SBIR/STTR FY 2013 Phase I Release 2 | Apply Online

Opportunity Summary:

The grant opportunity titled "SBIR/STTR FY 2013 Phase I Release 2" (Funding Opportunity Number DE-FOA-0000801) is a U.S. Department of Energy (DOE) Office of Science Funding Opportunity Announcement focused on supporting early-stage research and development by U.S. small businesses. It is part of the DOE Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs for Fiscal Year 2013, and it is geared toward science and technology-driven innovation that aligns with DOE mission needs. The FOA covers two pathways for applicants: a standard Phase I competition and a Fast Track option that combines Phase I and Phase II into a single, accelerated submission route intended to move promising technologies more quickly toward development and commercialization.

A key structural rule in this FOA is that Fast Track applicants cannot apply at the same time to the Phase I-only opportunity. In other words, an applicant has to choose one approach or the other under this announcement, rather than submitting parallel applications. The details on how the Phase I and Fast Track pathways work, along with required formats and submission steps, are not contained in the brief synopsis itself and must be obtained from the full FOA text available through FedConnect. The announcement emphasizes that the official instructions for completing the Grant Application Package are contained in that full FOA document, and applicants are expected to follow those requirements closely.

Eligibility is limited to U.S. small business concerns (SBCs), which must meet the SBIR/STTR small business criteria at the time of award for both Phase I and Phase II. The FOA also allows joint ventures to apply, as long as the joint venture entity itself qualifies as a small business at the time of award, consistent with definitions provided in the appendices or reference materials associated with the announcement. At the same time, the FOA explicitly excludes small business concerns that are majority owned by venture capital operating companies, hedge funds, or private equity firms, making ownership structure an important screening factor before investing time in an application. The synopsis points applicants to the Small Business Administration resources, including SBA Size District Offices, for help determining whether a company meets the applicable size and eligibility standards.

From an administrative standpoint, the opportunity is categorized as discretionary funding and uses a grant as the funding instrument type. The activity category is listed as "Science and Technology and other Research and Development," and it is associated with CFDA number 81.049, the Office of Science Financial Assistance Program. The FOA states there is no cost sharing or matching requirement, which generally means applicants are not required to contribute non-federal funds as a condition of receiving an award, although applicants would still need to follow any budget rules described in the full FOA.

The announcement was posted on November 26, 2012, with the application deadline set for February 5, 2013, and an archive date of May 5, 2013. While the synopsis lists the estimated total funding and award ceiling/floor fields as 0, that should not be read as a definitive statement that no awards would be made; it more commonly indicates that those figures were not populated in the summary record and that applicants need to consult the full FOA for actual award amounts, topic-specific budgets, and funding expectations. The authoritative source for all submission requirements, topic areas, evaluation criteria, and award parameters is the full FOA on FedConnect at the link provided in the notice.

For access or technical issues obtaining the full announcement, the listed point of contact is Carl C. Hebron at the DOE Office of Science, reachable by phone at 301-903-1414 or by email at carl.hebron@science.doe.gov.

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