The DOE invites eligible Phase I and Phase II awardees to apply for Phase II awards (grants and cooperative agreements) (both initial and second and third) under this Funding Opportunity Announcement (FOA).
Topic descriptions for this FOA can be found on the DOE SBIR/STTR web site at https://science.osti.gov/sbir/Funding-Opportunities.
1. Initial Phase II Awards The purpose of an Initial Phase II award is to perform the research and development (R&D) required to meet the DOE objectives stated in the topic and subtopic of the Phase I FOA.
In addition, it is intended that the small business awardee would be in a position to pursue commercial applications of the R&D at the end of Phase II.
In many cases, Phase II results in a prototype, product, or a working process that can be demonstrated to a potential investor or customer (either in the private sector or in the Federal government, including the DOE).
This FOA is supplemental to the FY 2021 SBIR/STTR Phase I Release 1 FOA (DE-FOA-0002359); therefore, general information already provided in the Phase I FOA also applies to this Phase II process.
If a conflict arises between the Phase I FOA and this Phase II FOA, the Phase II FOA will govern.
2. Second Phase II Awards There are two types of DOE Second Phase II awards:
A Phase II awardee may request additional financial support for new R&D tasks and activities that are aligned with the original scope of work for the Phase II award.
The purpose of the Phase IIA award is to allow the awardee to complete the R&D associated with initial prototype, product, or process development.
The review criteria (see Section V.A.) for Phase IIA applications will be the same as for Initial Phase II awards submitted to this FOA.
Only award recipients resulting from the FY 2020 SBIR/STTR Phase II Release I FOA (DE-FOA-0002155) under the eligible topics detailed in Section III.A.
of this FOA may apply for Phase IIA awards.
In addition, Phase IIA applications will only be accepted from Phase II awardees that have an active Phase II award at time of application.
Applicants will not be able to resubmit at a later date, if a Phase IIA application is declined for award.
A Phase II awardee may request additional financial support for new R&D tasks and activities that extend beyond the scope of the original Phase II award.
The purpose of the Phase IIB award is to assist the awardee in transitioning the innovation towards commercialization.
The review criteria for Phase IIB awards (see Section V.A.) will be different from both Initial Phase II and Phase IIA applications submitted to this FOA.
The review of Phase IIB applications will place greater emphasis on impact and applicants are expected to demonstrate a well-planned path to commercialization as evidenced in commercialization activities conducted in parallel with or after Phase IIB R&D.
Only awardees from the FY 2019 and FY 2020 SBIR/STTR Phase II Release I FOAs (DE-FOA-0001975 and DE-FOA-0002155) under the eligible topics detailed in Section III.A.
may apply for Phase IIB awards.
A Phase II awardee may submit only one second Phase II application per eligible award as noted above to either Phase IIA or Phase IIB in response to this FOA.
Phase IIA or Phase IIB awards may extend the Phase II award for up to two years and the combined Phase II and second Phase II should not exceed four years, unless an unforeseen delay is encountered.
3. Third Phase II Awards (SBIR only) Third SBIR Phase II awards (Phase IIC) continue research and development from a second SBIR Phase II award towards commercialization and require matching funds from a third-party investor.
These matching funds can be used for either (1) research and development costs NOT requested in your budget or (2) other costs associated with commercialization of the proposed innovation.
In addition, Phase IIC applications will only be accepted from Phase IIA or IIB awardees that have an active Phase IIA or IIB award at time of application.
Applicants will not be able to resubmit at a later date, if a Phase IIC application is declined for award.