Funding Opportunity Announcement for FY 2011 SBIR/STTR Phase II Grant Applications | Apply Online

Opportunity Summary:

The Department of Energy (DOE) issued this Funding Opportunity Announcement (FOA) to support FY 2011 SBIR/STTR Phase II grant applications, specifically targeting small businesses that already received a DOE SBIR or STTR Phase I award in FY 2010. In practical terms, this is the next-step funding opportunity for companies that successfully completed (or are completing) their Phase I feasibility work and are ready to move into a larger research and development effort. The FOA is identified as DE-FOA-0000508 and falls under the Office of Science Financial Assistance Program (CFDA 81.049), within the broader category of science, technology, and other research and development activities.

Eligibility is limited to small businesses, and the main invitation is directed to DOE SBIR/STTR Phase I awardees from FY 2010. The DOE also notes a separate, more limited path where it may reconsider certain previously submitted Phase II applications from FY 2010 that were peer reviewed and scored highly. However, that reconsideration is not something an applicant can request through a new submission; it happens only if a DOE Project Officer specifically chooses to revisit an earlier application. Those earlier applicants do not get to reapply under this FOA, but if DOE selects one of those older applications for possible funding, the applicant would be contacted and given a chance to confirm whether they are still interested and capable of carrying out the proposed Phase II project.

The purpose of Phase II funding is to perform the substantive research and development needed to meet DOE mission objectives as laid out in the relevant technical topic area from the Phase I solicitation. Phase II is positioned as the stage where a company moves beyond proving feasibility and into building out the underlying technology, validating performance, solving engineering problems, and generating results that could support a real-world deployment. A key expectation is that, by the end of Phase II, the company should be positioned to pursue commercialization of the technology. The FOA highlights that Phase II often produces tangible outcomes such as a prototype product or a working process that can be demonstrated to potential investors or customers, whether in the private market or within government, including DOE itself.

Administratively, this Phase II announcement is described as supplemental to the FY 2010 SBIR/STTR Phase I Funding Announcement (DE-FOA-0000161). That means much of the general guidance and baseline requirements from the Phase I announcement still apply here. At the same time, the FOA is clear that if there is any inconsistency between the earlier Phase I announcement and this Phase II announcement, the Phase II document controls for this competition. Applicants are directed to retrieve the full FOA text and the instructions for completing the grant application package through FedConnect, which serves as the official source for the complete requirements, forms, and submission procedures.

In terms of funding scale, DOE anticipated making around 120 awards under this FOA, with an estimated total funding amount of $116,000,000. Individual awards were expected to range up to an award ceiling of $1,000,000, with no stated cost sharing or matching requirement. The FOA was posted on February 16, 2011, and the application deadline (original and current) was April 4, 2011, with an archive date of July 4, 2011. The sponsoring/processing office is listed as the Chicago Service Center.

For applicants needing help accessing the announcement or navigating the submission materials, the FOA provides points of contact within DOE, including Marilyn M. Oyler (Grant Analyst, 301-903-3604, marilyn.oyler@science.doe.gov) and Carl C. Hebron (SBIR/STTR Program Analyst, 301-903-1414, carl.hebron@science.doe.gov).

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