necessary assistance in converting the forms downloaded from Grants.gov into plain PDF files
that can be combined into one non-Portfolio PDF file (the Budget Justification).

Ensure that any files received from subawardees are the PDF files extracted from the
SUBAWARD BUDGET ATTACHMENT(S) FORM. Errors will be created if a subawardee
sends a prime applicant a budget form that was not extracted from the application package. Do
not use a sub-award budget downloaded directly from grants.gov or any source other than the
application package.

Additional budget information for any sub-awardee will likely be required if selected for award.

7. SF-LLL DISCLOSURE OF LOBBYING ACTIVITIES: [OPTIONAL]

If any funds other than Federal appropriated funds have been paid or will be paid to any person
for influencing or attempting to influence an officer or employee of any Federal agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with the grant/cooperative agreement, you must complete and submit
SF-LLL “Disclosure Form to Report Lobbying.”

8. SBIR/STTR INFORMATION FORM: [MANDATORY]

Complete all the required forms in accordance with the pop-up instructions on the form.

Each application must be submitted to a DOE SBIR/STTR Topic and, within the Topic, to only
one Subtopic. DOE will not assign a Topic and/or Subtopic to grant applications; this must be
done by the applicant. The Topic and Subtopic are also required on page 1 of the Project
Narrative.

Applicants must utilize the Company Commercialization Report (CCR) from SBIR.gov to
provide their company commercialization history of past SBIR/STTR awards). The CCR allows

54
companies to report funding outcomes resulting from prior SBIR and STTR awards. SBIR and
STTR awardees are required by the SBA Policy Directive to update and maintain their
organization’s CCR on SBIR.gov. Companies may complete this report by logging into the
company’s account on SBIR.gov and starting a new Company Commercialization Report. To
complete and include a Company Commercialization Report within your application you should:

1. Log into the company account at https://www.sbir.gov/.

2. Navigate to My Dashboard > My Documents to view or print the information currently
contained in the Company Registry Commercialization Report.
3. Create or update the commercialization record, from the company dashboard, by
scrolling to the “My Commercialization” section, and clicking the create/update
Commercialization tab under “Current Report Version”. Please refer to the “Instructions”
and “Guide” documents contained in this section of the Dashboard for more detail on
completing and updating the CCR. Ensure the report is certified and submitted.
4. Click the “Company Commercialization Report” pdf under the My Documents section
of the dashboard to download a pdf of the CCR.
5. For SBIR Applicants including applicants submitting to both SBIR and STTR
Programs, the CCR should be attached to Question 8 of the SBIR/STTR Information
form. For STTR-only applicants, the CCR should be attached to Question 12 of the
Research and Related – Other Project Information Form. The attached document should
be titled “Commercialization History.pdf”

FAST-TRACK COMMERCIALIZATION PLAN (REQUIRED, FIELD 8)

It is a statutory objective of SBIR/STTR funding that technology developed using these designated
taxpayer funds result in some form of benefit for the American people whether it be in the form of
taxable revenue, jobs or some other societal or scientific benefit.

Your Fast-Track Commercialization Plan narrative cannot exceed 15 pages. This page limit does
not include return on investment and net present value worksheets, pro forma worksheet, and
Letters of Support, which must be appended to the commercialization plan narrative. Your Fast-
Track Commercialization Plan must be uploaded to field 7 as a single document. This information
will be evaluated and considered part of the score for the “Impact” criteria discussed in Part V.
The DOE recognizes that each innovation requires a varied strategy to generate returns on invested
capital and that no two businesses are exactly alike. Therefore, DOE supports a broad array of
commercialization strategies. Each strategy requires varied emphasis on the parts of the plan
depending on your innovation and the market landscape. For instance, the strategy and
mechanisms for leveraging and protecting intellectual property (IP) vary according to industry and
innovation.

The Commercialization Plan is your roadmap for the future and should convey how you plan to
generate profits from your innovation. It should represent a compelling vision that describes a
unique business opportunity that could be addressed with continued support from Phase II funding.
The depth and quality of the analysis within your Commercialization Plan is a critical element of
the DOE SBIR/STTR application review.

55
Please Note: All assumptions and estimates provided should be clearly stated as such and evidence
of validation should be provided in a footnote. Where you provide numerical data (e.g. market
size, price, etc.) or data about customer needs, market forces, barriers to entry and the like, you
should indicate the source of the data using footnotes. Market research reports, articles by experts
in trade publications or professional journals, interviews, focus groups, surveys, are among
commonly used sources of data.

The following four sections must be addressed in your Commercialization Plan:

1. Market Opportunity
a) Describe succinctly what product or service you are planning to deliver based on your
innovations:
• Identify your target customer providing generally known examples.
• Describe the critical needs that your product or service will fulfill for your customer [i.e. these
can be current or emerging].
• How does the target customer(s) currently meet the need that you are addressing and what do
they pay to meet the need?
• What is your customer willing to pay for your product or service? How have you validated this
assumption?
• What features of your product or service will allow you to provide a compelling value
proposition? How have you validated the significance of these features? State the value proposition
for your product or service.

b) Address Market Opportunity

• What is the current size of the broad market you plan to enter? How large is your “niche” market
opportunity, in terms of either numbers of customers or revenues? (If you use number of
customers, estimate revenues based on the anticipated selling price of your product or service.)
• Is the target market domestic, international, or both?
• What are the growth trends for the market and the key market drivers that will affect whether
customers will buy your product or service?
• What barriers to entry exist in this market, which will inhibit sales of your product or service?

c) Describer the channels you would employ to reach the targeted customer.

d) What business model will you adopt to generate revenue from your innovation?
• Will you make and sell? License? Form a strategic alliance with a company already in the
industry? Use a different model?
• Explain why this model makes sense for the market opportunity described.

e) If there are potential societal, educational, or scientific benefits beyond commercial

considerations that will generate goodwill for your company or the product or service, they should
be included here and explained in sufficient detail to convey the significances of the effort.

2. Company/Team
a) Provide a short description of the origins of the company.

56
b) What type of corporate structure is in place?

c) What is the current capitalization and is it sufficient for implementing your Commercialization
Plan?

d) What is the revenue history for the past three years? What is your anticipated revenue history
through Phase II? Provide a table with percentages or sums of operating capital or revenue: product
sales, consulting/services, license revenues, research and development grants/contracts, and
others.

e) What is the current employee count?

f) Give a brief description of the experience and credentials of the personnel responsible for taking
the innovation to market, clarify how the background and experience of the team enhance the
credibility of the Commercialization Plan.

g) What specific experience does the team lack and how will this be addressed during the Phase II
effort and beyond? From what additional resources do you have commitments to address these
limitations e.g., Board of Directors, technical advisors, or retained legal counsel? Please provide
details on names, affiliations, and expertise of these resources.

3. Competition/Intellectual Property
a) Describe currently existing products or services that are found in the patent literature (and if
relevant, copyright and trademark literature) or that is emerging from research or R&D, which
may be substitutes for your product or service.
• How does your product or service match up to these substitutes in terms of the needs customers
are seeking to meet?
• Who is developing, making, and selling those products or services and what do you anticipate
the competitive landscape to look like when you get to market?

b) Describe intellectual property (IP) rights you have secured for your technology to date and if
any procedures are underway to expand or enhance the protection provided by those rights. Please
describe your actions to protect these rights.

c) Describe which IP is closest and which is most threatening to your “freedom to operate” and
how you are different enough to be able to secure your freedom to operate.

d) What other IP will you need to secure rights to make, use, or sell in order to address the market
opportunity described above?

4. Finance and Revenue Model

a) Describe an appropriate staged finance plan given the market opportunity. Outline the level of
funding required for each stage along the path to commercialization.
• What are your costs to complete research and development, product, and production
development/design/engineering, and to produce the product or service?
• What are the costs required to implement your commercialization strategy?

57
• How will you access the appropriate funds?

b) Provide a table with anticipated costs identifying the anticipated source of each detailing
revenues or other operating capita you can devote to these. If there is a shortfall, explain how you
will raise or access the appropriate funds. If no additional cash is needed explain why you are
confident that is the case.

c) Provide specific contacts, leads, previous relationships, and agreements already in place. Are
any other commitments in place, which will affect your ability to raise Phase II follow-on funding?

d) Provide an estimate of the DOE return on investment or net present value for this project. A
template for estimating return on investment is provided at the DOE SBIR/STTR Programs Office
website at http://science.energy.gov/sbir/funding-opportunities/application-resources/. This
estimate should incorporate the profit before taxes (positive cash flow) for the first 10 years of
commercialization and treat DOE SBIR or STTR funding as an investment (negative cash flow).
Describe the revenue streams (licensing, product sales or other) associated with your
Commercialization Plan. When do you anticipate “first revenues” from each stream? When do you
expect to reach “break even”?

e) Provide annual pro formas for the next five years (two years of the Fast-Track Phase II +3 years’
post Phase II). Income Statements are required. Cash Flow and Balance Sheets may be included if
they are considered critical for your strategy. If not included, Cash Flow and Balance Sheets should
be available upon request from DOE.

Please Note: You must indicate the assumptions and estimates being made in this part of your
application and clearly state the source of data you have used to validate these assumptions or as
a basis for making assumptions or estimates. You must also indicate the source for any numerical
or other hard data provided, such as market size, price, market drivers, and barriers to entry.
Evaluate the competitive advanced of this technology vs. alternate technologies that can meet
similar market needs.

Please Note: All applications lacking a separate and attached Commercialization Plan as noted
above will be administratively declined and will not undergo further review or consideration for
award.

COMMERCIALIZATION HISTORY (FIELD 9, IF APPLICABLE)

If you have received SBIR/STTR Phase II grants from any Federal agency, then you must
provide your company Commercialization History. If you are an SBIR or Both SBIR/STTR
applicant, attach your Company Commercialization Report (CCR) from SBIR.gov to Field 9. For
STTR-only applications, attach your CCR to Field 12 of the R&R Other Project Information.
Please name your CCR document “Commercialization History.pdf”

9. Summary of Required Forms and Files

58
The table below lists the required forms and the attachments associated with each form. Some of
the information must be directly entered onto the forms and other information must be attached
to the forms as directed. Please read carefully.

Please note: Applications lacking the following required documentation will be administratively
declined without technical review. To assist you in submitting the necessary forms with your
application, please refer to the DOE SBIR/STTR Phase I Application Checklist, located on the
DOE SBIR/STTR Programs Office website under “Applicant Resources” at
https://science.osti.gov/sbir/Applicant-Resources/Grant-Application.

Your application must include the following documents:

Name of Document Format Attach to

Application for Federal Assistance, SF-424 Form PDF
Research and Related: Budget Form PDF
Additional Senior Key Persons, if applicable PDF Field A. 9
Additional Equipment, if applicable PDF Field C. 11
Budget Justification PDF Field K
Research and Related: Senior/Key Person Profile Form PDF
Appropriate
Biographical Sketch for each person PDF
Block
Appropriate
Current & Pending Support for each person, if applicable PDF
Block
Research and Related: Other Project Information Form PDF
Project Abstract and Summary PDF Field 7
Project Narrative PDF Field 8
Include in Project
Bibliography and References Cited, if applicable PDF
Narrative
Include in Project
Facilities and Other Resources, if applicable PDF
Narrative
Include in Project
Equipment, if applicable PDF
Narrative
Other— Data Management Plan PDF Field 12
Other— Disclosure of Foreign Relationships PDF Field 12
Other—Level of Effort & Max Funding Worksheet PDF Field 12
Other—Letter of Commitment for consultant, sub-award,
PDF Field 12
or research institution, if applicable
Other—Letters of Support, if applicable PDF Field 12
Other—SBA Company Registration PDF Field 12
Other – Company Commercialization Report from
PDF Field 12
SBIR.gov for STTR-Only applications, if applicable
Authorization for non-DOE/NNSA FFRDCs, if applicable PDF Field 12

59
 Authorization for DOE/NNSA FFRDC, if applicable and if
PDF Field 12
available
Research and Related: Sub-award Budget Form, if
PDF
applicable
Appropriate
Budget Justification for each Sub-award PDF
Block
SF-LLL, Disclosure of Lobbying Activities, if applicable PDF
Project/Performance Site Location(s) PDF
SBIR/STTR Information Form PDF
Fast-Track Commercialization Plan PDF Field 8
Company Commercialization Report from SBIR.gov for
PDF Field 9
SBIR or Both SBIR/STTR applications, if applicable

F. SUBMISSIONS FROM SUCCESSFUL PHASE I APPLICANTS

If selected for a grant, DOE reserves the right to request additional or clarifying information for
any reason deemed necessary, including, but not limited to:
 Indirect cost information
 Other budget information
 Name and phone number of the “Designated Responsible Employee” for complying with
national policies prohibiting discrimination (See 10 CFR 1040.5)
 Representation of Limited Rights Data and Restricted Software, if applicable
 Representation Concerning Financial Management System
 Consultant documentation/verification of rates
 Environmental, Safety and Health (ES&H) Information

1. SBIR/STTR Certifications

If selected for a Phase I or Fast-Track grant, applicants will be required to sign and submit one or
more certification forms. These forms will be provided by a DOE contract specialist or DOE
grants management specialist during grant negotiation.

2. STTR Property and Commercialization Agreements

If selected for a Phase I or Fast-Track STTR grant, an applicant will need to certify that they
have a Property and Commercialization Rights Agreement in place with the partnering Research
Institution. DOE strongly encourages preparing the Property and Commercialization Rights
Agreement immediately upon notice of award selection at the latest. The following hyperlinked
documents are provided for information purposes only and are subject to changes and updates
prior to grant negotiation:
Certification for Property and Commercialization Rights Agreement
Allocation of Intellectual Property Rights and Rights to Carry out Follow-on Research,
Development or Commercialization

G. SUBMISSION DATES AND TIMES

60
1. Letter of Intent

The LOI due date is printed on the cover of this FOA.

You are encouraged to submit your LOI well before the deadline. LOIs may be submitted at any
time between the publication of this FOA and the stated deadline.

2. Pre-Application

A Pre-Application is not required.

3. APPLICATIONS

The application due date is printed on the cover of this FOA.

You are encouraged to transmit your application well before the deadline. Applications may be
submitted at any time between the publication of this FOA and the stated deadline.

Unsolicited grant applications will not be accepted. Any submission incorporating data affecting
the national security will not be accepted for evaluation. Modifications will be accepted if
received before the deadline.

4. LATE SUBMISSIONS

Delays in submitting LOIs or applications may be unavoidable. DOE has accepted late
submissions when applicants have been unable to make timely submissions because of
technological disruptions or large-scale natural disasters. Other circumstances will not justify late
submissions. Examples of unacceptable justifications are provided below:
 Failure to begin submission process early enough
 Failure to provide sufficient time to complete the process
 Failure to understand the submission process
 Failure to understand the deadlines for submissions
 Failure to satisfy prerequisite registrations
 Unavailability of administrative personnel

Applicants must email the Agency Contact listed in Section I of this FOA (sbir-
[email protected] within 24 hours of the submission deadline) to request a late submission.
Applicants may be requested to submit a copy of the current draft of their application including
attachments in response to a late submission request.

Requests for late submissions may be accepted at the sole discretion of DOE.

Late applications will only be accepted from applicants that have received permission, and only
one such request will be permitted.

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H. INTERGOVERNMENTAL REVIEW

This program is not subject to Executive Order 12372—Intergovernmental Review of Federal

Programs.

I. FUNDING RESTRICTIONS

Funding for all awards and future budget periods are contingent upon the availability of funds
appropriated by Congress for the purpose of this program and the available future-year budget
authority.

1. Fee

Grants may include a profit or fee for the applicant. Fees are subject to negotiation and shall not
exceed 7% of the total costs (direct and indirect). Profit or fee is not “program income” and shall
not be included in field 15.d. of the SF-424 (R&R) application.

Example:
Total direct and indirect costs = $186,915.89
Fee (7%) = $ 13,084.11
Total = $200,000.00

The fee applies solely to the small business concern receiving the award and for-profit R&D
subcontractors participating in the project. In addition, the grantee may pay a profit/fee to a
contractor providing routine goods or non-R&D services in accordance with normal commercial
practice.

2. Cost Principles

Costs must be allowable, allocable and reasonable in accordance with the applicable Federal cost
principles referenced in 2 CFR 200 as modified by 2 CFR 910 (DOE Financial Assistance
Regulation).

3. Pre-award Costs

Recipients may charge to an award resulting from this FOA pre-award costs that were incurred
within the ninety (90) calendar day period immediately preceding the effective date of the award,
if the costs are allowable in accordance with the applicable Federal cost principles referenced in
2 CFR 200 as modified by 2 CFR 910 (DOE Financial Assistance Regulation). Recipients must
obtain the prior approval of the Contracting Officer for any pre-award costs that are for periods
greater than this 90-day calendar period.

Pre-award costs are incurred at the applicant’s risk. DOE is under no obligation to reimburse
such costs if for any reason the applicant does not receive an award or if the award is made for a
lesser amount than the applicant expected.

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4. Indirect Costs

Indirect costs are normally a component of a project budget and derive from an applicant’s
Indirect Rate(s), established in accordance with its financial management system. Experience has
shown that creating and supporting these rates can be one of the most problematic elements of a
budget, and the subsequent negotiation of costs for the project. Applicants are encouraged to be
proactive in ensuring that all proposed rates are established in a timely manner and in accordance
with applicable cost principles. If you are selected for a grant, establishing the acceptability of
your proposed indirect costs, if any, is essential to the review of your budget and may take
various forms, including: 1) An Indirect Cost Rate Agreement (ICRA) in effect with your
Cognizant Federal Agency, which covers the period of performance of this grant and supports
the indirect rate(s) proposed; 2) If no ICRA exists, an Indirect Cost Rate Proposal may be
submitted to DOE for evaluation; or 3) indirect rates that have been accepted for estimating
purposes by DOE or another Federal agency for the period of performance of this grant.

If you are proposing indirect costs and do not already have an Indirect Cost Rate Agreement with
your Cognizant Federal Agency or documentation of rates accepted for estimating purposes by
DOE or another Federal agency, it is recommended that you begin preparing an Indirect Cost
Rate Proposal to be submitted, upon request, to the DOE contract specialist/grants management
specialist who will evaluate your application if you are selected for award. The indirect cost base
provided on your indirect cost rate proposal must be consistent with the indirect cost base
provided on your Research & Related Budget.

For your convenience in preparing an Indirect Cost Rate proposal, links are provided below to
the document titled “Guidance for Indirect Rate Submission”, to the “Simple Indirect Rate
Model” in Microsoft Excel format, and to the “Indirect Rate Presentation.”

 Guidance for Indirect Rate Submission

 Simple Indirect Rate Model in Excel Format
 Indirect Rate Presentation (Complete the registration information to view the presentation)

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 SECTION V – APPLICATION REVIEW INFORMATION

A. CRITERIA

1. Initial Review Criteria

Applications will be evaluated for responsiveness by DOE technical program experts to ensure
that they (1) meet stated FOA requirements described in Section III - Eligibility Information, and
Section IV, C. and Section IV, D, (2) identify and are responsive to a topic and subtopic and
fully address the research and development opportunity described, (3) contain sufficient
information for a meaningful technical review, (4) are for research or for research and
development, (5) do not duplicate other previous or current DOE-funded work, (6) are consistent
with program area mission, policies, and other strategic and budget priorities, and (7) describe an
innovation that is substantially the same as that in the LOI technical abstract. Applications failing
to pass this initial review will be declined without further review.

2. Merit Review Criteria

Phase I Merit Review Criteria

DOE plans to make selections for Phase I awards from those applications judged to have the
highest overall merit within their technical program area, with equal consideration given to each
of the following criteria:

Strength of the Scientific/Technical Approach as evidenced by

(1) the innovativeness of the idea and the approach,
(2) the significance of the scientific or technical challenge, and
(3) the thoroughness of the presentation.

Ability to competently carry out the project as evidenced by

(1) the qualifications of the PI, other key staff, subcontractors and consultants, if any, and the
level of adequacy of equipment and facilities;
(2) the soundness and level of adequacy of the work plan to show progress toward proving the
feasibility of the concept; and
(3) the degree to which the DOE investment in the project would be justified by the level of
proposed research effort.

Impact as evidenced by
(1) the significance of the technical and/or economic benefits of the proposed work, if successful,
(2) the likelihood that the proposed work could lead to a marketable product or process,
(3) the likelihood that the project could attract further development funding after the SBIR or
STTR project ends, and
(4) the appropriateness of the data management plan for the proposed work.

Please refer to Section VIII, A. of this FOA for guidance on what to include in your
Commercialization Plan and Commercialization History.

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Fast-Track Merit Review Criteria

DOE plans to make selections for Fast-Track awards from those applications judged to have the
highest overall merit within their technical program area, with equal consideration given to each
of the following criteria:

Strength of the scientific/technical approach as evidenced by:

(1) the strength and innovativeness of the overall idea and approach for the combined Phase
I/Phase II project,
(2) the significance of the scientific or technical challenge, and
(3) the thoroughness of the presentation.

Ability to competently carry out the project as evidenced by:

(1) the qualifications of the PI, other key staff, consultants and subcontractors, if any, and the
level of adequacy of equipment and facilities;
(2) the soundness and level of adequacy of the work plan to meet the problem or opportunity;
and
(3) the degree to which the DOE investment in the project would be justified by the level of
proposed research effort.

Impact as evidenced by:

(1) the significance of the technical and/or economic benefits of the proposed work, if successful,
(2) the likelihood that the proposed work could lead to a marketable product or process,
(3) the likelihood that the project could attract further development funding after the SBIR or
STTR project ends, and
(4) the appropriateness of the data management plan for the proposed work.

Phase II applications will be evaluated for commercial potential using the Commercialization
Plan data (see Section IV, D for details):
(1) Market Opportunity,
(2) Company/Team
(3), Competition/Intellectual Property, and
(4) Finance and Revenue Model.
Each section should be developed with careful analysis of your company’s position within the
industry and the market opportunity that is enabled by the proposed innovation. Applications that
receive poor commercialization potential reviews will not be eligible for funding. The key points
required for each section are further described below in Section V, B.

B. REVIEW AND SELECTION PROCESS

1. Merit Review

Applications will be subject to a detailed technical evaluation by experts, both inside and outside
the Government. The DOE will not fund any application for which there are weaknesses
identified with respect to any of the three bolded merit review criteria listed above, as determined
by the review process. In addition, because the DOE supports only high quality research and

65
development, applications will be considered candidates for funding only if they receive the
highest rating with respect to at least two of the three criteria.

2. Program Policy Factors

The Selection Official may consider any of the following program policy factors in making the
selection, listed in no order of significance:

 Ensuring an appropriate balance of activities

 Program balance of funds distribution
 Needs of the technical programs
 The applicant’s performance under prior DOE SBIR/STTR awards including timely
submittal of all reports
 Availability of funds
 Promoting the diversity of institutions receiving awards
 Promoting institutions not previously funded by a DOE SBIR/STTR award.

3. Selection

Each technical program area participating in the SBIR/STTR programs is provided a

predetermined target number of applications that they may select for funding. The applications
that are considered candidates for funding are ranked in order of the highest quality and strongest
program relevance based on the results of the evaluation. The Selection Official will consider the
findings of the merit review and may consider any of the Program Policy Factors described
above.

4. Review of Risk

Pursuant to 2 CFR 200.206, DOE will conduct an additional review of the risk posed by
applications submitted under this FOA. Such review of risk will include:
 Technical merit of the application,
 Reports and findings from audits performed under 2 CFR 200 and/or 2 CFR 910, and
 Systems maintained under 2 CFR 180.

DOE may make use of other publicly available information and the history of an applicant’s
performance under DOE or other Federal agency awards.

Applicants with no prior performance of DOE awards may be asked to provide information
about their financial stability and or their ability to comply with the management standards of 2
CFR 200.

DOE may incorporate specific award conditions of a programmatic and/or administrative nature
if an applicant exhibits one or more high-risk factors under 2 CFR 200.208.

Further, DOE may conduct a review, through Government resources, of the applicant and project
personnel with a connection to a foreign country. This includes, but is not limited to, (1)

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performance of work in, (2) travel to, and (3) awardee personnel’s higher education in a foreign
Country, as well as (4) partnerships with international collaborators.

The result(s) of any pre-award review of risk may supersede the results of merit review under 2
CFR 200.205, preventing DOE from selecting an application for award, reversing a selection for
award, or requiring the disengagement of specific personnel. The results of any post-award
review of risk may result in requiring the disengagement of specific personnel, the imposition of
other requirements, or the termination of an award that “no longer effectuates the program goals
or agency priorities” under 2 CFR 200.340(a)(2). 2 CFR 200.206(c).

Pursuant to 2 CFR 910.128, the results of any pre-award review of risk are not appealable. Any
pre-award decision to not select an application for award, reverse a selection for award, or
require the disengagement of specific personnel will be made by the Selection Official or SC
Program Official. Pursuant to 2 CFR 910.128, the results of any post-award review of risk may
be appealable. Any post-award decision to require the disengagement of specific personnel, the
imposition of other requirements, or the termination of an award will be made by the Contracting
Officer.

Pursuant to the SBIR and STTR Extension Act of 2022, DOE will not make an award under the
SBIR or STTR program to a small business concern if DOE has determined that
 the small business concern submitting the proposal or application
o has an owner or covered individual that is party to a malign foreign talent recruitment
program;
o has a business entity, parent company, or subsidiary located in the People’s Republic
of China or another foreign country of concern; or
o has an owner or covered individual that has a foreign affiliation with a research
institution located in the People’s Republic of China or another foreign country of
concern; and
 the relationships and commitments described above
o interfere with the capacity for activities supported by DOE to be carried out;
o create duplication with activities supported by DOE;
o present concerns about conflicts of interest;
o were not appropriately disclosed to DOE;
o violate Federal law or terms and conditions of DOE; or
o pose a risk to national security.

“Foreign countries of concern” means the People’s Republic of China, the Democratic People’s
Republic of Korea, the Russian Federation, the Islamic Republic of Iran, Burma, Eritrea,
Pakistan, Saudi Arabia, Tajikistan, and Turkmenistan.

“Covered individual” means an individual who contributes in a substantive, meaningful way to

the scientific development or execution of a research and development (R&D) project proposed
to be carried out with a R&D award from DOE, i.e. senior/key personnel. DOE may further
designate covered individuals during award negotiations or the award period of performance.

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“Foreign affiliation” means a funded or unfunded academic, professional, or institutional
appointment or position with a foreign government or government-owned entity, whether full-
time, part-time, or voluntary (including adjunct, visiting, or honorary).

“Malign foreign talent recruitment program” has the meaning given such term in section 10638
of the Research and Development, Competition, and Innovation Act (division B of Public Law
117–167)

REPORTING OF MATTERS RELATED TO RECIPIENT INTEGRITY AND PERFORMANCE (DECEMBER

2015)

DOE, prior to making a Federal award with a total amount of Federal share greater than the
simplified acquisition threshold, is required to review and consider any information about the
applicant that is in the designated integrity and performance system accessible through SAM
(currently FAPIIS) (see 41 U.S.C. 2313); The applicant, at its option, may review information in
the designated integrity and performance systems accessible through SAM and comment on any
information about itself that a Federal awarding agency previously entered and is currently in the
designated integrity and performance system accessible through SAM; DOE will consider any
written comments by the applicant, in addition to the other information in the designated
integrity and performance system, in making a judgment about the applicant’s integrity, business
ethics, and record of performance under Federal awards when completing the review of risk
posed by applicants as described in §200.206 Federal awarding agency review of risk posed by
applicants.

5. Discussions and Award

The Government may enter into discussions with a selected applicant for any reason deemed
necessary, including but not limited to the following: (1) the budget is not appropriate or
reasonable for the requirement; (2) only a portion of the application is selected for award; (3) the
Government needs additional information to determine that the recipient is capable of complying
with the requirements in 2 CFR 200 as modified by 2 CFR 910 (DOE Financial Assistance
Regulation); and/or (4) special terms and conditions are required. Failure to resolve satisfactorily
the issues identified by the Government will preclude award to the applicant.

C. ANTICIPATED NOTICE OF SELECTION AND GRANT START DATES

DOE anticipates sending notice of selection mid May 2023. The anticipated grant start date is
June 26, 2023.

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 SECTION VI – AWARD ADMINISTRATION INFORMATION

A. AWARD NOTICES

This FOA is intended for informational purposes and reflects current planning. If there is any
inconsistency between the information contained herein and the terms of any resulting SBIR or
STTR grant, the terms of the grant shall control.

1. Notice of Selection

Selected Applicants Notification: DOE will notify applicants selected for award. This notice of
selection is not an authorization to begin performance, nor does it mean award has been made.
(See Section IV.H. with respect to the allowability of pre-award costs.)

Historically, not all selected applicants have received negotiated and finalized awards.

Non-selected Notification: Organizations whose applications have not been selected will be
advised as promptly as possible. This notice will explain why the application was not selected.

2. Notice of Award

An Assistance Agreement issued by the DOE Contracting Officer is the authorizing award
document. It normally includes, either as an attachment or by reference, the following items: (1)
Special Terms and Conditions, (2) Intellectual Property Provisions, (3) Federal Assistance
Reporting Checklist and Instructions, (4) Budget Pages, (5) The Research Terms and Conditions,
available at: https://www.nsf.gov/pubs/policydocs/rtc/rtcoverlay_march17.pdf, and DOE Agency
Specific Requirements, available at https://www.nsf.gov/awards/managing/rtc.jsp, (6) DOE
Assistance Regulations, 2 CFR 200 as amended by 2 CFR 910 at: https://www.ecfr.gov/, (7)
Application/proposal as approved by DOE, (8) National Policy Assurances to Be Incorporated as
Award Terms in effect on date of award at: https://www.nsf.gov/awards/managing/rtc.jsp.

TERMS AND CONDITIONS

Sample DOE Special Terms and Conditions for Use in Most Grants and Cooperative
Agreements are located at: https://science.osti.gov/sbir/Awardee-Resources/Awardee-Documents
under Useful Documents for Awardees.

Sample Intellectual Property Provisions. The SBIR/STTR DOE financial assistance intellectual
property provisions applicable are located at: https://science.osti.gov/-
/media/sbir/pdf/files/manageapp/general_terms_and_conditions.pdf

NATIONAL POLICY ASSURANCES

The National Policy Assurances To Be Incorporated As Award Terms are located at:
https://energy.gov/management/office-management/operational-management/financial-
assistance/financial-assistance-forms under Award Terms.

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B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

The following additional policy provisions are applicable to this FOA. The full text of each
provision is in Section VIII of this FOA and may be accessed by navigating to the hyperlinks
below:
1. Evaluation and Administration by Non-Federal Personnel
2. Government Right to Reject or Negotiate
3. Intergovernmental Review
4. Modifications

Awards made under this FOA are subject to the following Administrative and National Policy
Requirements. The full text of each provision is in Section VIII of this FOA and may be accessed
by navigating to the hyperlinks below:
1. Administrative Requirements
2. Availability of Funds
3. Audit Requirements
4. Conference Spending (February 2015)
5. Commitment of Public Funds
6. Corporate Felony Conviction and Federal Tax Liability Representations (March 2014)
7. Cost Sharing
8. Environmental, Safety and Health (ES&H) Performance of Work at DOE Facilities
9. Federal, State, and Local Requirements
10. Funding Restrictions
11. Intellectual Property Development Under This Program
12. Matching Funds
13. National Environmental Policy Act (NEPA) Compliance
14. Nondisclosure and Confidentiality Agreements Representations (June 2015)
15. Prohibition on Lobbying Activity
16. Proprietary Application Information
17. Publications
18. Registration Requirements
19. Subaward and Executive Reporting

C. REPORTING

Reporting requirements are identified on the Federal Assistance Reporting Checklist, DOE F
4600.2, attached to the award agreement. The checklist is available at:
https://science.osti.gov/sbir/Awardee-Resources/Awardee-Documents under Useful Documents
for Awardees.

Final technical reports are required for each SBIR or STTR award. DOE will protect final
technical reports containing marked SBIR/STTR data from disclosure during the data protection
period. The data protection period extends from the award start date for a period of 20 years. At
the end of the data protection period, final technical reports will be released to the public to
comply with DOE statutory data dissemination requirements [Atomic Energy Act of 1954,

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Public Law 83-703; Energy Reorganization Act of 1974, Public Law 93-438; Department of
Energy Organization Act of 1977, Public Law 95-91].

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 SECTION VII – QUESTIONS/AGENCY CONTACTS

A. QUESTIONS

Questions regarding the content of this FOA must be submitted to the Agency Contact listed
below.

Questions regarding DOE SBIR/STTR Topics may be submitted to the contact listed with each
subtopic in the Topics document associated with this FOA located on the DOE SBIR/STTR
Programs website at https://science.osti.gov/sbir/Funding-Opportunities.

Please note: Potential applicants may discuss their grant proposal with the DOE Program
Managers as it relates to an SBIR/STTR topic or subtopic and whether the proposal appears to be
responsive to the subtopic. The DOE Program Managers will not provide any feedback or
guidance designed to provide a competitive advantage or to discuss the quality of a grant
proposal and will not discuss or answer questions related to anything other than the technical
proposal. Potential applicants may communicate with DOE Program Managers until the FOA
closing date.

Questions relating to the Grants.gov registration process, system requirements, how an

application form works, or the submittal process must be directed to Grants.gov at 1-800-518-
4726 or [email protected]. DOE cannot answer these questions. Please only contact the
Grants.gov help desk for questions related to Grants.gov.

For help with PAMS, click the “PAMS Help” link on the PAMS website,
https://pamspublic.science.energy.gov/. You may also contact the PAMS Help Desk, which can
be reached Monday through Friday, 9:00AM – 5:30 PM Eastern Time. Telephone: (855) 818-
1846 (toll free) or (301) 903-9610, Email: [email protected]. All submission
and inquiries about this FOA should reference the FOA number printed on the cover page. Please
contact the PAMS help desk for technological issues with the PAMS system.

B. AGENCY CONTACTS

Grants.gov 800-518-4726 (toll-free)

Customer Support [email protected]
(Available 24/7)
PAMS 855-818-1846 (toll-free)
Customer Support 301-903-9610
(Monday-Friday, 9 AM – [email protected]
5:30 PM Eastern)
All other questions All other questions regarding the DOE SBIR/STTR processing
of applications must be directed to the DOE SBIR/STTR
Programs Office.
Point-of-contact: Carl Hebron
301-903-5707, [email protected]

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C. DOE, OFFICE OF INSPECTOR GENERAL HOTLINE:

The Office of Inspector General (OIG) maintains a Hotline to facilitate the reporting of
allegations of fraud, waste, abuse, or mismanagement in DOE programs or operations. If you
wish to report such allegations, you may call, send a letter, or email the OIG Hotline
[email protected]. Allegations may be reported by DOE employees, DOE contractors, or the
general public. OIG contact information is available at http://energy.gov/ig/services.

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 SECTION VIII – SUPPLEMENTAL INFORMATION

A. HOW-TO GUIDES
1. How to Register in PAMS

After you submit your application through Grants.gov, the application will automatically transfer
into the Portfolio Analysis and Management System (PAMS) for processing by the DOE SC.
Many functions for grants can be done in PAMS, which is available at
https://pamspublic.science.energy.gov.

You will want to “register to” your application: a process of linking yourself to the application
after it has been submitted through Grants.gov and processed by DOE.

You must register in PAMS to submit a pre-application or a letter of intent.

You may use the Internet Explorer, Firefox, Google Chrome, or Safari browsers to access PAMS.
Notifications sent from the PAMS system will come from the PAMS email address
< [email protected]>. Please make sure your email server/software allows
delivery of emails from the PAMS email address to yours.

Registering to PAMS is a two-step process; once you create an individual account, you must
associate yourself with (“register to”) your institution. Detailed steps are listed below.

CREATE PAMS ACCOUNT

To register, click the “Create New PAMS Account” link on the website
https://pamspublic.science.energy.gov/.
 Click the “No, I have never had an account” link and then the “Create Account” button.
 You will be prompted to enter your name and email address, create a username and
password, and select a security question and answer. Once you have done this, click the
“Save and Continue” button.
 On the next page, enter the required information (at least one phone number and your
mailing address) and any optional information you wish to provide (e.g., FAX number,
website, mailstop code, additional email addresses or phone numbers,
Division/Department). Click the “Create Account” button.
 Read the user agreement and click the “Accept” button to indicate that you understand your
responsibilities and agree to comply with the rules of behavior for PAMS.
 PAMS will take you to the “Having Trouble Logging In?” page. (If you have been an SC
merit reviewer or if you have previously submitted an application, you may already be
linked to an institution in PAMS. If this happens, you will be taken to the PAMS home
page.)

REGISTER TO YOUR INSTITUTION

To submit to the SBIR/STTR programs, your institution must be a small business or individual.
 Click the link labeled “Option 2: I know my institution and I am here to register to the
institution.” (Note: If you previously created a PAMS account but did not register to an

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 institution at that time, you must click the Institutions tab and click the “Register to
Institution” link.)
 PAMS will take you to the “Register to Institution” page.
 Type a word or phrase from your institution name in the field labeled, “Institution Name
like,” choose the radio button next to the item that best describes your role in the system,
and click the “Search” button. A “like” search in PAMS returns results that contain the word
or phrase you enter; you do not need to enter the exact name of the institution, but you
should enter a word or phrase contained within the institution name. (If your institution has
a frequently used acronym, such as ANL for Argonne National Laboratory or UCLA for the
Regents of the University of California, Los Angeles, you may find it easiest to search for
the acronym under “Institution Name like.” Many institutions with acronyms are listed in
PAMS with their acronyms in parentheses after their names.)
 Find your institution in the list that is returned by the search and click the “Actions” link in
the Options column next to the institution name to obtain a dropdown list. Select “Add me
to this institution” from the dropdown. PAMS will take you to the “Institutions – List” page.
 If you do not see your institution in the initial search results, you can search again by
clicking the “Cancel” button, clicking the Option 2 link, and repeating the search.
 If, after searching, you think your institution is not currently in the database, click the
“Cannot Find My Institution” button and enter the requested institution information into
PAMS. Click the “Create Institution” button. PAMS will add the institution to the system,
associate your profile with the new institution, and return you to the “Institutions – List”
page when you are finished.

For help with PAMS, click the “External User Guide” link on the PAMS website,
https://pamspublic.science.energy.gov/. You may also contact the PAMS Help Desk, which can
be reached Monday through Friday, 9:00 AM – 5:30 PM Eastern Time. Telephone: (855) 818-
1846 (toll free) or (301) 903-9610, email: [email protected]. All submission
and inquiries about this FOA should reference the FOA number printed on the cover page.

2. How to Submit Letters of Intent

It is important that the LOI be a single file with extension .pdf, .docx, or .doc. The filename must
not exceed 50 characters. The PI and anyone submitting on behalf of the PI must register for an
account in PAMS before it will be possible to submit a letter of intent.

You may use the Internet Explorer, Firefox, Google Chrome, or Safari browsers to access PAMS.

Submit Your Letter of Intent:

 Create your letter of intent outside the system and save it as a file with extension .docx,
.doc, or .pdf. Make a note of the location of the file on your computer so you can browse for
it later from within PAMS.
 Log into PAMS and click the Proposals tab. Click the “View / Respond to Funding
Opportunity Announcements” link and find the current announcement in the list. Click the
“Actions/Views” link in the Options column next to this announcement to obtain a
dropdown menu. Select “Submit Letter of Intent” from the dropdown.
 On the Submit Letter of Intent page, select the institution from which you are submitting

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 this LOI from the Institution dropdown. If you are associated with only one institution in the
system, there will only be one institution in the dropdown.
 Note that you must select one and only one PI per LOI; to do so, click the “Select PI” button
on the far right side of the screen. Find the appropriate PI from the list of all registered users
from your institution returned by PAMS. (Hint: You may have to sort, filter, or search
through the list if it has multiple pages.) Click the “Actions” link in the Options column
next to the appropriate PI to obtain a dropdown menu. From the dropdown, choose “Select
PI.”
 If the PI for whom you are submitting does not appear on the list, it means he or she has not
yet registered in PAMS. For your convenience, you may have PAMS send an email
invitation to the PI to register in PAMS. To do so, click the “Invite PI” link at the top left of
the “Select PI” screen. You can enter an optional personal message to the PI in the
“Comments” box, and it will be included in the email sent by PAMS to the PI. You must
wait until the PI registers before you can submit the LOI. Save the LOI for later work by
clicking the “Save” button at the bottom of the screen. It will be stored in “My Letters of
Intent” for later editing.
 Enter a title for your letter of intent.
 Select the appropriate technical contact from the Program Manager dropdown.
 Select the appropriate Technical Topic Number from the dropdown. Click “Populate
Subtopic”.
 Select the appropriate Technical Subtopic Letter from the dropdown.
 To upload the LOI file into PAMS, click the “Attach File” button at the far right side of the
screen. Click the “Browse” (or “Choose File” depending on your browser) button to search
for your file. You may enter an optional description of the file you are attaching. Click the
“Upload” button to upload the file.
 At the bottom of the screen, click the “Submit to DOE” button to save and submit the LOI
to DOE.
 Upon submission, the PI will receive an email from the PAMS system
<[email protected]> acknowledging receipt of the LOI.

You are encouraged to register for an account in PAMS at least a week in advance of the LOI
submission deadline so that there will be no delays with your submission.

WARNING: The PAMS website at https://pamspublic.science.energy.gov/ will permit you to edit

a previously submitted LOI in the time between your submission and the deadline. If you choose to
edit, doing so will remove your previously submitted version from consideration. If you are still
editing at the time of the deadline, you will not have a valid submission. Please pay attention to the
deadline.

3. How to Register and Submit an Application in Grants.gov

This section provides the application submission and receipt instructions for applications to SC.
Please read the following instructions carefully and completely.

ELECTRONIC DELIVERY

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SC is participating in the Grants.gov initiative to provide the grant community with a single site
to find and apply for grant funding opportunities. SC requires applicants to submit their
applications online through Grants.gov.

HOW TO REGISTER TO APPLY THROUGH GRANTS.GOV

a. Instructions: Read the instructions below about registering to apply for SC funds. Applicants
should read the registration instructions carefully and prepare the information requested
before beginning the registration process. Reviewing and assembling the required information
before beginning the registration process will alleviate last-minute searches for required
information.

Organizations must have an active System for Award Management (SAM) registration which
provides a Unique Entity Identifier (UEI), and Grants.gov account to apply for grants. If
individual applicants (those submitting on their own behalf) are eligible to apply for this funding
opportunity, they need only refer to steps 2 and 3 below.

Creating a Grants.gov account can be completed online in minutes, but SAM registration may
take several weeks. Therefore, an organization’s registration should be done in sufficient time to
ensure it does not impact the entity’s ability to meet required application submission deadlines.

Complete organization registration instructions can be found on Grants.gov here:

https://www.Grants.gov/web/grants/applicants/organization-registration.html

1) Register with SAM: All organizations applying online through Grants.gov must
register with SAM at https://www.sam.gov. Failure to register with SAM will prevent
your organization from applying through Grants.gov. SAM registration must be
renewed annually. For more detailed instructions for registering with SAM, refer to:
https://www.grants.gov/web/grants/applicants/organization-registration.html

2) Create a Grants.gov Account: The next step is to register an account with Grants.gov.
Follow the on-screen instructions provided on the registration page

3) Add a Profile to a Grants.gov Account: A profile in Grants.gov corresponds to a single

applicant organization the user represents (i.e., an applicant) or an individual applicant.
If you work for or consult with multiple organizations and have a profile for each, you
may log in to one Grants.gov account to access all of your grant applications. To add
an organizational profile to your Grants.gov account, enter the UEI (Unique Entity
Identifier) for the organization in the UEI field. If you are an individual applicant
submitting on your own behalf, you do not need a UEI to add the profile. For more
detailed instructions about creating a profile on Grants.gov, refer to:
https://www.Grants.gov/web/grants/applicants/registration/add-profile.html

4) EBiz POC Authorized Profile Roles: After you register with Grants.gov and create an
Organization Applicant Profile, the organization applicant’s request for Grants.gov
roles and access is sent to the Electronic Business Point of Contact (EBiz POC). The

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 EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which
may include the Authorized Organization Representative (AOR) role, thereby giving
you permission to complete and submit applications on behalf of the organization. You
will be able to submit your application online any time after you have been assigned
the AOR role. For more detailed instructions about creating a profile on Grants.gov,
refer to:
https://www.Grants.gov/web/grants/applicants/registration/authorize-roles.html

5) Track Role Status: To track your role request, refer to:

https://www.Grants.gov/web/grants/applicants/registration/track-role-status.html

b. Electronic Signature: When applications are submitted through Grants.gov, the name of the
organization applicant with the AOR role that submitted the application is inserted into the
signature line of the application, serving as the electronic signature. The EBiz POC must
authorize people who are able to make legally binding commitments on behalf of the
organization as a user with the AOR role; this step is often missed and it is crucial for valid
and timely submissions.

HOW TO SUBMIT AN APPLICATION TO SC VIA GRANTS.GOV

Grants.gov applicants can apply online using Workspace. Workspace is a shared, online
environment where members of a grant team may simultaneously access and edit different
webforms within an application. For each FOA, you can create individual instances of a
workspace.

Below is an overview of applying on Grants.gov. For access to complete instructions on how to

apply for opportunities, refer to:
https://www.Grants.gov/web/grants/applicants/apply-for-grants.html

1) Create a Workspace: Creating a workspace allows you to complete it online and route it
through your organization for review before submitting.

2) Complete a Workspace: Add participants to the workspace to work on the application

together, complete all the required forms online or by downloading PDF versions, and check
for errors before submission. The Workspace progress bar will display the state of your
application process as you apply. As you apply using Workspace, you may click the blue
question mark icon near the upper-right corner of each page to access context-sensitive help.

a. Adobe Reader: If you decide not to apply by filling out webforms you can download
individual PDF forms in Workspace so that they will appear similar to other Standard
forms. The individual PDF forms can be downloaded and saved to your local device
storage, network drive(s), or external drives, then accessed through Adobe Reader.

NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the
appropriate version of the software at:
https://www.Grants.gov/web/grants/applicants/adobe-software-compatibility.html

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 b. Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk
and a different background color. These fields are mandatory fields that must be
completed to successfully submit your application.

c. Complete SF-424 Fields First: These forms are designed to fill in common required
fields across other forms, such as the applicant name, address, and SAM UEI. Once it
is completed, the information will transfer to the other forms.

3) Submit a Workspace: An application may be submitted through workspace by clicking the

Sign and Submit button on the Manage Workspace page, under the Forms tab. Grants.gov
recommends submitting your application package at least 24-48 hours prior to the close date
to provide you with time to correct any potential technical issues that may disrupt the
application submission.

4) Track a Workspace: After successfully submitting a workspace package, a Grants.gov

Tracking Number (GRANTXXXXXXXX) is automatically assigned to the package. The
number will be listed on the Confirmation page that is generated after submission.

For additional training resources, including video tutorials, refer to:

https://www.Grants.gov/web/grants/applicants/applicant-training.html

Applicant Support: Grants.gov provides applicants 24/7 support via the toll-free number 1-800-
518-4726 and email at [email protected]. For questions related to the specific grant
opportunity, contact the number listed in the application package of the grant you are applying
for.

If you are experiencing difficulties with your submission, it is best to call the Grants.gov Support
Center and get a ticket number. The Support Center ticket number will assist SC with tracking
your issue and understanding background information on the issue.

4. How to Prepare an Application

APPLICATION PREPARATION

You must submit the application through Grants.gov at https://www.Grants.gov/, using either the
online webforms or downloaded forms. (Additional instructions are provided in Section VIII, A.)
You are required to use the compatible version of Adobe Reader software to complete a
Grants.gov Adobe application package. To ensure you have the Grants.gov compatible version of
Adobe Reader, visit the software compatibility page at
https://www.Grants.gov/web/grants/applicants/adobe-software- compatibility.html.

You must complete the mandatory forms and any applicable optional forms (e.g., Disclosure of
Lobbying Activities (SF-LLL)) in accordance with the instructions on the forms and the
additional instructions below.

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Files that are attached to the forms must be PDF files unless otherwise specified in this FOA.
Attached PDF files must be plain files consisting of text, numbers, and images without editable
fields, signatures, passwords, redactions, or other advanced features available in some PDF-
compatible software. Do not use PDF portfolios or binders.

Please note the following restrictions that apply to the names of all files attached to your
application:
 Please limit file names to 50 or fewer characters
 Do not attach any documents with the same name. All attachments must have a unique
name.
 Please use only the following characters when naming your attachments: A-Z, a-z, 0-9,
underscore, hyphen, space, period, parenthesis, curly braces, square brackets, ampersand,
tilde, exclamation point, comma, semi colon, apostrophe, at sign, number sign, dollar sign,
percent sign, plus sign, and equal sign. Attachments that do not follow this rule may cause
the entire application to be rejected or cause issues during processing.

RESUBMISSION OF APPLICATIONS

Applications submitted under this FOA may be withdrawn from consideration by using the
PAMS website at https://pamspublic.science.energy.gov. Applications may be withdrawn at any
time between when the applicant submits the application and when DOE makes the application
available to merit reviewers. Such withdrawals take effect immediately and cannot be reversed.
Please exercise due caution. After the application is made available to merit reviewers, the
applicant may contact the DOE program office identified in this FOA to request that it be
withdrawn.

After an application is withdrawn, it may be resubmitted, if this FOA is still open for the
submission of applications. Such resubmissions will only count as one submission if this FOA
restricts the number of applications from an applicant.

Note that there may be a delay between the application’s submission in Grants.gov and when it is
available to be withdrawn in PAMS. SC will usually consider the last submission, according to
its Grants.gov timestamp, to be the intended version. Please consult with your program manager
to resolve any confusion about which version of an application should be considered.

IMPROPER CONTENTS OF APPLICATIONS

Applications submitted under this FOA will be stored in controlled-access systems, but they may
be made publicly available if an award is made. As such, it is critical that applicants follow these
guidelines:
 Do not include information subject to any legal restriction on its open distribution, whether
classified, export control, or unclassified controlled nuclear information.
 Do not include sensitive and protected personally identifiable information, including social
security numbers, birthdates, citizenship, marital status, or home addresses. Pay particular
attention to the content of biographical sketches and curriculum vitae.
 Do not include letters of support from Federal officials.

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  Do not include letters of support on Federal letterhead. Letters that are not letters of support
(such as letters confirming access to sites, facilities, equipment, or data; or letters from
cognizant contracting officers) may be on Federal letterhead.
 Clearly mark all proprietary or trade-secret information.
 Applicants should not include the DOE logo or seal in their applications. Use of the DOE
logo and seal require permission of DOE as discussed on the DOE website:
https://energy.gov/management/office-management/employee-services/graphics/doe-logo-
seal-and- word-mark.

5. How to Write an Option 2 Digital Data Management Plan

1. DMPs should describe whether and how data generated in the course of the proposed
research will be shared and preserved. If the plan is not to share and/or preserve certain
data, then the plan must explain the basis of the decision (for example, cost/benefit
considerations, other parameters of feasibility, scientific appropriateness, or limitations
discussed in #4 below). At a minimum, DMPs must describe how data sharing and
preservation will enable validation of results, or how results could be validated if data are
not shared or preserved.

2. DMPs should provide a plan for making all research data displayed in publications resulting
from the proposed research digitally open, machine-readable and digitally accessible to the
public at the time of publication. This includes data that are displayed in charts, figures,
images, etc. In addition, the underlying digital research data used to generate the displayed
data should be made as accessible as possible to the public in accordance with the principles
stated in the SC Statement on Digital Data Management
(https://science.osti.gov/sbir/Applicant-Resources/Digital-Data-Management). This
requirement could be met by including the data as supplementary information to the
published article, or through other means. The published article should indicate how these
data can be accessed.

3. DMPs should consult and reference available information about data management resources
to be used in the course of the proposed research. In particular, DMPs that explicitly or
implicitly commit data management resources at a facility beyond what is conventionally
made available to approved users should be accompanied by written approval from that
facility. In determining the resources available for data management at SC User Facilities,
researchers should consult the published description of data management resources and
practices at that facility and reference it in the DMP.

4. DMPs must protect confidentiality, personal privacy, sensitive and protected personally
identifiable information, and U.S. national, homeland, and economic security; recognize
proprietary interests, business confidential information, and intellectual property rights;
avoid significant negative impact on innovation, and U.S. competitiveness; and otherwise
be consistent with all applicable laws and regulations. There is no requirement to share
proprietary data.

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ADDITIONAL DMP GUIDANCE

In determining which data should be shared and preserved, researchers must consider the data
needed to validate research findings as described in the Requirements noted above and are
encouraged to consider the potential benefits of their data to their own fields of research, fields
other than their own, and society at large.
 DMPs should reflect relevant standards and community best practices for data and metadata
and make use of community accepted repositories whenever practicable.
 Costs associated with the scope of work and resources articulated in a DMP may be
included in the proposed research budget as permitted by the applicable cost principles.
 To improve the discoverability of and attribution for datasets created and used in the course
of research, the applicant is encouraged to cite publicly available datasets within the
reference section of publications, and the identification of datasets with persistent identifiers
such as Digital Object Identifiers (DOIs). In most cases, the SC can provide DOIs free of
charge for data resulting from DOE-funded research through its Office of Science and
Technical Information (OSTI) Data ID Service.
 The following list of elements for a DMP provides suggestions regarding the data
management planning process and the structure of the DMP:
 Data Types and Sources. A brief, high-level description of the data to be generated or
used through the course of the proposed research and which of these are considered
digital research data necessary to validate the research findings.
 Content and Format. A statement of plans for data and metadata content and format
including, where applicable, a description of documentation plans, annotation of
relevant software, and the rationale for the selection of appropriate standards. (Existing,
accepted community standards should be used where possible. Where community
standards are missing or inadequate, the DMP could propose alternate strategies that
facilitate sharing, and should advise the sponsoring program of any need to develop or
generalize standards.)
 Sharing and Preservation. A description of the plans for data sharing and preservation.
This should include, when appropriate:
o the anticipated means for sharing and the rationale for any restrictions on who may
access the data and under what conditions;
o a timeline for sharing and preservation that addresses both the minimum length of
time the data will be available and any anticipated delay to data access after research
findings are published;
o any special requirements for data sharing, for example, proprietary software needed
to access or interpret data, applicable policies, provisions, and licenses for re-use
and re-distribution, and for the production of derivatives, including guidance for
how data and data products should be cited;
o any resources and capabilities (equipment, connections, systems, software,
expertise, etc.) requested in the research proposal that are needed to meet the stated
goals for sharing and preservation. (This could reference the relevant section of the
associated research proposal and budget request);
o cost/benefit considerations to support whether/where the data will be preserved after
direct project funding ends and any plans for the transfer of responsibilities for
sharing and preservation;

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 o whether, when, or under what conditions the management responsibility for the
research data will be transferred to a third party (e.g. institutional, or community
repository);
o any other future decision points regarding the management of the research data
including plans to reevaluate the costs and benefits of data sharing and preservation.
 Protection. A statement of plans, where appropriate and necessary, to protect
confidentiality, personal privacy, sensitive and protected personally identifiable
information, and U.S. national, homeland, and economic security; recognize proprietary
interests, business confidential information, and intellectual property rights; and avoid
significant negative impact on innovation, and U.S. competitiveness.
 Rationale. A discussion of the rationale or justification for the proposed data
management plan including, for example, the potential impact of the data within the
immediate field and in other fields, and any broader societal impact.

6. How to Prepare a Biosketch

A biosketch is to provide information that can be used by reviewers to evaluate the PI’s potential
for leadership within the scientific community. Examples of information of interest are invited
and/or public lectures, awards received, scientific program committees, conference or workshop
organization, professional society activities, special international or industrial partnerships,
reviewing or editorship activities, or other scientific leadership experiences.

SC requires the use of the format approved by the National Science Foundation (NSF), which
may be generated by the Science Experts Network Curriculum Vita (SciENcv), a cooperative
venture maintained at https://www.ncbi.nlm.nih.gov/sciencv/, and is also available at
https://nsf.gov/bfa/dias/policy/nsfapprovedformats/biosketch.pdf. The use of a format required
by another agency is intended to reduce the administrative burden to researchers by promoting
the use of common formats.
 Education and Training: Undergraduate, graduate and postdoctoral training, provide
institution, major/area, degree and year.
 Research and Professional Experience: Beginning with the current position list, in
chronological order, professional/academic positions with a brief description.
 Publications: Provide a list of up to 10 publications most closely related to the proposed
project. For each publication, identify the names of all authors (in the same sequence in
which they appear in the publication), the article title, book or journal title, volume
number, page numbers, year of publication, and website address if available
electronically. Patents, copyrights and software systems developed may be provided in
addition to or substituted for publications. An abbreviated style such as the Physical
Review Letters (PRL) convention for citations (list only the first author) may be used
for publications with more than 10 authors.
 Synergistic Activities: List no more than 5 professional and scholarly activities related
to the effort proposed.
Biosketches may be presented in a format developed for other agencies or generated by any
software package, though SciENcv will facilitate submissions to other Federal sponsors.

Personally Identifiable Information: Do not include sensitive and protected personally

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identifiable information including social security numbers, birthdates, citizenship, marital status,
or home addresses. Do not include information that a merit reviewer should not make use of.

7. How to Prepare Current and Pending Support

WARNING: These instructions have been significantly revised to require disclosure of a

variety of potential conflicts of interest or commitment, including participation in foreign
government-sponsored talent recruitment programs.

Current and Pending support is intended to allow the identification of potential duplication, over
commitment, potential conflicts of interest or commitment, and all other sources of support. The
PI and each senior/key person at the prime applicant and any proposed subaward must provide a
list of all sponsored activities, awards, and appointments, whether paid or unpaid; provided as a
gift with terms or conditions or provided as a gift without terms or conditions; full-time, part-
time, or voluntary; faculty, visiting, adjunct, or honorary; cash or in-kind; foreign or domestic;
governmental or private-sector; directly supporting the individual’s research or indirectly
supporting the individual by supporting students, research staff, space, equipment, or other
research expenses. All foreign government-sponsored talent recruitment programs must be
identified in current and pending support. SC requires the use of the format approved by the
National Science Foundation (NSF), which may be generated by the Science Experts Network
Curriculum Vita (SciENcv), a cooperative venture maintained at
https://www.ncbi.nlm.nih.gov/sciencv/, and is also available at
https://www.nsf.gov/bfa/dias/policy/nsfapprovedformats/cps.pdf. The use of a format required by
another agency is intended to reduce the administrative burden to researchers by promoting the
use of common formats.
For every activity, list the following items:
 The sponsor of the activity or the source of funding
 The award or other identifying number
 The title of the award or activity
 The total cost or value of the award or activity, including direct and indirect costs. For
pending proposals, provide the total amount of requested funding.
 The award period (start date – end date).
 The person-months of effort per year being dedicated to the award or activity
 Briefly describe the research being performed and explicitly identify any overlaps or
synergies with the proposed research.

Details of any obligations, contractual or otherwise, to any program, entity, or organization

sponsored by a foreign government must be provided on request to either the applicant institution
or DOE.

8. How to Prepare a Research and Related Budget and Justification

The following advice will improve the accuracy of your budget request:
 Funds requested for personnel (senior, key, and other) must be justified as the product of
their effort on the project and their institutional base salary.
 Funds requested for fringe benefits must be calculated as the product of the requested salary

84
 and, if present, the negotiated fringe benefit rate contained in an institution’s negotiated
indirect cost rate agreement.
 Funds requested for indirect costs must be calculated using the correct indirect cost base and
the negotiated indirect cost rate.
 You are encouraged to include the rate agreement used in preparing a budget as a part of the
budget justification.
 Do not prepare a budget justification using the expired DOE form F4620.1.

If you are proposing indirect costs and do not already have an Indirect Cost Rate Agreement with
your Cognizant Federal Agency or documentation of rates accepted for estimating purposes by
DOE or another Federal agency, it is recommended that you begin preparing an Indirect Cost
Rate Proposal to be submitted, upon request, to the DOE contract specialist/grants management
specialist who will evaluate your application if you are selected for award.

For your convenience in preparing an Indirect Cost Rate proposal, a link to applicant resources,
including indirect rate model templates, has been provided below:
https://science.osti.gov/sbir/applicant-resources/grant-application/.

Cost sharing or matching funds are not to be included in the Research and Related Budget form.
The amount and planned use of these funds can be described in the technical narrative.

Complete the Research and Related Budget form in accordance with the instructions on the form
and the following instructions. You must complete a separate budget for each year of support
requested. The form will generate a cumulative budget for the total project period. You must
complete all the mandatory information on the form before the NEXT PERIOD button is
activated. You may request funds under any of the categories listed as long as the item and
amount are necessary to perform the proposed work, meet all the criteria as allowable under the
applicable Federal cost principles, and are not prohibited by the funding restrictions in this FOA
(See Section II C. Maximum and Minimum Award Size). Note, however, that foreign travel and
participant/trainee costs are typically considered unallowable costs unless approved by the DOE
Contracting Officer.

Round all funds to the nearest dollar across all budget documents including the budget
justification. The dollar amounts in the budget justification must match the amounts found on the
Research and Related Budget form. The Research and Related Budget form is only to be used for
funding requested from DOE.

TECHNICAL AND BUSINESS ASSISTANCE (FORMERLY COMMERCIALIZATION ASSISTANCE)

(SECTION F, FIELD 3, CONSULTANT SERVICES) [OPTIONAL]

In accordance with Sec. 854 of the John S. McCain National Defense Authorization Act for
2019, Pub. L. 115-232, DOE is able to fund discretionary technical and business assistance
(TABA) to all DOE SBIR and STTR Phase I awardees. Recipients have two options for
receiving TABA: (1) utilize services provided by a DOE vendor or (2) identify their own TABA
provider(s).

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If you wish to receive TABA from a DOE vendor, you do not need to include this in your budget.
If you receive a Phase I award, you will receive notification from DOE on what services are
available and how to obtain these services at no cost to your SBC.

If you wish to utilize your own TABA provider(s), you are required to include this as one or
more subcontracts or consultants in your budget and to provide a detailed budget justification.
You may include up to $6500 per project. The total amount of Phase I assistance that a company
may receive during a fiscal year is subject to Small Business Administration policy per the
statute. Please note that TABA does not count toward the maximum award size listed in Section
II, C; e.g., seeking TABA from your provider could result in a maximum award in the amount of
$206,500 for topics that specify a maximum award amount of $200,000.

RESTRICTIONS ON THE LEVEL OF SBC PARTICIPATION. Reimbursement is limited to

services received that comply with 15 U.S.C. § 638(q); examples of acceptable services include
assistance with:

 product sales
 intellectual property protections
 Patent prosecution costs related to obtaining United States patent protection for subject
inventions of this award may be budgeted under TABA. Patent prosecution costs include
attorney fees and United States Patent and Trademark Office (USPTO) fees. United
States patent protection includes filings with the USPTO related to provisional, Patent
Cooperation Treaty (PCT), non-provisional, continuation, and continuation-in-part
patent applications. Patent prosecution costs related to foreign patent protection (e.g.
foreign attorney, foreign patent office or translation fees) are unallowable.
 market research
 market validation
 development of certifications and regulatory plans
 development of manufacturing plans

Services are defined as acts of assistance in which no goods are exchanged. In some situations,
incidental goods, such a report on the services provided, are exchanged. The following examples
are provided for clarification:
• Market Research: Conducting market research in the planned area of commercialization
is a service, and a report describing the finding is typically provided.
• Advertising: Developing an advertising strategy or designing advertising campaign
materials are services. Paying to place ads or print brochures would not be considered a
service.
• Website Development: Developing website content is a service.

Third party vendors or a federal entity issuing patents, certifications or regulatory approvals,
must be used when spending TABA funds. Vendor(s) may not be the SBIR/STTR applicant or
awardee or its research partner or a research institution performing part of the research and
development portion of the award.

In the event some or the entire amount listed is not expended on TABA services, the remaining

86
funds cannot be re-budgeted to other project costs. Re-budgeting of these funds to other project
costs is not allowable.

BUDGET FIELDS

Section A Senior/Key For each Senior/Key Person, enter the requested information. List
Person personnel, base salary, the number of months that person will be allocated
to the project, requested salary, fringe benefits, and the total funds
requested for each person. The requested salary must be the product of the
base salary and the effort.
Include a written narrative in the budget justification that justifies the need
for requested personnel. Within the justification, explain the fringe benefit
rate used if it is not the standard faculty rate.
Section B List personnel, the number of months that person will be allocated to the
Other Personnel project, requested salary fringe benefits, and the total funds requested for
each person.
Include a written narrative in the budget justification that fully justifies the
need for requested personnel. Within the justification, provide the number
of positions being filled in each category of other personnel.
Section C Equipment For the purpose of this budget, equipment is designated as an item of
property that has an acquisition cost of $5,000 or more and an expected
service life of more than one year, unless a different threshold is specified
in a negotiated Facilities and Administrative Cost Rate. (Note that this
designation applies for proposal budgeting only and differs from the DOE
definition of capital equipment.) List each item of equipment separately
and justify each in the budget justification section. Do not aggregate items
of equipment. Allowable items ordinarily will be limited to research
equipment and apparatus not already available for the conduct of the
work. General-purpose office equipment is not eligible for support unless
primarily or exclusively used in the actual conduct of scientific
research.
Section D Travel For purposes of this section only, travel to Canada or to Mexico is
considered domestic travel. In the budget justification, list each trip’s
destination, dates, estimated costs including transportation and
subsistence, number of staff traveling, the purpose of the travel, and how it
relates to the project. Indicate the basis for the cost estimate (quotes from
vendors or suppliers, past experience of similar items, or some other
basis). To qualify for support, attendance at meetings or conferences must
enhance the investigator’s capability to perform the research, plan
extensions of it, or disseminate its results. Domestic travel is to be
justified separately from foreign travel. Within the budget justification,
detail the number of personnel planning to travel and the estimated per-
traveler cost for each trip.

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Section E If applicable, submit training support costs. Educational projects that
Participant/Trainee intend to support trainees (precollege, college, graduate and post graduate)
Support Costs must list each trainee cost that includes stipend levels and amounts, cost of
tuition for each trainee, cost of any travel (provide the same information as
needed under the regular travel category), and costs for any related
training expenses. Participant costs are those costs associated with
conferences, workshops, symposia or institutes and breakout items should
indicate the number of participants, cost for each participant, purpose of
the conference, dates and places of meetings and any related
administrative expenses.
Indicate the basis for the cost estimate (quotes from vendors or suppliers,
past experience of similar items, or some other basis).
Section F  Materials and Supplies: Enter total funds requested for materials and
Other Direct Costs supplies in the appropriate fields. In the budget justification, indicate
general categories such as glassware, and chemicals, including an
amount for each category (items not identified under “Equipment”).
Categories less than $1,000 are not required to be itemized. State the
basis for the cost estimate (quotes from vendors or suppliers, past
experience of similar items, or some other basis).
 Publication Costs: Enter the total publication funds requested. The
proposal budget may request funds for the costs of documenting,
preparing, publishing or otherwise making available to others the
findings and products of the work conducted under the award. In the
budget justification, include supporting information. Indicate the basis
for the cost estimate (quotes from vendors or suppliers, past
experience of similar items, or some other basis).
 Consultant Services: Enter total funds requested for all consultant
services. In the budget justification, identify each consultant, the
services he/she will perform, total number of days, travel costs, and
total estimated costs. Indicate the basis for the cost estimate (quotes
from vendors or suppliers, past experience of similar items, or some
other basis).
 ADP/Computer Services: Enter total funds requested for
ADP/Computer Services. The cost of computer services, including
computer-based retrieval of scientific, technical and education
information may be requested. In the budget justification, include the
established computer service rates at the proposing organization if
applicable. Indicate the basis for the cost estimate (quotes from
vendors or suppliers, past experience of similar items, or some other
basis).
 Subawards/Consortium/Contractual Costs: Enter total costs for all
subawards/consortium organizations and other contractual costs
proposed for the project. In the budget justification, justify the
details.
 Equipment or Facility Rental/User Fees: Enter total funds requested
for Equipment or Facility Rental/User Fees. In the budget justification,

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 identify each rental/user fee and justify. Indicate the basis for the cost
estimate (quotes from vendors or suppliers, past experience of similar
items, or some other basis).
 Alterations and Renovations: Enter total funds requested for
Alterations and Renovations. In the budget justification, itemize by
category and justify the costs of alterations and renovations, including
repairs, painting, removal or installation of partitions, shielding, or air
conditioning. Where applicable, provide the square footage and costs.
 Other: Add text to describe any other Direct Costs not requested
above. Enter costs associated with “Other” item(s). Use the budget
justification to further itemize and justify.
Section G This represents Total Direct Costs (Sections A through F)
Direct Costs
Section H Enter the Indirect Cost information, including the rates and bases being
Other Indirect Costs used, for each field. Only four general categories of indirect costs are
allowed/requested on this form, so please consolidate if needed. Include
the cognizant Federal agency and contact information if using a negotiated
rate agreement. Within the budget justification, explain the use
of multiple rates, if multiple rates are used.
Section I This is the total of Sections G and H
Total Direct and
Indirect Costs

Provide supporting information for all proposed costs. Personnel justification must include a
brief justification explaining the need for individual personnel and the total hours and hourly
rates for each individual. Attach a single budget justification file for the entire project period in
Field K. The file automatically carries over to each budget year. Provide any other information
you wish to submit to justify your budget request including, but not limited to, any recent audits,
clearly defined indirect cost rate bases, and voluntary reductions of indirect rates. If your
organization has an Indirect Cost Rate Agreement in effect with your Cognizant Federal Agency
[Defense Contract Audit Agency (DCAA), Department of Health and Human Services (DHHS),
etc.] supporting the indirect rate(s) proposed and dated within one year of your anticipated award
start date, then please provide this information with your application. Although there is no
absolute cap on indirect costs, applications will be evaluated for overall economy and value to
DOE.

If you are selected for an award, additional budget explanation will most likely be required.

All proposed purchases of equipment will be carefully reviewed relative to need and
appropriateness for the research or R&D proposed.

Travel funds must be justified and related to the needs of the project, as in travel to DOE
Headquarters to meet with DOE program managers. Travel expenses for technical conferences
are not permitted unless the purpose of attending the conference directly relates to the project
(e.g., to present results of the project). Foreign travel is not normally an appropriate expense.
Funds to cover travel expenses outside of the United States are considered an unallowable direct
89
cost unless concurrence has been obtained by the DOE Program Manager and unless written
approval has been obtained from the DOE Contracting Officer.

Tuition expenses are allowable only if requested from a subcontractor that is a university and the
amount requested for tuition is reasonable and comparable to what a student would be paid for
performing research during the award performance period.

Awards may include a profit or fee for the applicant. Fees are subject to negotiation and shall not
exceed 7% of the total award amount. Profit or fee is not “program income” and shall not be
included in field 15.d. of the SF 424 (R&R) application. The fee applies solely to the small
business concern receiving the award and for-profit R&D subcontractors participating in the
project. In addition, the awardee may pay a profit/fee to a contractor providing routine goods or
non-R&D services in accordance with normal commercial practice.

Any commercial and/or in-kind contribution to the project should be reflected in the project
narrative and not included on the budget pages.

Round all funds to the nearest dollar across all budget documents including the budget
justification. The dollar amounts in the budget justification must match the amounts found on the
Research and Related Budget form. Cost sharing or matching funds provided by the small
business or third parties shall not be included on the Research and Related Budget Form—this
form should only include funds being requested from DOE. Cost sharing or matching funds can
be included in the budget justification and must be clearly marked as cost sharing or matching
funds.

Complete the Level-of-Effort worksheet located at https://science.osti.gov/sbir/Applicant-

Resources/Grant-Application. If the Microsoft Excel version is used, it must be converted to
PDF before it is attached to the application in Field 12 – Research & Related Other Project
Information.

9. How to Prepare a Commercialization Plan

COMMERCIALIZATION PLAN (QUESTION 7) [REQUIRED]

A brief Commercialization Plan (4 pages maximum, 2000 words maximum, 10 point minimum
font size) must be included in a Phase I grant application. If the Commercialization Plan is not
included at the time of application submission, your application will be administratively declined
without review. The Commercialization Plan will be evaluated under the “Impact” criterion and
should address the following elements:

Project Title
 You MUST include the following statement after your project title:
“(COMPANY NAME HERE) estimates cumulative sales revenues of $_________ and
cumulative licensing revenues of $________ during the first 10 years of commercialization.”

Market Opportunity: Describe the market opportunity being addressed.

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 Intellectual Property (IP): Describe the status of patents, trade secrets, and other steps you
plan to take to protect your IP for commercialization.

 Company/Team: Describe the capability of your present personnel and/or planned additions
to your staff that will enable you to successfully commercialize your innovation.

Although Phase I applications must only address the elements listed above, Applicants are
encouraged to review the example of a Phase I Commercialization Plan on the DOE SBIR/STTR
website, under “Applicant Resources” on the DOE SBIR/STTR website at
https://science.osti.gov/sbir/Applicant-Resources/Grant-Application.

At this time, Question 7 of the SBIR/STTR Information Form will accept the Commercialization
Plan attachment for a Phase I grant application submission after selecting DOE as agency and
Phase I as application type.

Please Note: All applications lacking a separate and attached Phase I Commercialization Plan as
noted above will be administratively declined and will not undergo further review or
consideration for award.

10. How to View Applications in PAMS

Each Grants.gov application submitted to the DOE SC automatically transfers into PAMS and is
subsequently assigned to a program manager. At the time of program manager assignment, the
three people listed on the SF-424 (R&R) cover page will receive an email with the subject line,
“Receipt of Proposal 0000xxxxxx by the DOE Office of Science.” These three people are the PI
(Block 14), Authorized Representative (Block 19), and Point of Contact (Block 5). In PAMS
notation, applications are known as proposals, the PI is known as the PI, the Authorized
Representative is known as the Sponsored Research Officer/Business Officer/Administrative
Officer (SRO/BO/AO), and the Point of Contact is known as the POC.

There will be a period of time between the application’s receipt at Grants.gov and its assignment
to a DOE SC program manager. Program managers are typically assigned two weeks after
applications are due at Grants.gov: please refrain from attempting to view the proposal in PAMS
until you receive an email providing the assignment of a program manager.

Once the email is sent, the PI, SRO/BO/PO, and POC will each be able to view the submitted
proposal in PAMS. Viewing the proposal is optional.

You may use the Internet Explorer, Firefox, Google Chrome, or Safari browsers to access PAMS.

Following are two sets of instructions for viewing the submitted proposal, one for individuals
who already have PAMS accounts and one for those who do not.

If you already have a PAMS account, follow these instructions:

1. Log in to PAMS at https://pamspublic.science.energy.gov/.
2. Click the “Proposals” tab and click “Access Previously Submitted Grants.gov Proposal.”

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 3. Enter the following information:
 Proposal ID: Enter the ten-digit PAMS proposal ID, including the leading zeros (e.g.,
00002xxxxx). Do not use the Grants.gov proposal number. Use the PAMS number
previously sent to you in the email with subject line, “Receipt of Proposal …”.
 Email (as entered in Grants.gov application): Enter your email address as it appears on
the SF424(R&R) Cover Page.
 Choose Role: Select the radio button in front of the role corresponding to the SF-424
(R&R) cover page. If your name appears in block 19 of the SF-424 (R&R) cover page
as the authorizing representative, select “SRO/BO/AO (Sponsored Research
Officer/Business Officer/Administrative Officer).” If your name appears in block 14 of
the SF424 R&R cover page as the PI, select “Principal Investigator (PI).” If your name
appears in block 5 of the SF424 R&R as the point of contact, select “Other (POC).”
4. Click the “Save and Continue” button. You will be taken to your “My Proposals” page. The
Grants.gov proposal will now appear in your list of proposals. Click the “Actions/Views”
link in the options column next to this proposal to obtain a dropdown list. Select “Proposal”
from the dropdown to see the proposal. Note that the steps above will work only for
proposals submitted to the DOE SC since May 2012.

If you do not already have a PAMS account, follow these instructions:

1. To register, click the “Create New PAMS Account” link on the website
https://pamspublic.science.energy.gov/.
2. Click the “No, I have never had an account” link and then the “Create Account” button.
3. You will be prompted to enter your name and email address, create a username and
password, and select a security question and answer. Once you have done this, click the
“Save and Continue” button.
4. On the next page, enter the required information (at least one phone number and your
mailing address) and any optional information you wish to provide (e.g., FAX number,
website, mailstop code, additional email addresses or phone numbers,
Division/Department). Click the “Create Account” button.
5. Read the user agreement and click the “Accept” button to indicate that you understand your
responsibilities and agree to comply with the rules of behavior for PAMS.
6. You will be taken to the Register to Institution page. Select the link labeled, “Option 1: My
institution has submitted a proposal in Grants.gov. I am here to register as an SRO, PI, or
POC (Sponsored Research Officer, Principal Investigator, or Point of Contact).”
7. Enter the following information:
 Proposal ID: Enter the ten-digit PAMS proposal ID, including the leading zeros (e.g.,
00002xxxxx). Do not use the Grants.gov proposal number. Use the PAMS number
previously sent to you in the email with subject line, “Receipt of Proposal …”.
 Email (as entered in Grants.gov proposal): Enter your email address as it appears on the
SF424(R&R) Cover Page.
 Choose Role: Select the radio button in front of the role corresponding to the SF-424
(R&R) cover page. If your name appears in block 19 of the SF-424 (R&R) cover page
as the authorizing representative, select “SRO/BO/AO (Sponsored Research
Officer/Business Officer/Administrative Officer).” If your name appears in block 14 of
the SF424 R&R cover page as the PI, select “Principal Investigator (PI).” If your name
appears in block 5 of the SF424 R&R as the point of contact, select “Other (POC).”

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 8. Click the “Save and Continue” button. You will be taken to your “My Proposals” page. The
Grants.gov proposal will now appear in your list of proposals. Click the “Actions/Views” link in
the options column next to this proposal to obtain a dropdown list. Select “Proposal” from the
dropdown to see the proposal.

If you were listed as the PI on a prior submission but you have not previously created an account,
you may already be listed in PAMS. If this is the case, you will be taken to the PAMS home page
after agreeing to the Rules of Behavior. If that happens, follow the instructions listed above
under “If you already have a PAMS account…” to access your Grants.gov proposal.

11. How to Register in Other Systems Before Submitting an Application

SYSTEMS TO REGISTER IN

Applicants must complete a series of registrations and enrollments to submit applications in

response to this FOA. Applicants not currently registered with SAM and Grants.gov should
normally allow at least four weeks to complete these requirements. However, see the note
below regarding current SAM registration/update processing times.

NOTE: Due to the high demand of UEI requests and SAM registrations, entity legal
business name and address validations are taking longer than expected to process. Entities
should start the UEI and SAM registration/update process immediately as the processing
time to complete a registration/update currently may take weeks to months. This includes
address and expired registration updates. If entities have technical difficulties with the UEI
validation or SAM registration process they should utilize the HELP feature on SAM.gov.
SAM.gov will work entity service tickets in the order in which they are received and asks
that entities not create multiple service tickets for the same request or technical issue.
Additional entity validation resources can be found here: GSAFSD Tier 0 Knowledge Base
- Validating your Entity.

You should start the process as soon as possible.

You may not be able to use your preferred Internet browser: Each system has its own
requirements.
Applicants must register with SAM at https://www.sam.gov/ and obtain their UEI number,
generated by SAM. More information about SAM registration for applicants is found at
https://www.sam.gov/SAM/transcript/Quick_Guide_for_Grants_Registrations.pdf. SAM
maintains a complete user guide at
https://www.sam.gov/SAM/transcript/SAM_Non_Federal_User_Guide.pdf.

Applicants must provide a Taxpayer Identification Number (TIN) to complete their registration
in www.SAM.gov. An applicant’s TIN is an EIN assigned by the Internal Revenue Service (IRS).
In limited circumstances, a Social Security Number (SSN) assigned by the Social Security
Administration (SSA) may be used as a TIN. You may obtain an EIN from the IRS at
https://www.irs.gov/businesses/small-businesses-self-employed/apply-for-an-employer-
identification- number-ein-online.

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 Do not use a SSN as a TIN. Obtain a TIN from the IRS using the website listed above.

Applicants must register with FedConnect at www.FedConnect.net. The full, binding version of
assistance agreements will be posted to FedConnect.

Recipients must register with the Federal Funding Accountability and Transparency Act
Subaward Reporting System at https://www.fsrs.gov. This registration must be completed before
an award may be made: you are advised to register while preparing your application.

REGISTERING IN GRANTS.GOV

Applicants must register with Grants.gov, following the instructions at

https://www.Grants.gov/web/grants/applicants/registration.html and described above.

WHERE TO SUBMIT AN APPLICATION

You must submit the application through Grants.gov at www.Grants.gov, using either the online
webforms or downloaded forms, or a system-to-system service

Submit electronic applications through the “Apply for Grants” function at www.Grants.gov. If
you have problems completing the registration process or submitting your application, call
Grants.gov at 1-800- 518-4726 or send an email to [email protected].

Please ensure that you have read the applicable instructions, guides, help notices, frequently
asked questions, and other forms of technical support on Grants.gov.

DOE SC PORTFOLIO ANALYSIS AND MANAGEMENT SYSTEM (PAMS)

Applicants must register in the Portfolio Analysis and Management System (PAMS) to submit
letters of intent and pre-applications, to view merit reviewer comments, or to take a number of
post-award actions.

B. POLICY PROVISIONS

1. Evaluation and Administration by Non-Federal Personnel

In conducting the merit review evaluation, the Government may seek the advice of qualified
non- Federal personnel as reviewers. The Government may also use non-Federal personnel to
conduct routine, nondiscretionary administrative activities. The applicant, by submitting its
application, consents to the use of non-Federal reviewers/administrators. Non-Federal reviewers
must sign conflict of interest and non-disclosure agreements prior to reviewing an application.
Personnel conducting administrative activities must sign a non-disclosure agreement.

Data contained in successful and unsuccessful applications may be used by the Government for
completing studies required by §9 of the Small Business Act, 15 U.S.C. §638, as amended. The

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results of these studies will be available to the public, but will not include information that
identifies individual small business applicants.

2. Government Right to Reject or Negotiate

DOE reserves the right, without qualification, to reject any or all applications received in
response to this FOA and to select any application, in whole or in part, as a basis for negotiation
and/or award.

3. Intergovernmental Review

This program is not subject to Executive Order 12372 Intergovernmental Review of Federal
Programs.

4. Modifications

Notices of any modifications to this FOA will be posted on Grants.gov and the FedConnect
portal. You can receive an email when a modification or an FOA message is posted by registering
with FedConnect as an interested party for this FOA. It is recommended that you register as soon
after release of the FOA as possible to ensure you receive timely notice of any modifications or
other FOAs. More information is available at www.FedConnect.net.

C. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

1. Administrative Requirements

The administrative requirements for DOE grants and cooperative agreements are contained in 2
CFR 200 as modified by 2 CFR 910 (DOE Financial Assistance Regulations).

2. Availability of Funds

Funds are not presently available for this award. The Government’s obligation under this award
is contingent upon the availability of appropriated funds from which payment for award purposes
can be made. No legal liability on the part of the Government for any payment may arise until
funds are made available to the contracting officer for this award and until the awardee receives
notice of such availability, to be confirmed in writing by the contracting officer.

3. Audit Requirements

Under 2 CFR 910.501, a for-profit recipient that expends $750,000 or more in a year (including
any pre- award costs) under DOE Financial Assistance awards must have an audit made for that
year by an independent auditor (regardless of when the expenditures are presented to DOE for
reimbursement). In determining whether the $750,000 threshold is met, recipients should assess
the amount of DOE funds expended under the award and shall not include any cost-sharing
amounts.

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4. Conference Spending (February 2015)
The recipient shall not expend any funds on a conference not directly and programmatically
related to the purpose for which the grant or cooperative agreement was awarded that would
defray the cost to the United States Government of a conference held by any Executive branch
department, agency, board, commission, or office for which the cost to the United States
Government would otherwise exceed $20,000, thereby circumventing the required notification
by the head of any such Executive Branch department, agency, board, commission, or office to
the Inspector General (or senior ethics official for any entity without an Inspector General), of
the date, location, and number of employees attending such conference.

5. Commitment of Public Funds

(a) A DOE financial assistance award is valid only if it is in writing and is signed, either in
writing or electronically, by a DOE Contracting Officer.

(b) Recipients are free to accept or reject the award. A request to draw down DOE funds
constitutes the Recipient’s acceptance of the terms and conditions of this Award.

6. Corporate Felony Conviction and Federal Tax Liability Representations (March 2014)

In submitting an application in response to this FOA the Applicant represents that:

 It is not a corporation that has been convicted of a felony criminal violation under any
Federal law within the preceding 24 months,
 It is not a corporation that has any unpaid Federal tax liability that has been assessed, for
which all judicial and administrative remedies have been exhausted or have lapsed, and that
is not being paid in a timely manner pursuant to an agreement with the authority responsible
for collecting the tax liability.
For purposes of these representations the following definitions apply:
 A Corporation includes any entity that has filed articles of incorporation in any of the 50
states, the District of Columbia, or the various territories of the United States [but not foreign
corporations]. It includes both for-profit and non-profit organizations.

7. Cost Sharing

For this FOA, cost sharing is defined as contributions made by the applicant to the proposed
research and development project described in the technical narrative. Cost sharing is not
required. However, any commercial contributions will be considered as part of the evaluation.

8. Environmental, Safety and Health (ES&H) Performance of Work at DOE Facilities

With respect to the performance of any portion of the work under this award which is performed
at a DOE-owned or controlled site, the recipient agrees to comply with all state and Federal
ES&H regulations, and with all other ES&H requirements of the operator of such site.

Prior to the performance on any work at a DOE-Owned or controlled site, the recipient shall
contact the site facility manager for information on DOE and site specific ES&H requirements.

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The recipient shall apply this provision to all subrecipient at any tier.

9. Federal, State, and Local Requirements

With respect to the performance of any portion of the work under this award, the recipient agrees
to comply with all applicable local, state, and Federal ES&H regulations. The recipient shall
apply this provision to all subrecipient at any tier.

10. Funding Restrictions

Cost Principles: Costs must be allowable, allocable and reasonable in accordance with the
applicable Federal cost principles referenced in 2 CFR 200 as modified by 2 CFR 910 (DOE
Financial Assistance Regulation).

Pre-award Costs: Recipients may charge to an award resulting from this FOA pre-award costs
that were incurred within the ninety (90) calendar-day period immediately preceding the
effective date of the award, if the costs are allowable in accordance with the applicable Federal
cost principles referenced in 2 CFR 200 as modified by 2 CFR 910 (DOE Financial Assistance
Regulation). Recipients must obtain the prior approval of the contracting officer for any pre-
award costs that are for periods greater than this 90 calendar-day period.

Pre-award costs are incurred at the applicant’s risk. DOE is under no obligation to reimburse
such costs if for any reason the applicant does not receive an award or if the award is made for a
lesser amount than the applicant expected.

11. Intellectual Property Development Under This Program

U.S. Competitiveness

A primary objective of DOE’s multi-billion dollar research, development and demonstration

investments is to cultivate new research and development ecosystems, manufacturing
capabilities, and supply chains for and by U.S. industry and labor. Therefore, in exchange for
receiving taxpayer dollars to support an applicant’s project, the applicant must agree to a U.S.
Competitiveness provision requiring to any products embodying any subject invention or
produced through the use of any subject invention will be manufactured substantially in the
United States unless the Recipient can show to the satisfaction of DOE that it is not
commercially feasible. Award terms, including the U.S. Competitiveness Provision, are available
at https://www.energy.gov/gc/standard-intellectual-property-ip-provisions-financial-assistance-
awards.

Please note that a subject invention is any invention conceived or first actually reduced in
performance of work under an award. An invention is any invention or discovery which is or
may be patentable. The recipient includes any awardee, recipient, sub-awardee, or sub-recipient.

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As noted in the U.S. Competitiveness Provision, if an entity cannot meet the requirements of the
U.S. Competitiveness Provision, the entity may request a modification or waiver of the U.S.
Competitiveness Provision. For example, the entity may propose modifying the language of the
U.S. Competitiveness Provision in order to change the scope of the requirements or to provide
more specifics on the application of the requirements for a particular technology. As another
example, the entity may request that the U.S. Competitiveness Provision be waived in lieu of a
net benefits statement or U.S. manufacturing plan. The statement or plan would contain specific
and enforceable commitments that would be beneficial to the U.S. economy and
competitiveness. Examples of such commitments could include manufacturing specific products
in the U.S., making a specific investment in a new or existing U.S. manufacturing facility,
keeping certain activities based in the U.S. or supporting a certain number of jobs in the U.S.
related to the technology. DOE may, in its sole discretion, determine that the proposed
modification or waiver promotes commercialization and provides sufficient U.S. economic
benefits, and grant the request. If granted, DOE will modify the award terms and conditions for
the requesting entity accordingly. More information and guidance on the waiver and
modification request process can be found in the DOE Financial Assistance Letter on this topic,
available here at https://www.energy.gov/management/pf-2022-09-fal-2022-01-implementation-
doe-determination-exceptional-circumstances-under. Additional information on DOE’s
Commitment to Domestic Manufacturing for DOE-funded R&D is available at
https://www.energy.gov/gc/us-manufacturing.

The U.S. Competitiveness Provision is implemented by DOE pursuant to a Determination of

Exceptional Circumstances (DEC) under the Bayh-Dole Act and DOE Patent Waivers. See
Subsection entitled ‘PATENTS’ in this Section 11 for more information on the DEC and DOE
Patent Waiver.

PROPERTY AND COMMERCIALIZATION RIGHTS AGREEMENTS

When using subcontractors, including research institutions, the applicant is responsible for
protecting its own interests with regard to the retention of intellectual property and
commercialization rights.

It is in the best interest of the applicant, when collaborating with a research institution or other
subcontractors, to negotiate a written agreement for allocating, between the parties, intellectual
property rights, and rights to carry out any follow-on research, development, or
commercialization.

A model agreement, found on the SBIR/STTR Programs Office website at

https://science.osti.gov/sbir/Awardee-Resources/Awardee-Documents may be used or revised
through negotiation between the applicant and the research institution.

The completed agreement should not be submitted with the application, but retained by the
parties to the agreement. The Federal government will not be a party to any agreement between
the SBC and any subcontractor, including the STTR research institution. However, applicants are
reminded that nothing in such agreements should conflict with any provisions setting forth the
respective rights of the U.S. and the SBC with respect to both intellectual property rights and any

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rights to carry out follow-on research.

INTELLECTUAL PROPERTY INCLUDING INNOVATIONS, INVENTIONS, AND PATENTS PROPRIETARY

INFORMATION

Information contained in unsuccessful applications will remain the property of the applicant. The
Government will retain for at least three years one electronic file copy of each unsuccessful
application. Public release of information in any application submitted will be subject to existing
statutory and regulatory requirements, such as the Freedom of Information and Privacy Acts.

If proprietary information is provided in an application that constitutes proprietary technical data,

confidential personnel information, or proprietary commercial or financial information, it will be
treated in confidence, to the extent permitted by law, provided this information is clearly marked
by the applicant in accordance with paragraph D, above, and provided appropriate page numbers
are inserted in the Proprietary Notice legend printed on the first page of the Project Narrative.

Applications will not automatically be withheld in their entirety unless justified by the applicant.
The Government will limit dissemination of such information to official channels to the extent
permitted by law. Any other legend may be unacceptable to the Government and may constitute
grounds for removing the application from further consideration and without assuming any
liability for inadvertent disclosure.

PROTECTION OF APPLICATION INFORMATION

DOE’s policy is to use data included in applications for evaluation purposes only and to protect,
to the extent allowed by law, such information from unauthorized use or disclosure.

In addition to Government personnel, scientists and engineers from outside the government may
be used in the application evaluation process. The decision to obtain outside evaluation will take
into consideration requirements for the avoidance of organizational conflicts of interest and the
competitive relationship, if any, between the applicant and the prospective outside evaluator. The
evaluation will be performed under an agreement with the evaluator that the information
contained in the application will be used only for evaluation purposes and will not be further
disclosed.

RIGHTS IN DATA DEVELOPED UNDER SBIR/STTR FUNDING AGREEMENTS

Rights in technical data, including software developed under the terms of any funding agreement
resulting from applications submitted in response to this FOA, shall remain with the awardee,
except that the Government shall have the limited right to use such data for Government
purposes. DOE will protect properly marked SBIR/STTR data from disclosure from the date the
SBIR/STTR award is issued for a period of 20 years in accordance with the most recent
SBIR/STTR Intellectual Property Provision available at https://www.energy.gov/gc/standard-
intellectual-property-ip-provisions-financial-assistance-awards

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COPYRIGHTS

The awardee may copyright and publish (consistent with appropriate national security
considerations, if any) material developed with DOE support. DOE receives a royalty-free
license for the Federal Government and requires that each publication contain an appropriate
acknowledgment and disclaimer statement.

PATENTS

SBCs may retain the principal worldwide patent rights to any invention developed with Federal
support. The government receives a royalty-free license for Federal use, reserves the right to
require the patent holder to license others in certain circumstances, and requires domestic
manufacture. Information regarding patent rights
is available at 37 CFR 401.14 or the most recent SBIR/STTR Intellectual Property Provision
available at https://www.energy.gov/gc/standard-intellectual-property-ip-provisions-financial-
assistance-awards.

On June 07, 2021, DOE approved a DETERMINATION OF EXCEPTIONAL

CIRCUMSTANCES (DEC) UNDER THE BAYH-DOLE ACT TO FURTHER PROMOTE
DOMESTIC MANUFACTURE OF DOE SCIENCE AND ENERGY TECHNOLOGIES. In
accordance with this DEC, all awards, including sub-awards, under this FOA shall include the
U.S. Competitiveness Provision in accordance with Section 11 of this FOA. A copy of the DEC
can be found at https://www.energy.gov/gc/determination-exceptional-circumstances-decs.

Pursuant to 37 CFR § 401.4, any nonprofit organization or small business firm as defined by 35
U.S.C. 201 affected by this DEC has the right to appeal it by providing written notice to DOE
within 30 working days from the time it receives a copy of the determination.

DOE may require additional submissions or requirements as authorized by any applicable DEC.

If applicable, on August 28, 2020, DOE approved a DETERMINATION OF EXCEPTIONAL

CIRCUMSTANCES UNDER THE BAYH-DOLE ACT FOR QUANTUM INFORMATION
SCIENCE TECHNOLOGIES. In accordance with this DEC, all awards, including sub-awards,
under this FOA shall include the U.S. Competitiveness Provision in accordance with Section 11
of this FOA. A copy of the DEC can be found at https://www.energy.gov/gc/determination-
exceptional-circumstances-decs.

With justification, Technical and Business Assistance funds may be used to pay U.S. patent
prosecution costs for inventions developed under the Phase I or Phase II projects.

DISTRIBUTION OF INTELLECTUAL PROPERTY AND COMMERCIALIZATION RIGHTS BETWEEN THE

SBC AND SUBCONTRACTOR

When using subcontractors, including research institutions, the SBC is responsible for providing
that its subcontractors retain all rights provided for the SBC. Large business subcontractors will
need to petition DOE to retain title to inventions.

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PATENT WAIVER

DOE has issued Class Patent Waiver W(C) 2022-01 which allows domestic large business
subcontractors providing at least 20% cost share to elect to retain title to their subject inventions.
Class Patent Waiver W(C) 2022-01 includes a U.S. Competitiveness provision requiring any
products embodying or produced through the use of a subject invention first created or reduced
to practice in the performance of work under this FOA to be substantially manufactured in the
United States. A domestic large business is any for-profit entity that does not qualify as a “small
business” and is incorporated (or otherwise formed) under the laws of a particular state or
territory of the United States and is not owned, controlled, or influenced by a foreign
government, agency, firm, corporation, or person.

Large business subcontractors may request a waiver of all or any part of the rights of the United
States in inventions conceived or first actually reduced to practice in performance of an
agreement as a result of this FOA, in advance of or within 30 days after the effective date of the
award. Even if such advance waiver is not requested or the request is denied, the recipient will
have a continuing right under the award to request a waiver of the rights of the United States in
identified inventions, i.e., individual inventions conceived or first actually reduced to practice in
performance of the award. Any patent waiver that may be granted is subject to certain terms and
conditions in 10 CFR 784. For more information, see https://energy.gov/gc/services/technology-
transfer-and-procurement/office-assistant-general-counsel-technology-transf-1 ..

NOTICE REGARDING ELIGIBLE/INELIGIBLE ACTIVITIES

Eligible activities under this program include those which describe and promote the
understanding of scientific and technical aspects of specific energy technologies, but not those
which encourage or support political activities such as the collection and dissemination of
information related to potential, planned or pending legislation.

12. Matching Funds

For this FOA, matching funds are defined as contributions made by the applicant either (1) for
research and development costs NOT requested in your budget or (2) other costs associated with
commercialization of the proposed innovation

13. National Environmental Policy Act (NEPA) Compliance

If question 4.a. on the “Research and Related Other Project Information” document indicates
“potential impact on the environment”, or if DOE’s own review indicates it, DOE may ask the
applicant to provide additional information on those impacts in order to prepare an
environmental critique/synopsis per 10 CFR 1021.216. If question 4.a. is answered yes due to an
actual or potential positive impact on the environment, applicants should indicate “Yes” under
4.a. and then start their explanation under 4.b. with “Positive potential impact;” followed by their
explanation

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Note that this pre-award environmental critique/synopsis process would be separate from the
preparation of a NEPA document such as an environmental impact statement (EIS) or an
environmental assessment (EA). If DOE determines the latter documentation is necessary, this
process would need to be completed, funded by and with the participation of the awardee, prior
to them taking any action on the proposed project that could have adverse environmental effects
or that could limit the choice of reasonable alternatives. Note that in most cases, even when
“Potential Impact to the Environment” is checked “Yes,” preparation of such NEPA documents is
rarely necessary, but DOE has the expectation that the Applicant will disclose the potential,
which would serve to initiate dialog with DOE if necessary. The inability to satisfy the NEPA
requirements after an award would result in cancellation of the award.

14. Nondisclosure and Confidentiality Agreements Representations (June 2015)

In submitting an application in response to this FOA the Applicant represents that:

(1) It does not and will not require its employees or contractors to sign internal nondisclosure or
confidentiality agreements or statements prohibiting or otherwise restricting its employees or
contactors from lawfully reporting waste, fraud, or abuse to a designated investigative or law
enforcement representative of a Federal department or agency authorized to receive such
information.
(2) It does not and will not use any Federal funds to implement or enforce any nondisclosure
and/or confidentiality policy, form, or agreement it uses unless it contains the following
provisions:
a. ‘‘These provisions are consistent with and do not supersede, conflict with, or otherwise
alter the employee obligations, rights, or liabilities created by existing statute or
Executive order relating to (1) classified information, (2) communications to Congress,
(3) the reporting to an Inspector General of a violation of any law, rule, or regulation, or
mismanagement, a gross waste of funds, an abuse of authority, or a substantial and
specific danger to public health or safety, or (4) any other whistleblower protection. The
definitions, requirements, obligations, rights, sanctions, and liabilities created by
controlling Executive orders and statutory provisions are incorporated into this
agreement and are controlling.’’ The limitation above shall not contravene requirements
applicable to Standard Form 312, Form 4414, or any other form issued by a Federal
department or agency governing the nondisclosure of classified information.
b. Notwithstanding provision listed in paragraph (a), a nondisclosure or confidentiality
policy form or agreement that is to be executed by a person connected with the conduct
of an intelligence or intelligence-related activity, other than an employee or officer of
the United States Government, may contain provisions appropriate to the particular
activity for which such document is to be used. Such form or agreement shall, at a
minimum, require that the person will not disclose any classified information received
in the course of such activity unless specifically authorized to do so by the United States
Government. Such nondisclosure or confidentiality forms shall also make it clear that
they do not bar disclosures to Congress, or to an authorized official of an executive
agency or the Department of Justice, that are essential to reporting a substantial
violation of law.

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15. Prohibition on Lobbying Activity

By accepting funds under this award, you agree that none of the funds obligated on the award
shall be expended, directly or indirectly, to influence congressional action on any legislation or
appropriation matters pending before Congress, other than to communicate to Members of
Congress as described in 18 USC 1913. This restriction is in addition to those prescribed
elsewhere in statute and regulation.

16. Proprietary Application Information

An application may include technical data and other data, including trade secrets and commercial
or financial information that are privileged or confidential, which the applicant does not want
disclosed to the public or used by the Government for any purpose other than application and
program evaluation as permitted by statute. Only the following documents may contain
proprietary information: (1) the commercialization plan, (2) the project narrative, and (3) the
budget justification, (4) letters of support, (5) commercialization history submitted as a Compony
Commercialization Report from SBIR.gov and (6) Disclosure of Foreign Relationships (DFR).

To protect the Company Commercialization Report (CCR) from SBIR.gov, the applicant must
add a cover page to the PDF with the legend as described in 1. below, however, subsequent
pages do not need to be marked as noted in 2. and 3. below for the CCR report generated by
SBIR.gov.

To protect such data, each of the documents containing proprietary data must be marked in the
following manner utilizing the three-step process outlined below:

1. The Cover Page must contain the notice below (please cut and paste):

“Pages [ ] of this document may contain trade secrets or commercial or financial

information that is privileged or confidential and is exempt from public disclosure. Such
information shall be used or disclosed only for evaluation purposes or in accordance with a
financial assistance or loan agreement between the submitter and the Government. The
Government may use or disclose any information that is not appropriately marked or otherwise
restricted, regardless of source.”

“Proprietary Data Legend

Lines, paragraphs, tables, charts, and other graphics containing trade secrets, commercial, and/or
financial information are marked with brackets [ ]”

Alternatively you may select: “highlighted” or “underlined text” or “a vertical line in the side
margin │” in place of “brackets [ ].”

To see examples of proper IP markings, please visit the SBIR/STTR Programs website at
https://science.osti.gov/sbir/Applicant-Resources/Protecting-your-Trade-Secrets.

2. To further protect such data, each page containing trade secrets or commercial or financial

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 information that is privileged or confidential must be specifically identified and marked
with the following (please cut and paste):

“May contain trade secrets or commercial or financial information that is privileged or

confidential and exempt from public disclosure.”

Do not include this statement on pages that do not contain proprietary information.

3. In addition, each line or paragraph containing trade secrets or commercial or financial

information that is privileged, must be marked with brackets or other clear identification,
such as highlighting.

Please ensure this information is consistent with question number three (3) of the Research and
Related Other Project Information form.

17. Publications

The recipient is expected to publish or otherwise make publicly available the results of the work
conducted under any award resulting from this FOA. Publications and other methods of public
communication describing any work based on or developed under an award resulting from this
FOA must contain an acknowledgment of SC support. The format for such acknowledgments is
provided at https://science.osti.gov/Funding-Opportunities/Acknowledgements. The author’s
copy of any peer- reviewed manuscript accepted for funding must be announced to DOE’s Office
of Scientific and Technical Information (OSTI) and made publicly available in accordance with
the instructions contained in the Federal Assistance Reporting Requirements Checklist and
Instructions incorporated in all Assistance Agreements.

18. Registration Requirements

Additional administrative requirements for DOE grants and cooperative agreements are
contained in 2 CFR 25 (See: www.eCFR.gov). Prime awardees must keep their data in SAM
current at www.SAM.gov. Subrecipients at all tiers must obtain UEI numbers and provide the
UEI to the prime awardee before the subaward can be issued.

19. Subaward and Executive Reporting

Additional administrative requirements necessary for DOE grants and cooperative agreements to
comply with the Federal Funding and Transparency Act of 2006 (FFATA) are contained in 2 CFR
170. (See: www.eCFR.gov ). Prime awardees must register with the new FSRS database at
https://www.fsrs.gov and report the required data on their first tier subrecipients. Prime awardees
must report the executive compensation for their own executives as part of their registration
profile in SAM.

20. Consequences of Research Misconduct

Research misconduct associated with DOE SBIR/STTR applications or awards may result in

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criminal, civil, and/or administrative sanctions, including but not limited to: (1) fines, restitution
and/or imprisonment under 18 U.S.C. § 1001; (2) treble damages and civil penalties under the
False Claims Act (31 U.S.C. § 3729 et seq.); (3) double damages and civil penalties under the
Program Fraud Civil Remedies Act (31 U.S.C. § 3801 et seq.); (4) civil recovery of award funds;
(5) suspension and/or debarment from all Federal procurement and non-procurement transactions
(FAR subpart 9.4 or 2 CFR part 180); and (6) other administrative penalties including
termination of SBIR/STTR awards.

D. REFERENCE MATERIAL

1. Definitions

COMMERCIALIZATION

This concerns the process of developing markets and producing and delivering products for sale
(whether by the originating party or by others). As used here, commercialization includes both
Government and private sector markets.

CONSULTANT

A consultant is generally an individual who is not using any institutional or organizational

facilities and is acting as a direct agent. The individual usually bills by the hour, submitting
invoices. Invoices occasionally include additional direct expenses incurred. Consultants are
normally subject matter experts and are not directly supervised by the awardee.

COOPERATIVE AGREEMENT

Cooperative agreement means a type of financial assistance used when there will be substantial
Federal scientific or programmatic involvement. Substantial involvement means that, after
award, scientific or program staff will assist, guide, coordinate, or participate in program
activities.

EMPLOYEE

A person listed on the budget form (Section A - Key/Senior Person or Section B - Other
Personnel) as an employee of the SBC is required to either (a) be paid using a W-2 form or (b)
possess an Internal Revenue Service determination that the person is an employee using Form
SS-8. Persons paid by a 1099 (and not possessing an employee determination using Form SS-8)
are to be treated as independent contractors and should be listed on the budget form in Section F
- Other Direct Costs.

GRANT AGREEMENT

Grant agreement means a legal instrument of financial assistance between a Federal awarding
agency or pass-through entity and a non-Federal entity that, consistent with 31 U.S.C. 6302,

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6304:
1. Is used to enter into a relationship the principal purpose of which is to transfer anything of
value from the Federal awarding agency or pass-through entity to the non-Federal entity to
carry out a public purpose authorized by a law of the United States (see 31 U.S.C. 6101(3));
and not to acquire property or services for the Federal awarding agency or pass-through
entity’s direct benefit or use;
2. Is distinguished from a cooperative agreement in that it does not provide for substantial
involvement between the Federal awarding agency or pass-through entity and the non-
Federal entity in carrying out the activity contemplated by the Federal award.
3. Does not include an agreement that provides only:
a. Direct United States Government cash assistance to an individual;
b. A subsidy;
c. A loan;
d. A loan guarantee; or
e. Insurance.

GRANTEE

Grantee means the organization or individual awarded a grant agreement by DOE that is
responsible and accountable for the use of the funds provided and for the performance of the
grant-supported project or activity. The grantee is the entire legal entity even if a particular
component is designated in award documents. The grantee is legally responsible and accountable
to DOE for the performance and financial aspects of the grant-supported project or activity. Also
known as awardee or recipient.

HISTORICALLY UNDERUTILIZED BUSINESS ZONE (HUBZONE) – A SBC MEETING THE

FOLLOWING CRITERIA:

Located in a “historically underutilized business zone” or HUBZone area located in one or more
of the following:
 A qualified census tract (as defined in section 42 (d)(5)(c)(i)(l) of the Internal Revenue Code
of 1986; or
 A qualified “non-metropolitan county” (as defined in section 143(k)(2)(B) of the
International Revenue Code of 1986) with a median household income of less than 80
percent of the state median household income or with an unemployment rate of not less than
140 percent of the statewide average, based on U.S. Department of Labor recent data; or
 Lands within the boundaries of Federally recognized Indian reservations.
 At least 35 percent of its employees must reside in a HUBZone.

To find out if your business is in a HUBZone, use the mapping utility provided by the U. S. SBA
at its HUBZone Contracting website at https://www.sba.gov/hubzone/.

INNOVATION

Something new or improved that has marketable potential, including (1) development of new
technologies, (2) refinement of existing technologies, or (3) new applications for existing

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technologies.

INTELLECTUAL PROPERTY

The separate and distinct types of intangible property that are referred to collectively as
“intellectual property,” including but not limited to: patents, trademarks, copyrights, trade
secrets, SBIR/STTR technical data, ideas, designs, know-how, business, technical and research
methods, and other types of intangible business assets, and including all types of intangible
assets either proposed or generated by a SBC as a result of its participation in the SBIR or STTR
program.

JOINT VENTURE

A joint venture is an association between two or more firms and or individuals to participate
jointly in a single business enterprise. There must be a community of interests, a sharing of
profits and losses, and, for the purposes of this FOA, the new entity must qualify as a small
business. If a joint venture is selected for award, a DOE Contract Specialist will request a signed
agreement from the parties involved. The agreement must state which company will negotiate
the award and serve as the main point of contact. See 13 CFR 121.103(h) Affiliation based on
joint ventures.

NATIONAL ENVIRONMENTAL POLICY ACT (NEPA)

The National Environmental Policy Act of 1969 (NEPA). The Long Title describes it as follows:
“An Act to establish a national policy for the environment, to provide for the establishment of a
Council on Environmental Quality, and for other purposes.” NEPA requires Federal Agencies to
assess and consider potential impacts from Federal actions in their decision-making.

POTENTIAL IMPACT ON THE ENVIRONMENT

DOE understands “potential impact on the environment” to apply if the work described in the
application could potentially have any of the impacts identified below:

(1) Threaten a violation of applicable statutory, regulatory, or permit requirements for

environment, safety, and health;
(2) Require siting and construction or major expansion of waste storage, disposal, recovery, or
treatment facilities (including incinerators);
(3) Disturb hazardous substances, pollutants, contaminants, or CERCLA-excluded petroleum
and natural gas products that preexist in the environment;
(4) Have the potential to cause significant impacts on environmentally sensitive resources.
Environmentally sensitive resources include, but are not limited to:
(i) Property (such as sites, buildings, structures, and objects) of historic, archeological, or
architectural significance designated by a Federal, state, or local government, Federally
recognized Indian tribe, or Native Hawaiian organization, or property determined to be
eligible for listing on the National Register of Historic Places;
(ii) Federally-listed threatened or endangered species or their habitat (including critical

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 habitat) or Federally-proposed or candidate species or their habitat (Endangered Species
Act); state- listed or state-proposed endangered or threatened species or their habitat;
Federally-protected marine mammals and Essential Fish Habitat (Marine Mammal
Protection Act; Magnuson- Stevens Fishery Conservation and Management Act); and
otherwise Federally-protected species (such as the Bald and Golden Eagle Protection Act
or the Migratory Bird Treaty Act);
(iii)Floodplains and wetlands, as defined in 10 CFR 1022.4, “Compliance with Floodplain
and Wetland Environmental Review Requirements: Definitions,” or its successor;
(iv) Areas having a special designation such as Federally- and state-designated wilderness
areas, national parks, national monuments, national natural landmarks, wild and scenic
rivers, state and Federal wildlife refuges, scenic areas (such as National Scenic and
Historic Trails or National Scenic Areas), and marine sanctuaries;
(v) Prime or unique farmland, or other farmland of statewide or local importance, as defined
at 7 CFR 658.2(a), “Farmland Protection Policy Act: Definitions,” or its successor;
(vi) Special sources of water (such as sole source aquifers, wellhead protection areas, and
other water sources that are vital in a region); and
(vii) Tundra, coral reefs, or rain forests; or
(5) Involve genetically engineered organisms, synthetic biology, governmentally designated
noxious weeds, or invasive species.

In addition, DOE understands “potential impact on the environment,” to apply if the work
described in the application could potentially have any of the impacts identified below:

Any other high consequence impacts to the environment which have any possibility for high
consequence impacts to human health (e.g., use of human subjects, Biosafety Level 3-4
laboratory construction/operation, manufacture or use of certain nanoscale materials which are
known to impact human health, or any activities involving transuranic or high level radioactive
waste or materials or exposure to any radioactive materials beyond de minimis levels) or:
a) Have extraordinary circumstances (i.e., scientific or related public controversy) related to the
significance of environmental effects [see 10 CFR 1021.410(b)(2)];
b) Are connected to other actions with potentially significant impacts [see 10 CFR 1021.410
(b)(3)]; or
c) Are related to other nearby actions with the potential for cumulatively significant impacts
[see 10 CFR 1021.410 (b)(3)].

RESEARCH OR RESEARCH AND DEVELOPMENT (R&D)

Research or R&D is any scientific or engineering activity which is (1) a systematic, intensive
study directed toward greater knowledge or understanding of the subject; (2) a systematic study
directed specifically toward applying new knowledge to meet a recognized need; and/or (3) a
systematic application of knowledge toward the production of useful materials, devices, and
systems or methods, including design, development, and improvement of prototypes and new
processes to meet specific requirements.

RESEARCH INSTITUTION

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A research institution is one that has a place of business located in the United States, which
operates primarily within the United States or which makes a significant contribution to the U.S.
economy through payment of taxes or use of American products, materials or labor, and is:

(1) A non-profit institution as defined in section 4(3) of the Stevenson-Wydler Technology

Innovation Act of 1980 (that is, an organization that is owned and operated exclusively for
scientific or educational purposes, no part of the net earnings, which benefits any private
shareholder or individual); or

(2) A Federally-funded R/R&D center (FFRDC) as identified by the National Science

Foundation (NSF) in accordance with the Federal Acquisition Regulation issued in accordance
with section 35(c)(1) of the Office of Federal Procurement Policy Act (or any successor
regulation). https://www.nsf.gov/statistics/ffrdclist/

 A non-profit institution can include hospitals and military educational institutions, if they
meet the definition above.
 Research institutions may include a non-profit college or university.
 DOE FFRDCs include Ames Laboratory, Argonne National Laboratory, Brookhaven
National Laboratory, Fermi National Accelerator Laboratory, Idaho National Laboratory,
Lawrence Berkeley National Laboratory, Lawrence Livermore National Laboratory, Los
Alamos National Laboratory, National Renewable Energy Laboratory, Oak Ridge
Institute for Science and Education, Oak Ridge National Laboratory, Pacific Northwest
National Laboratory, Princeton Plasma Physics Laboratory, Sandia National Laboratories,
Savannah River National Laboratory, SLAC National Accelerator Facility, and the
Thomas Jefferson National Accelerator Facility. DOE-sponsored FFRDC’s may be
viewed by selecting the Department of Energy under the Sponsoring agency tab at
https://www.nsf.gov/statistics/ffrdclist.
 Research institutions may include government-owned, government-operated facilities.
However, the National Energy Technology Laboratory (NETL) may participate as a
research institution for all but the following topics and subtopics in this FOA: 25a, 25b,
25c, 25d, 25e, 25f, 26a, 26b, 26c, 26d, 26e, 26f, 27a, 27b, 28a and 28b. .

RESEARCH MISCONDUCT

Research misconduct means fabrication, falsification, or plagiarism in proposing, performing, or

reviewing research, or in reporting research results, but does not include honest error or
differences of opinion. 2 CFR 910.132 Research misconduct.

SOCIALLY AND ECONOMICALLY DISADVANTAGED SMALL BUSINESS

A socially and economically disadvantaged small business is one:

 That is at least 51 percent owned by (i) an Indian tribe or a native Hawaiian organization,
or (ii) one or more socially and economically disadvantaged individuals; and,
 Whose management and daily business operations are controlled by one or more socially
and economically disadvantaged individuals. A socially and economically disadvantaged
individual is defined as a member of any of the following groups: African Americans,

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 Hispanic Americans, Native Americans, Asian-Pacific Americans, Subcontinent Asian
Americans, other groups designated from time to time by the Small Business
Administration (SBA) to be socially disadvantaged, or any other individual found to be
socially and economically disadvantaged by SBA pursuant to section 8(a) of the Small
Business Act, 15 U.S.C. 637(a).

SUBCONTRACT

A subcontract is any agreement, other than one involving an employer-employee relationship,

entered into by the recipient of a Federal Government award, calling for supplies or services
required solely for the performance of the original award.

WOMAN-OWNED SMALL BUSINESS

A woman-owned small business is a small business that is at least 51 percent owned by a woman
or women who also control and operate it. “Control” in this context means exercising the power
to make policy decisions. “Operate” in this context means being actively involved in the day-to-
day management.

2. Working with National Labs, Universities, Research Institutions, and Other

Subcontractors

DOE USER FACILITIES

DOE operates a number of major scientific user facilities to serve researchers from universities,
national laboratories, and industry. These facilities enable the acquisition of new knowledge that
often cannot be obtained by any other means. Thousands of researchers collaborate with these
facilities and analyze their respective data from the experiments to publish new scientific
findings in peer-reviewed journals. These facilities may be found at the following web addresses:
https://science.osti.gov/bes/suf/User-Facilities and https://science.osti.gov/ber/Facilities/User-
Facilities.

Potential applicants to the SBIR or STTR programs should consider whether the use of any of
these facilities would contribute to the scientific efforts proposed in either Phase I or II. For
approved experiments (access to these facilities is through a peer-reviewed system), operating
time is available without charge to those scientists whose intent is to publish their results in the
open literature. If the investigator wishes to perform proprietary research, the user must pay the
full-cost recovery rate for facility usage (in which case, the cost could be charged to the
SBIR/STTR project); in return, the facility will treat all technical data generated as proprietary,
and the user may take title to any inventions resulting from the research. Information on other
laboratory facilities which may be available on a case- by-case basis may be obtained through
the Federal Laboratory Consortium Locator or directly from the DOE laboratory involved.

IDENTIFYING INSTITUTIONS
Experts at institutions such as DOE contractor-operated national laboratories, universities,
colleges, or other research institutions, may be consulted during the preparation of the

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application. Any of these institutions may also serve as a subcontractor to SBIR/STTR Phase I or
Phase II projects, providing technical expertise, facilities, or equipment. In such cases, the SBC
must have the necessary expertise to direct the project.

For STTR, the SBC must conduct cooperative R&D with a research institution (see definition
list). An alliance between the SBC and a research institution must be formed before submitting
the application. Awards will be awarded to the applicant, which will receive all funding for the
project and disperse the appropriate funds to the research institution.

A list of DOE National Laboratories and relevant small business contacts is available at
https://science.osti.gov/sbir/Applicant-Resources/National-Labs-Profiles-and-Contacts. For help
in contacting personnel at other Federal agency laboratories, go to https://www.federallabs.org,
or contact the FLC Management Support Office by, Phone: (856) 667-7727 or email:
[email protected].

SCIENTIFIC AND TECHNICAL INFORMATION RESOURCES

Applicants may want to obtain scientific and technical information related to their proposed
effort as background or for other purposes. Sources of this information are listed in the
references for each technical topic and below references for each technical topic and below
(https://science.osti.gov/sbir/Funding-Opportunities)

National Technical Information Service – Reports resulting from Federal research and those
received from exchange agreements with foreign countries and international agencies are
available to the public in both paper copy and microfiche through the National Technical
Information Service. They may be ordered electronically from https://www.ntis.gov/ or by phone
at 1-800-553-6847.

DOE Office of Scientific and Technical Information (OSTI) - OSTI is responsible for fulfilling
the requirements of the Energy Policy Act of 2005 to maintain “… publicly available collections
of scientific and technical information resulting from research, development, demonstration, and
commercial application activities supported by the Department.” OSTI collects, preserves, and
disseminates research results via web-based information systems developed on behalf of DOE.

SBIR and STTR applicants may obtain information from the following OSTI sources, available
via the web at https://www.osti.gov or at the specific web addresses below.
 Information Bridge (https://www.osti.gov/bridge), over 125,000 searchable full-text
documents reporting results of DOE-funded research.
 Energy Citations Database (https://www.osti.gov/energycitations), over 2 million
searchable citations covering disciplines of interest to DOE from 1948 to the present, with
links to full-text when available.
 E-print Network (https://www.osti.gov/eprints) offers single-query access to a network of
scientific and technical information and communication, searching more than 900,000
manuscripts, scholarly papers, and other scientific documents residing on approximately
35,300 websites and databases worldwide, containing over 5.5 million e-prints in basic
and applied sciences.
 DOE R&D Accomplishments (https://www.osti.gov/accomplishments), a central forum

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 for information about the outcomes of past DOE R&D.

OTHER RESOURCES

Literature and database searches for abstracts, publications, patents, lists of Federal research in
progress, and names of potential consultants in the specific research area can be obtained at good
technical libraries (especially those of universities), and from some state organizations.

Science.gov (https://www.science.gov/), a web portal providing single-query search of more than

50 million pages of science information and research results from DOE and 11 other Federal
science agencies.

Technical Assistance for Application Preparation and Project Conduct - SBCs may wish to
contact their local National Institute of Standards and Technology Hollings Manufacturing
Extension Partnership (MEP) for manufacturing and other business-related support services.

The MEP works with small and mid-sized companies to help them create and retain jobs,
increase profits, and save time and money. The nationwide network provides a variety of
services, from business development assistance to innovation strategies to process improvements
and the identification of commercialization opportunities. MEP is a nationwide network of
locally managed extension centers with over 1,400 technical experts - located in every state. To
contact an MEP center, call 1-800-MEP-4- MFG (1-800-637-4634) or visit MEP’s website at
https://www.nist.gov/mep.

USE OF FEDERAL FACILITIES OR PERSONNEL, E.G. NATIONAL NUCLEAR

SECURITY ADMINISTRATION (NNSA) PLANTS AND SITES
The SBA may issue a case-by-case waiver to DOE or other Federal Government agency to
permit the applicant to use a Federal facility or personnel, after review of the applicable agency’s
waiver request to the SBA. The applicant must submit to its point of contact at the Federal
facility, as soon as possible, before the application due date, a letter from the SBC Official
explaining why the SBIR/STTR research project requires the use of the facility or personnel,
including data that verifies the absence of non-Federal facilities or personnel capable of
supporting the research effort. The applicable agency will provide to the SBA: a) the applicant’s
explanation and b) agency’s statement, signed by the appropriate Government official at the
facility, verifying that the facility will be available for the required effort and that the agency will
not and cannot fund the use of the facility or personnel for the SBIR/STTR project with
nonSBIR/STTR money. DOE cannot guarantee that a waiver will be obtained from SBA. A
waiver must be obtained before award. Federal facilities designated as Federal (National)
laboratories are exempt from this waiver requirement.

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