FY 2019 SBIR/STTR Phase II Release 2 | DE FOA 0001976

Opportunity Information: Apply for DE FOA 0001976

The FY 2019 SBIR/STTR Phase II Release 2 opportunity (DOE Office of Science; FOA number DE-FOA-0001976, CFDA 81.049) is a discretionary grant competition designed specifically for small businesses that already hold eligible DOE SBIR or STTR awards and are ready to take the next development step. Rather than being an open call for brand-new ideas, it functions as a continuation pathway for prior DOE-funded projects. Applicants are expected to propose research and development (R and D) that directly builds on prior Phase I or Phase II results and aligns with DOE topic and subtopic objectives published on the DOE SBIR/STTR topics page (science.energy.gov/sbir/funding-opportunities). The overall aim is to push promising technical innovations beyond early feasibility and closer to real-world use, including prototypes, working processes, or demonstrable products that can attract customers, partners, or investors, including potential federal users.

A central feature of the FOA is the "Initial Phase II" award, which supports the main Phase II step for projects coming out of Phase I. The government intent here is straightforward: fund the R and D needed to meet the technical goals laid out under the relevant topic and subtopic from the Phase I solicitation, and position the company for commercialization at the end of Phase II. In practical terms, DOE expects many Phase II projects to culminate in something tangible that can be shown to decision-makers, such as a lab-validated prototype, a pilot-scale demonstration, a validated algorithm or toolchain, or a process that is ready for integration testing. This Phase II FOA is explicitly described as supplemental to the FY 2018 SBIR/STTR Phase I Release 2 FOA (DE-FOA-0001771), meaning the baseline rules and general guidance from that Phase I solicitation still matter, but if there is any inconsistency between the two documents, the Phase II FOA controls.

The FOA also offers "Second Phase II" funding, which is meant for companies that have already been through an initial Phase II award and can justify additional work to either finish development or broaden the project toward market needs. DOE splits Second Phase II into two distinct tracks. Phase IIA is essentially an extension that stays aligned with the original Phase II scope: it funds additional R and D tasks that are consistent with the existing technical direction, with the goal of completing the work associated with initial prototype, product, or process development. Importantly, Phase IIA applications are reviewed using the same criteria applied to Initial Phase II applications. Eligibility for Phase IIA is narrowly defined: only certain FY 2017 SBIR/STTR Phase II awardees (DE-FOA-0001646) and certain FY 2016 Fast Track Phase I awardees (DE-FOA-0001417), under the eligible topics referenced in the FOA, may apply. Phase IIA also has a timing constraint: the applicant must have an active Phase II grant at the time of application, and if DOE declines the Phase IIA request, the company cannot resubmit it later.

Phase IIB, the other Second Phase II track, is designed for projects that need to go beyond the original Phase II scope to better support commercialization. It funds new R and D tasks that extend past what was originally proposed and is explicitly framed as a bridge to the market. Because of that intent, DOE evaluates Phase IIB differently than Initial Phase II or Phase IIA, placing heavier emphasis on overall impact and on a credible, well-structured commercialization plan. Applicants are expected to show that commercialization is not an afterthought, but something being pursued in parallel with, or immediately following, the Phase IIB technical work. Eligibility for Phase IIB is also restricted to certain prior award cohorts: grantees from the FY 2016 and FY 2017 Phase II FOAs (DE-FOA-0001490 and DE-FOA-0001646), and specific Fast Track Phase I awardees from FY 2015 and FY 2016 (DE-FOA-0001227 and DE-FOA-0001417), again only under the topics deemed eligible in the FOA. A key constraint across Second Phase II is that a company may submit only one Second Phase II application per eligible grant award, choosing either Phase IIA or Phase IIB.

In terms of project duration, Second Phase II awards (Phase IIA or Phase IIB) may extend a Phase II effort by up to two additional years. DOE also sets a general programmatic cap: the combined length of the Phase II plus the Second Phase II should not exceed four years in total, unless there is an unforeseen delay. This reflects the program goal of moving innovations steadily toward deployment rather than keeping them in indefinite development cycles.

Finally, the FOA includes a "Third Phase II" option, but only for SBIR (not STTR). Third SBIR Phase II awards are intended to keep advancing R and D from a Second SBIR Phase II toward commercialization, and they come with an important financing requirement: the small business must obtain matching funds from a qualified third-party investor. Those matching funds can be applied either to R and D costs that are not covered in the DOE budget request, or to other commercialization-related costs tied to getting the innovation into the market. This structure is meant to validate market interest and share risk, signaling that the technology has traction outside the government program.

Administratively, the opportunity was published by the Department of Energy, Office of Science, with a creation date of March 4, 2019, and an original closing date of April 23, 2019. The maximum award amount listed is $1,100,000, and DOE anticipated making around 100 awards. Overall, the FOA is best understood as a set of well-defined continuation routes for prior DOE SBIR/STTR performers: Initial Phase II to execute the core development plan after Phase I, Second Phase II (IIA or IIB) to either complete aligned development or expand toward commercialization, and Third Phase II (SBIR only) to continue post-Second-Phase II progress with outside matching investment.

• The Department of Energy - Office of Science, Office of Science in the science and technology and other research and development sector is offering a public funding opportunity titled "FY 2019 SBIR/STTR Phase II Release 2" and is now available to receive applicants.
• Interested and eligible applicants and submit their applications by referencing the CFDA number(s): 81.049.
• This funding opportunity was created on Mar 04, 2019.
• Applicants must submit their applications by Apr 23, 2019. (Agency may still review applications by suitable applicants for the remaining/unused allocated funding in 2026.)
• Each selected applicant is eligible to receive up to $1,100,000.00 in funding.
• The number of recipients for this funding is limited to 100 candidate(s).
• Eligible applicants include: Small businesses.

Apply for DE FOA 0001976

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