FY 2020 SBIR/STTR Phase II Release 1 | DE FOA 0002155

Opportunity Information: Apply for DE FOA 0002155

The FY 2020 SBIR/STTR Phase II Release 1 funding opportunity (DE-FOA-0002155) is a Department of Energy (DOE) Office of Science grant program designed to help small businesses push promising innovations beyond Phase I feasibility work and toward prototypes, processes, or products with real commercial potential. It sits within the DOE SBIR/STTR pipeline and focuses on science and technology research and development. This solicitation is specifically tied to prior DOE SBIR/STTR awards, meaning it is not an open, start-from-scratch competition; it is intended for companies that have already completed (or are actively operating under) earlier DOE SBIR/STTR phases under eligible topics. The opportunity was created on October 22, 2019, with an original closing date of December 10, 2019. DOE anticipated making around 100 awards, with an award ceiling listed at $1,500,000. Eligible applicants are small businesses, and the funding instrument is a discretionary grant under CFDA 81.049.

At the core of the solicitation is the "Initial Phase II" award. The purpose of an Initial Phase II grant is to carry out the research and development (R and D) required to meet the DOE objectives laid out in the relevant topic and subtopic from the Phase I Funding Opportunity Announcement (FOA). In practical terms, DOE is looking for companies to take what they proved could work in Phase I and turn it into something substantially more mature by the end of Phase II. That usually means a functioning prototype, a validated product concept, or a working process that can be demonstrated to potential investors or customers. Importantly, DOE emphasizes that Phase II should position the company to pursue commercial applications after the project ends, whether those customers are in the private sector or within government (including DOE). This Phase II FOA is described as supplemental to the FY 2019 SBIR/STTR Phase I Release 1 FOA (DE-FOA-0001940), and it notes that general rules and context from the Phase I FOA still apply unless there is a conflict. If anything in the Phase I and Phase II documents contradicts, the Phase II FOA controls.

Beyond the Initial Phase II track, DOE also offers "Second Phase II" funding, which is essentially an optional extension path for certain existing Phase II awardees who need more time and money to finish development work or to move more aggressively toward commercialization. The solicitation defines two different Second Phase II options: Phase IIA and Phase IIB. Phase IIA is meant for additional R and D tasks that stay aligned with the original Phase II scope, basically providing extra runway to complete the development of the initial prototype, product, or process. Because it is a continuation within the same general scope, DOE uses the same review criteria for Phase IIA as it uses for Initial Phase II applications. Phase IIA is restricted to a specific pool of applicants: only recipients of awards that came out of the FY 2018 SBIR/STTR Phase II FOA (DE-FOA-0001794) under the eligible topics identified in the solicitation can apply. DOE also requires that the applicant still have an active Phase II grant at the time of application, and it makes the application decision final for that cycle: if a Phase IIA application is declined, it cannot be resubmitted later.

Phase IIB, by contrast, is meant for work that goes beyond the original Phase II scope and is more explicitly designed to accelerate commercialization. While it still funds R and D, its focus is helping the company transition the innovation into the market. Because of that, the review approach changes: Phase IIB applications are judged with greater emphasis on potential impact and on the strength and credibility of the commercialization path. Applicants are expected to show they are doing real commercialization work alongside or after the Phase IIB technical effort, not just planning to do it someday. Eligibility for Phase IIB is also more limited and is tied to specific prior award years: only Phase II grantees from FY 2017 and FY 2018 Phase II FOAs (DE-FOA-0001645 and DE-FOA-0001794), under eligible topics, may apply. In addition, only Fast Track grantees from the FY 2016 Phase I FOA (DE-FOA-0001366) under eligible topics may apply for Phase IIB. DOE also sets a constraint that a Phase II grantee may submit only one second Phase II application per eligible award, choosing either Phase IIA or Phase IIB, not both. If awarded, a Phase IIA or Phase IIB can extend the Phase II period by up to two years, and the combined length of the original Phase II plus the second Phase II is generally capped at four years unless there is an unforeseen delay.

Finally, the solicitation includes a "Third Phase II" option, but only for SBIR (not STTR). This is called Phase IIC, and it is designed to continue R and D from a second SBIR Phase II award while moving even closer to commercialization. A major distinguishing feature is that Phase IIC requires matching funds from a third-party investor, signaling that DOE wants to see outside validation and financial commitment as the technology approaches the market. The matching funds can cover R and D costs not included in the DOE budget request or other commercialization-related costs tied to bringing the innovation to market. As with Phase IIA, DOE requires the applicant to have an active Phase II grant at the time of application, and it again states that if a Phase IIC application is declined, the applicant cannot come back later with a resubmission under this same opportunity.

Taken together, this FOA is structured as a staged growth pathway for DOE-backed small business innovations: Initial Phase II funds the main development push from Phase I results; Second Phase II (IIA or IIB) provides targeted follow-on funding either to finish in-scope development (IIA) or expand scope and drive commercialization (IIB); and SBIR-only Third Phase II (IIC) adds a commercialization-leaning continuation that must be supported by outside matching funds. The consistent theme across all levels is that DOE is not only paying for technical progress, but also pressing companies to demonstrate a realistic route to customers, investment, and deployment.

• 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 2020 SBIR/STTR Phase II Release 1" 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 Oct 22, 2019.
• Applicants must submit their applications by Dec 10, 2019. (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 $1,500,000.00 in funding.
• The number of recipients for this funding is limited to 100 candidate(s).
• Eligible applicants include: Small businesses.

Apply for DE FOA 0002155

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