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

Opportunity Summary:

The SBIR/STTR FY 2013 Phase II Release 2 opportunity (Funding Opportunity Number DE FOA 0000880) is a U.S. Department of Energy (DOE) Office of Science discretionary grant program intended specifically for companies that already won a DOE SBIR or STTR Phase I award under the FY 2012 Phase I Release 2 solicitation (DE FOA 0000628). This is not an open competition for new applicants. It is a continuation step that allows eligible Phase I awardees to apply for Phase II funding to carry their Phase I work forward into a more complete research and development effort aligned with the original technical topic objectives described in the Phase I Funding Opportunity Announcement.

The core purpose of Phase II is to fund the research and development needed to meet DOE objectives established in the Phase I topic area, with the expectation that the small business will move closer to a real-world outcome by the end of the project. In practical terms, DOE positions Phase II as the stage where a concept that was proven feasible in Phase I is advanced toward something that can be used, tested, and shown to others. Many Phase II projects are expected to produce a prototype product, an integrated system, or a working process that can be demonstrated to potential investors, commercial customers, or government users, including DOE itself. The emphasis is not only on completing the R&D plan, but also on preparing the business to pursue commercialization after Phase II ends.

Eligibility is limited and clearly defined. Only currently active DOE SBIR or STTR Phase I grantees from FY 2012 Release 2 are eligible to submit an application for this Phase II FOA. For SBIR submissions, only United States small business concerns (SBCs) may apply. Joint ventures may apply as well, as long as the resulting entity qualifies as a small business under the rules described in the FOA appendices/reference materials. The small business must meet the FOA criteria at the time of award for both Phase I and Phase II. While the listing includes “Unrestricted” in the general eligibility field, the text makes it clear that eligibility is effectively restricted to the specified set of DOE Phase I awardees and compliant U.S. small businesses.

Administratively, this opportunity is categorized under Science and Technology and other Research and Development, and it falls under CFDA 81.049 (Office of Science Financial Assistance Program). There is no cost sharing or matching requirement stated for applicants. The opportunity was posted and created on February 27, 2013, with an application deadline of April 17, 2013. The opportunity was later archived on July 17, 2013. DOE listed an estimated total funding amount of $1,000,000 for this release, though the notice shows $0 for both award ceiling and award floor, which typically indicates that specific per-award funding limits were handled in the full announcement or by topic guidance rather than summarized in the listing fields.

This Phase II FOA is explicitly described as supplemental to the FY 2012 SBIR/STTR Phase I Release 2 FOA (DE FOA 0000628). That means much of the general program guidance, definitions, and baseline requirements referenced in the Phase I solicitation still apply to Phase II submissions. At the same time, DOE states that if there is any conflict between the earlier Phase I FOA and this Phase II FOA, the Phase II FOA controls. In other words, applicants are expected to use the Phase I FOA for general background and program rules, but treat the Phase II FOA as the final authority for the Phase II application process.

For applicants needing help obtaining the full announcement or having trouble accessing it electronically, the contact listed is Carl C. Hebron, Program Analyst, at 301-903-1414 and carl.hebron@science.doe.gov. The announcement also references FedConnect as an additional information link, which is consistent with DOE’s typical posting and distribution of full funding opportunity documents and amendments.

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