Opportunity Information: Apply for DE FOA 0000344

  • The Chicago Service Center in the science and technology and other research and development sector is offering a public funding opportunity titled "Submission of Supplemental Applications for Phase II SBIR/STTR Grants" and is now available to receive applicants.
  • Interested and eligible applicants and submit their applications by referencing the CFDA number(s): 81.049 Office of Science Financial Assistance Program.
  • This funding opportunity was created on Apr 19, 2010 and posted on Apr 19, 2010.
  • Applicants must submit their applications by May 18, 2010. (Agency may still review applications by suitable applicants for the remaining/unused allocated funding in 2026.)
  • The funding agency has allocated a total of $1,000,000.00 to eligible and selected applicants.
  • The number of recipients for this funding is limited to 4 candidate(s).
  • Eligible applicants include: Small businesses.
  • Only currently active DOE SBIR or STTR Phase II grantees that have written approval from their DOE Project Officer are eligible to apply for supplemental funding. Satisfactory completion of at least one (1) year of the current Phase II project is required in order to submit a supplemental request for funding. There must be at least 90 days remaining in the period of performance for the Phase II project at the time of the award. There is no resubmission at a later date if a supplemental application is declined.
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Opportunity Summary:

The Department of Energy (DOE), through its Office of Science financial assistance program (CFDA 81.049) and administered by the Chicago Service Center, offered a limited supplemental funding opportunity for a very specific group of small businesses already holding active DOE SBIR or STTR Phase II grants. The goal was to provide additional funds to extend or strengthen ongoing Phase II research projects, but only for companies that originally received their Phase II awards under the 2007 Phase II Funding Opportunity Announcement (DE FG02 07ER0717) or the 2008 Phase II Funding Opportunity Announcement (DE PS02 08ER08 17). This was not a general SBIR/STTR solicitation and it did not fund brand-new standalone projects; it was strictly meant to supplement an existing, active Phase II effort that was already underway and performing well.

Eligibility was narrow and based on both project status and DOE involvement. Only currently active DOE SBIR/STTR Phase II grantees could apply, and they had to have satisfactorily completed at least one full year of their existing Phase II project before submitting a supplemental request. A key requirement was that the applicant must be formally invited by their DOE Project Officer to submit the supplemental application. In other words, a company could not simply decide to apply on its own; it needed written approval from the DOE Project Officer, and that proof of approval had to be included in the Project Narrative of the supplemental application. The announcement also required that, at the time DOE would make a supplemental award, the underlying Phase II project still had to have at least 90 days remaining in its period of performance, ensuring the supplemental funds could be used while the original grant was still active.

The funding instrument was a grant under a discretionary opportunity in the Science and Technology / Research and Development category. DOE anticipated making about four awards, with an estimated total funding amount of $1,000,000 across all awards. There was no cost sharing or matching requirement, which means applicants were not required to contribute a specified portion of non-federal funds as a condition of receiving the supplemental award.

Timing was also important because this was a one-time window rather than an ongoing program. The opportunity (Funding Opportunity Number DE FOA 0000344) was posted and created on April 19, 2010, with an application deadline of May 18, 2010, and it was later archived on September 30, 2010. The notice explicitly stated that if a supplemental application was declined, there would be no option to resubmit at a later date, raising the stakes for submitting a well-justified request that clearly aligned with the existing Phase II scope and demonstrated the need for additional resources.

For applicants needing help obtaining the full announcement, DOE provided a point of contact: Carl C. Hebron (301-903-1414, carl.hebron@science.doe.gov). An additional information link was listed through FedConnect, which at the time served as a portal for accessing federal funding opportunity details and related documents.

Frequently Asked Questions (FAQs)

What is this funding opportunity?

This was a limited supplemental funding opportunity from the Department of Energy (DOE) Office of Science financial assistance program (CFDA 81.049), administered by the Chicago Service Center. It was designed to add funding to certain existing DOE SBIR/STTR Phase II grants, not to start new projects.

Is this a general SBIR/STTR solicitation?

No. This was not an open SBIR/STTR solicitation. It was a narrow, one-time supplemental opportunity meant only to strengthen or extend ongoing Phase II work for a specific subset of existing grantees.

What is the Funding Opportunity Number (FOA number)?

The Funding Opportunity Number was DE-FOA-0000344.

Who was eligible to apply?

Eligibility was limited to small businesses that already held an active DOE SBIR or STTR Phase II grant and that met the additional requirements described in the announcement (including the correct original Phase II FOA, project status, and invitation by the DOE Project Officer).

Which existing Phase II awards qualified under this supplemental opportunity?

Only companies whose Phase II awards were originally made under one of these two Phase II Funding Opportunity Announcements could be considered:

  • 2007 Phase II Funding Opportunity Announcement: DE-FG02-07ER0717
  • 2008 Phase II Funding Opportunity Announcement: DE-PS02-08ER08-17

Could a company apply without being asked?

No. A company could not self-initiate an application. The applicant had to be formally invited by its DOE Project Officer to submit a supplemental application.

What proof of invitation/approval was required?

The announcement required proof of written approval from the DOE Project Officer, and that proof had to be included in the Project Narrative of the supplemental application.

Did the existing Phase II project need to reach a certain point before applying?

Yes. Applicants had to have satisfactorily completed at least one full year of the existing Phase II project before submitting a supplemental request.

Did the underlying Phase II award need to still be active when the supplemental award was made?

Yes. At the time DOE would make a supplemental award, the underlying Phase II project needed to have at least 90 days remaining in its period of performance.

What was the purpose of the supplemental funding?

The purpose was to provide additional funds to extend or strengthen an ongoing, active Phase II research project that was already underway and performing well. The supplemental request was intended to align with the existing Phase II effort, rather than propose an unrelated new standalone project.

Did this opportunity fund brand-new or standalone projects?

No. The notice specifically indicated it did not fund brand-new standalone projects. It was strictly intended to supplement an existing, active Phase II effort.

What type of funding instrument was used?

The funding instrument was a grant, offered as a discretionary opportunity in the Science and Technology / Research and Development category.

How many awards did DOE expect to make, and how much total funding was anticipated?

DOE anticipated making about four awards with an estimated total funding amount of $1,000,000 across all awards.

Was cost sharing or matching required?

No. There was no cost sharing or matching requirement stated for this supplemental opportunity.

When was the opportunity posted and when were applications due?

The opportunity was posted/created on April 19, 2010. The application deadline was May 18, 2010.

Was this an ongoing program or a one-time window?

It was a one-time window rather than an ongoing program. The announcement was later archived on September 30, 2010.

If an application was declined, could the company resubmit later?

No. The notice stated that if a supplemental application was declined, there would be no option to resubmit at a later date.

Who administered the opportunity?

The opportunity was administered by the DOE Chicago Service Center under the DOE Office of Science financial assistance program (CFDA 81.049).

Where could applicants access additional announcement details?

An additional information link was provided through FedConnect, which served as a portal for accessing federal funding opportunity details and related documents.

Who was the DOE point of contact for obtaining the full announcement?

The listed point of contact was Carl C. Hebron. Phone: 301-903-1414. Email: carl.hebron@science.doe.gov.

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