SBIR/STTR FY 2013 Phase II Release 1 | Apply Online

Opportunity Summary:

The SBIR/STTR FY 2013 Phase II Release 1 opportunity (Funding Opportunity Number DE-FOA-0000782) is a U.S. Department of Energy Office of Science discretionary grant solicitation that is only open to a very specific group of applicants: companies that already hold an active DOE SBIR or STTR Phase I award from FY 2012 Release I. In other words, this is not a general open competition for new applicants. It is the Phase II follow-on funding stage intended for prior Phase I awardees to continue and expand the research and development work that began under Phase I, specifically in alignment with the DOE objectives and technical topic laid out in the original Phase I Funding Opportunity Announcement.

The central aim of Phase II under this FOA is to fund the R&D needed to advance the Phase I concept toward a more complete, validated technology outcome. The DOE frames Phase II as the stage where the work should mature to the point that the small business is positioned to pursue commercialization at the end of the award. The announcement explicitly signals that Phase II often culminates in a tangible deliverable such as a prototype product, an integrated system, or a working process that can be demonstrated to potential investors or customers. Those customers can be in the private sector or within government, including DOE itself, which underscores that the agency is looking for technologies that are not only scientifically sound but also capable of transitioning into real-world use.

This Phase II announcement is described as supplemental to the FY 2012 SBIR/STTR Phase I Release I FOA (DE-FOA-0000577). That means the baseline rules, definitions, and general administrative guidance provided in the FY 2012 Phase I FOA continue to apply here as well. However, the DOE also makes clear that if there is any inconsistency between the earlier Phase I FOA and this Phase II FOA, the Phase II FOA controls. Applicants therefore need to treat the Phase II FOA as the governing document for any Phase II-specific requirements, while still relying on the Phase I FOA for broader program context and standard provisions.

Eligibility is tightly constrained. Only currently active DOE SBIR or STTR Phase I grantees may apply, and for SBIR specifically, only U.S. small business concerns are eligible to submit applications. The FOA also notes that joint ventures may apply if the resulting entity qualifies as a small business concern under the rules referenced in the FOA appendices and Part III requirements. The eligibility standard applies at the time of award for both Phase I and Phase II, meaning applicants must continue to meet small business criteria when the Phase II award is made, not just when Phase I began.

Administratively, this opportunity is categorized under Science and Technology and other Research and Development, and it is associated with CFDA number 81.049 (Office of Science Financial Assistance Program). The FOA states there is no cost sharing or matching requirement. Key dates provided include a posted and creation date of October 22, 2012, with an application deadline (original and current closing date) of December 11, 2012, and an archive date of March 11, 2013. While the listing shows estimated total funding and award ceiling/floor values as zero, that appears to reflect how the opportunity was recorded in the summarized dataset rather than serving as a meaningful statement about actual award sizes; applicants would be expected to consult the full FOA text for definitive funding parameters, budgets, and any topic-specific constraints.

The full announcement and the detailed instructions for completing the Grant Application Package are hosted on FedConnect, and the DOE directs applicants there for the authoritative FOA text and submission guidance. For access issues or questions tied to obtaining the announcement, the listed point of contact is Carl C. Hebron, Program Analyst, reachable at 301-903-5707 or via sbir_sttr@science.doe.gov.

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