FY 2021 SBIR/STTR Phase I Release 2 | DE FOA 0002360

Opportunity Information: Apply for DE FOA 0002360

FY 2021 SBIR/STTR Phase I Release 2 (DE-FOA-0002360) is a U.S. Department of Energy (DOE) Office of Science funding opportunity that provides Phase I grant support for small-business-led research and development projects that align with DOE mission needs and show clear commercial potential. The program is designed to move promising, innovative technologies toward the marketplace by funding early-stage R&D that addresses important scientific or engineering problems relevant to DOE, while also strengthening the economic and societal return on federally funded research. It specifically aims to stimulate private-sector technological innovation, increase commercialization outcomes from DOE-supported R&D, and broaden participation by encouraging proposals from women-owned and minority-owned small businesses.

This opportunity covers two closely related programs: SBIR and STTR. Both fund high-quality, innovation-driven R&D with a strong path to commercialization, but they differ mainly in how collaboration with research institutions is handled. Under STTR, a substantial, cooperative research collaboration between the small business and a single eligible research institution is required as part of the project structure. Under SBIR, collaboration with universities, national labs, or other research institutions is allowed and can be substantial, but it is optional rather than mandatory. In other words, STTR requires a formal partnership as a core feature of the work, while SBIR leaves that decision to the applicant company based on what best supports the technical approach and commercialization plan.

DOE makes clear that these awards are intended for applied R&D on innovative concepts, not for basic science and not for demonstration projects. The focus is on early development work that can validate feasibility, reduce technical risk, and set up a credible case for follow-on development and eventual market adoption. Phase I is positioned as an entry point that should produce enough progress and evidence to justify a larger Phase II effort.

A central theme of the FOA is commercialization planning from the start. After Phase I begins, awardees are encouraged to actively pursue commitments from private-sector investors or from federal funding sources outside of SBIR/STTR in preparation for later phases. The expectation is that applicants will build a realistic financing and partnership pathway that supports both Phase II (expanded R&D) and Phase III (commercial deployment and scaling). DOE notes that these commitments should ideally be in place before submitting a Phase II application, and that Phase III commitments can be contingent on meeting specific technical milestones during Phase II.

Phase III is described as the stage where non-SBIR/STTR funding is used to pursue commercial applications of the DOE-supported R&D. The FOA emphasizes that Phase III can involve a blend of funding sources: non-SBIR/STTR federal funds may support additional work that meets agency mission requirements, while private capital typically supports product development, market entry, and other commercialization objectives. Importantly, federal agencies may issue non-SBIR/STTR funded follow-on contracts or grants to companies that previously won Phase I or Phase II for products/processes that meet agency needs or for further R&D.

The FOA also highlights a key procurement advantage of the SBIR/STTR structure: because Phase I and Phase II awards are competitively awarded, agencies funding a Phase III follow-on are generally not required to run a new competition to satisfy certain federal competition statutes. At the same time, DOE explicitly states that receiving Phase I (or any earlier phase) does not create any promise or obligation that Phase II or Phase III funding will be awarded.

Administratively, this is a discretionary grant opportunity in the science and technology/R&D category (CFDA 81.049) managed by the DOE Office of Science. The funding opportunity was created on December 14, 2020, with an original application deadline of February 22, 2021. The Phase I award ceiling listed is $200,000, and DOE anticipated making approximately 196 awards. Eligibility is described as broadly open ("unrestricted") subject to the specific program rules and clarifications in the full announcement, particularly the distinct eligibility and collaboration requirements that differentiate SBIR from STTR.

• The Department of Energy - Office of Science, Office of Science in the science and technology and other research and development sector is offering a public funding opportunity titled "FY 2021 SBIR/STTR Phase I Release 2" and is now available to receive applicants.
• Interested and eligible applicants and submit their applications by referencing the CFDA number(s): 81.049.
• This funding opportunity was created on Dec 14, 2020.
• Applicants must submit their applications by Feb 22, 2021. (Agency may still review applications by suitable applicants for the remaining/unused allocated funding in 2026.)
• Each selected applicant is eligible to receive up to $200,000.00 in funding.
• The number of recipients for this funding is limited to 196 candidate(s).
• Eligible applicants include: Unrestricted (i.e., open to any type of entity above), subject to any clarification in text field entitled Additional Information on Eligibility.

Apply for DE FOA 0002360

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