DE-FOA-0003417.pdf

DEPARTMENT OF ENERGY (DOE)

SMALL BUSINESS INNOVATION RESEARCH (SBIR)

SMALL BUSINESS TECHNOLOGY TRANSFER (STTR)

FY 2025 PHASE I RELEASE 1

FUNDING OPPORTUNITY ANNOUNCEMENT (FOA) NUMBER:

DE-FOA-0003417

CFDA NUMBER: 81.049

FOA Issue Date: August 5, 2024 Submission Deadline for Letters of Intent: August 27, 2024 5:00 PM Eastern Time Submission Deadline for Applications: October 8, 2024 11:59 PM Eastern Time

Table of Contents

SECTION I – FUNDING OPPORTUNITY DESCRIPTION

I.A. PHASE I

I.B. SBIR/STTR PROGRAM OBJECTIVES

I.C. DIVERSITY, EQUITY, INCLUSION, AND ACCESSIBILITY

I.D. TECHNOLOGY TRANSFER OPPORTUNITY

SECTION II – AWARD INFORMATION

II.A. TYPE OF AWARD INSTRUMENT

II.B. ESTIMATED FUNDING

II.C. MAXIMUM AND MINIMUM AWARD SIZE

II.D. EXPECTED NUMBER OF AWARDS

II.E. ANTICIPATED AWARD SIZE

II.F. PERIOD OF PERFORMANCE

II.G. TYPE OF APPLICATION

II.H. JUSTICE40 INITIATIVE

SECTION III – ELIGIBILITY INFORMATION

III.A. ELIGIBLE SBIR AND STTR APPLICANTS

III.B. COST SHARING

III.C. OTHER ELIGIBILITY REQUIREMENTS

III.D. SUBMITTING LETTERS OF INTENT

III.E. RESTRICTIONS ON SUBMITTING APPLICATIONS

III.F. RESTRICTIONS ON THE LEVEL OF SMALL BUSINESS PARTICIPATION –

PHASE I

III.G. GENERAL REQUIREMENTS AND RESTRICTIONS ON THE PI

III.H. RESTRICTIONS ON THE MANAGEMENT OF SBIR/STTR PROJECTS

SECTION IV – APPLICATION AND SUBMISSION INFORMATION

IV.A. ADDRESS TO REQUEST APPLICATION PACKAGE

IV.B. LETTER OF INTENT (LOI) AND PRE-APPLICATION

IV.C. GRANTS.GOV APPLICATION SUBMISSION AND RECEIPT PROCEDURES

IV.D. CONTENT AND APPLICATION FORMS (PHASE I ONLY)

IV.E. SUBMISSIONS FROM SUCCESSFUL APPLICANTS

IV.F. SUBMISSION DATES AND TIMES

IV.G. INTERGOVERNMENTAL REVIEW

IV.H. FUNDING RESTRICTIONS

SECTION V - APPLICATION REVIEW INFORMATION

V.A. CRITERIA

V.B. REVIEW AND SELECTION PROCESS

V.C. ANTICIPATED NOTICE OF SELECTION AND AWARD DATES

SECTION VI – AWARD ADMINISTRATION INFORMATION

VI.A. AWARD NOTICES

VI.B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

VI.C. REPORTING

VI.D. INTERIM CONFLICT OF INTEREST POLICY FOR FINANCIAL

ASSISTANCE

SECTION VII - QUESTIONS/AGENCY CONTACTS

VII.A. QUESTIONS

VII.B. AGENCY CONTACTS

VII.C. DOE, OFFICE OF INSPECTOR GENERAL HOTLINE

SECTION VIII – SUPPLEMENTARY MATERIAL

VIII.A. HOW-TO GUIDES

VIII.B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

VIII.C. REFERENCE MATERIAL

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UPDATES AND REMINDERS

RECOMMENDATION

The Department of Energy (DOE) Office of Science (SC) encourages you to register in all systems as soon as possible. You are also encouraged to submit letters of intent (LOIs) 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.

PROMOTING INCLUSIVE AND EQUITABLE RESEARCH (PIER) PLAN

All new and renewal applications must provide a Promoting Inclusive and Equitable Research (PIER) Plan as an appendix to the project narrative. Please read the instructions in Section IV and the associated review criteria in Section V.

PROTECTING YOUR TRADE SECRETS, COMMERCIAL AND FINANCIAL INFORMATION

The requirements for marking protected information have changed. You can no longer use the proprietary data markings you have used in previous applications. Please refer to Section VIII for details.

NEW APPLICATION GUIDE

A newly developed online application guide is available at:

https://pamsexternalhelp.science.energy.gov/pages/viewpage.action?pageId=103186436

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 for details.

INTERAGENCY FORMATS FOR CURRENT AND PENDING SUPPORT AND BIOGRAPHICAL SKETCHES

Interagency common instructions for preparing current and pending support and biographical sketches have been developed (https://www.nsf.gov/bfa/dias/policy/nstc_disclosure.jsp) and https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0058422&sys_kb_id=1b5f22581b2115102fe5ed7ae54bcb4e&spa=1 https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0058422&sys_kb_id=1b5f22581b2115102fe5ed7ae54bcb4e&spa=1 https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0058422&sys_kb_id=1b5f22581b2115102fe5ed7ae54bcb4e&spa=1 https://pamsexternalhelp.science.energy.gov/pages/viewpage.action?pageId=103186436 https://www.nsf.gov/bfa/dias/policy/nstc_disclosure.jsp ii have been adopted by DOE. The Science Experts Network Curriculum Vitae (SciENcv) system at https://www.ncbi.nlm.nih.gov/sciencv/ has been updated to support the forthcoming common instructions and formats. The fillable PDFs provided by the National Science Foundation are no longer available. SC strongly encourages all applicants 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.

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.

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

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 2025 Phase I Release 1 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 IV. 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 https://www.ncbi.nlm.nih.gov/sciencv/ https://www.grants.gov/ https://www.grants.gov/applicants/workspace-overview https://www.grants.gov/ https://science.osti.gov/sbir/Funding-Opportunities iii

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.

SC STATEMENT OF COMMITMENT

The DOE SC is fully and unconditionally committed to fostering safe, diverse, equitable, and inclusive work, research, and funding environments that value mutual respect and personal integrity. SC is committed to advancing belonging, accessibility, justice, equity, diversity, and inclusion across the portfolio of activities we sponsor. SC’s effective stewardship and promotion of safe, accessible, diverse, and inclusive workplaces that value and celebrate the diversity of people, ideas, cultures, and educational backgrounds across the country and that foster a sense of belonging in our scientific community is foundational to delivering on our mission. We are committed to promoting people from all backgrounds, including individuals and communities that were historically underrepresented and minoritized in science, technology, engineering, and math (STEM) fields and the activities we sponsor in recognition of our responsibility to serve the public. We also recognize that harnessing a broad range of views, expertise, and experiences drives scientific and technological innovation and enables the SC community to push the frontiers of scientific knowledge for U.S. prosperity and security. Discrimination and harassment undermine SC’s ability to achieve its mission by reducing productivity, discouraging, or inhibiting talent retention and career advancement, and weakening the integrity of the SC enterprise overall. SC does not tolerate discrimination or harassment of any kind, including sexual or non-sexual harassment, bullying, intimidation, violence, threats of violence, retaliation, or other disruptive behavior at institutions receiving SC funding or other locations where activities funded by SC are carried out. All applicants and collaborators should familiarize themselves with the SC Statement of Commitment available at https://science.osti.gov/SW- DEI/SC-Statement-of-Commitment.

UPDATING YOUR PORTFOLIO ANALYSIS AND MANAGEMENT SYSTEM (PAMS) PROFILE

All applicants are encouraged to update their profiles in the PAMS website at https://pamspublic.science.energy.gov regularly, at least annually, to ensure SC has your most up-to-date information. The PAMS profile now requires that individuals provide responses to the demographic related fields. SC strongly encourages personnel at applicant and recipient institutions, including Principal Investigators (PIs) and other Key Personnel, to provide their demographic information. By providing your demographic information, you are assisting with SC’s continued commitment to advancing diversity, equity, inclusion and accessibility in its business practices. Alternatively, for information you wish not to disclose, please select, “Do not http://www.dawnbreaker.com/doephase0/ https://science.osti.gov/SW-DEI/SC-Statement-of-Commitment https://science.osti.gov/SW-DEI/SC-Statement-of-Commitment https://pamspublic.science.energy.gov/ iv wish to provide.” Your individual demographic information will not be shared with peer reviewers and the information in your PAMS profile is protected by the requirements established in the Federal Privacy Act of 1974. Aggregate, anonymized demographic information may be shared with confidential review committees who are charged to evaluate the quality and efficacy of SC’s business practices. For example, summary statistics of all applicants to or award selections from a particular SC FOA may be reviewed by a Committee of Visitors.

PORTABLE DOCUMENT FORMAT (PDF) GENERATION

The project narrative in an application must be one single machine-readable PDF file that contains the DOE Title Page, project narrative, all required appendices, and other attachments.

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. The project narrative will be read by SC staff using the full version of Adobe Acrobat: Please ensure that the narrative is readable 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 project narrative. Once a project narrative has been assembled, please submit the combined project 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. Review your submission to ensure that blank pages are not present.

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Checklist for Avoiding Common Errors:

Item Issue Applications Submitted in Grants.gov. Do not submit applications in PAMS or FedConnect.

Grants.gov Submission Ensure that applications are submitted under the correct Opportunity Number.

Standard Form (SF)-424 Research and Related (R&R):

- Attach nothing to field 20

- Attach nothing to field 21

SF-424 Research and Related Other Project Information form:

- Attach the abstract to field 7

- Attach the project narrative, with all appendices, to field 8

- Attach nothing to field 9

- Attach nothing to field 10

- Attach nothing to field 11

Letters of Intent (LOIs)

- Submit your LOI in PAMS.

- Do not submit your LOI in Grants.gov.

- Do not attach your LOI to the SF-424 Research and Related (R&R) form.

- Follow the instructions in Section IV for the preparation of an LOI.

Page Limits Strictly followed throughout application, including particular attention to:

- Project narrative

- Commercialization plan

Personally Identifiable Information None present in the application Project Narrative Composed of one PDF file including all appendices (bibliography, facilities, equipment, PIER)

Project Summary / Abstract Name of PI, PI’s institutional affiliation(s) Include Summary for Members of Congress

Budget Use current negotiated indirect cost and fringe benefit rates

Budget Justification (attached to budget) Justify all requested costs Biographical Sketches Attach the biographical sketch to the

Senior/Key Person Profile (Expanded) Form.

Current and Pending Support Ensure complete listing of all activities, regardless of source of funding. Attach the current and pending support to the Senior/Key Person Profile (Expanded) Form.

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Item Issue Data Management Plans (DMP) - If referring to an experiment’s DMP, describe the relationship to the proposed research.

- Include a DMP even if no experimental data is expected.

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, SBIR-STTR@science.doe.gov

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); Public Law 117-58, also known as the Bipartisan Infrastructure Law (BIL)

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) 2025.

I.A. PHASE I

Phase I grants resulting from this competition will be made during FY 2025 to small businesses with maximum award sizes of $200,000 or $250,000. Refer to the individual topic for its respective maximum award size (a proposal submitted that exceeds the maximum award size for the respective topic will be declined without review). The period of performance will depend on the scope of the effort but will not exceed 12 months. Please note that the Phase II grant application will be due approximately 9.5 months after the grant start date. This will be the only opportunity to submit a Phase II application for a Phase I award made under this FOA. Grantees that select a Phase I period of performance of 9 months or less will be able to complete their Phase I project prior to submission of their Phase II grant application. Grantees that select a Phase I longer than 9 months will be able to continue research and development (R&D) after their Phase II application is submitted but will not be able to utilize these results in the mailto:SBIR-STTR@science.doe.gov 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 2026 Phase II FOA, i.e., FY 2026 Phase II Release 1.

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/.

I.B. 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), 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 Section VIII 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 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.

I.C. DIVERSITY, EQUITY, INCLUSION, AND ACCESSIBILITY

The Federal SBIR/STTR Programs statutory purposes include fostering and encouraging participation in innovation and entrepreneurship by women and socially or economically disadvantaged persons. Diversity, Equity, Inclusion, and Accessibility (DEIA) is a cornerstone to effectively advancing the U.S. research and scientific innovation enterprise. Effective stewardship and promotion of diverse and inclusive research environments and workplaces that value and celebrate a diversity of people, ideas, cultures, and educational backgrounds is foundational to delivering on the DOE SBIR/STTR mission.

The Department of Energy’s SBIR/STTR Programs collaborates with the Department of Energy Office of Science’s Office of Scientific Workforce Diversity, Equity, and Inclusion to advance organizational best practices for promoting DEIA in our business practices for awarding and managing competitive research. For more information on our work to advance DEIA, visit https://science.osti.gov/sbir/About/Diversity-Equity-and-Inclusion.

I.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.

https://science.osti.gov/sbir/About/Diversity-Equity-and-Inclusion

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.

Section II – AWARD INFORMATION

II.A. TYPE OF AWARD INSTRUMENT

DOE anticipates awarding grants under this FOA.

II.B. ESTIMATED FUNDING

Approximately $24,000,000 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.

II.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.

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

II.D. EXPECTED NUMBER OF AWARDS

DOE anticipates making approximately 110 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.

II.E. ANTICIPATED AWARD SIZE

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

II.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 February 18, 2025.

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.

II.G. TYPE OF APPLICATION

DOE will accept new Phase I applications under this FOA.

II.H. JUSTICE40 INITIATIVE

The Justice40 initiative, established by E.O. 14008 “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021, sets a goal that 40% of the overall benefits of certain federal investments flow to disadvantaged communities. Pursuant to E.O. 14008 and the Office of Management and Budget’s Interim Justice40 Implementation Guidance M-21-28 and M-23-09, DOE recognizes disadvantaged communities as defined and identified by the White House Council on Environmental Quality’s Climate and Economic Justice Screening Tool (CEJST), located at https://screeningtool.geoplatform.gov/. DOE’s Justice40 Implementation Guidance is located at https://www.energy.gov/sites/default/files/2022- 07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf.

https://screeningtool.geoplatform.gov/ https://www.energy.gov/sites/default/files/2022-07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf https://www.energy.gov/sites/default/files/2022-07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf

Section III – ELIGIBILITY INFORMATION

III.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, 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 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 Section VIII, may apply, provided the entity created also qualifies as an SBC at the time of the award.

An SBC may be owned by venture capital operating companies, hedge funds, or private equity firms only under the following circumstances:

1. An SBC may be majority owned by one or more other concerns (including a venture capital operating company, hedge fund, or private equity firm) that qualify as a small business that is majority owned and controlled by individuals who are citizens or resident aliens of the U.S.

2. Any firm may own 50% or less of an SBC so long as it does not have the power to control the SBC.

SBIR ONLY:

DOE has not elected to make a portion of its SBIR awards to SBCs that are majority‐owned by multiple venture capital operation companies, hedge funds, or private equity firms under 15 U.S.C. § 638(dd)(1); this agency decision does not affect the statement above that an SBC may be majority owned by one or more other concerns (including a venture capital operating company, hedge fund, or private equity firm) that qualify as a small business that is majority owned and controlled by individuals who are citizens or resident aliens of the U.S.

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):

https://www.sbir.gov/faqs/eligibility-requirements

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

On June 1st 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, 2024 are not eligible to submit a Phase I application during the period June 1, 2024 through May 31, 2025.

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 two fiscal years ("covered period"), must have an average of $250,000 of aggregate sales and investments per Phase II http://www.sbir.gov/ award received during such covered period. An 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 from each agency during the one-year period beginning on the date on which such determination is made.

III.A.1. Participation By Federally Funded Research and Development Centers

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.

III.A.2. 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 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.

III.B. COST SHARING

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

III.C. 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 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. Failure to include mandatory documents will result in the declination of the application during initial review.

III.D. 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 for LOI content guidance.

III.E. RESTRICTIONS ON SUBMITTING APPLICATIONS

III.E.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.

III.E.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 and Section IV, (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 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.

III.E.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.

III.E.4. 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.

III.E.5. 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.

III.E.6. 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 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…