FY 2022 SBIR/STTR Phase II Release 1 | DE FOA 0002571

Opportunity Information: Apply for DE FOA 0002571

The FY 2022 SBIR/STTR Phase II Release 1 Funding Opportunity Announcement (DE-FOA-0002571) from the U.S. Department of Energy (DOE), Office of Science, is a continuation funding pathway for small businesses that have already participated in DOE SBIR or STTR. Rather than being open to brand-new applicants, it is designed for eligible prior Phase I and Phase II awardees who are ready to move their technology from feasibility work into more substantial research, development, prototype building, and ultimately commercialization. The technical topics and subtopics that applicants must align with are posted on the DOE SBIR/STTR Funding Opportunities webpage, and applicants are expected to propose work that directly supports the DOE objectives laid out in the relevant topic area.

A central feature of this FOA is that it supports multiple versions of Phase II funding, organized into three tiers: an Initial Phase II, a Second Phase II (with two options, Phase IIA or Phase IIB), and a Third Phase II (Phase IIC, SBIR only). The Initial Phase II award is the standard next step after Phase I. Its purpose is to fund the research and development needed to meet DOE goals stated in the original Phase I topic/subtopic and to put the small business in a strong position to pursue real commercial applications afterward. In practical terms, DOE expects Phase II efforts to mature the innovation into something tangible, such as a prototype, product, or working process that can be demonstrated to potential customers or investors, including private-sector buyers or government users (DOE included). This Phase II FOA is described as supplemental to the FY 2021 SBIR/STTR Phase I Release 1 FOA (DE-FOA-0002359), meaning many baseline rules and general instructions from the Phase I announcement still apply, but if there is any inconsistency between the two documents, this Phase II FOA controls.

The Second Phase II options are meant for companies that have already received a Phase II award and need additional support to either finish development or push the technology further toward market. Phase IIA is essentially a continuation that stays aligned with the original Phase II scope. It funds new R&D tasks that fit within that original scope, with the goal of completing the work needed for initial prototype, product, or process development. Importantly, the review criteria for Phase IIA are the same as for an Initial Phase II under this FOA. Eligibility for Phase IIA is limited: only award recipients from the FY 2020 SBIR/STTR Phase II Release I FOA (DE-FOA-0002155), within the eligible topics listed in this FOA, may apply. There is also a timing constraint: the applicant must have an active Phase II award at the time they apply, and if the Phase IIA request is declined, the applicant cannot come back later to resubmit a Phase IIA application.

Phase IIB, the other Second Phase II option, is more explicitly commercialization-oriented and allows work that extends beyond the original Phase II scope. It supports additional R&D tasks that go further than what was initially proposed, with the specific intent of helping the innovation transition toward commercialization. Because of that emphasis, Phase IIB applications are reviewed differently than Initial Phase II or Phase IIA, with greater weight placed on impact and on the credibility of the commercialization plan. Applicants are expected to show a well-thought-out path to market, backed by concrete commercialization activities happening alongside or following the Phase IIB R&D effort. Eligibility for Phase IIB is also restricted, but it includes a broader pool than Phase IIA: only awardees from the FY 2019 and FY 2020 SBIR/STTR Phase II Release I FOAs (DE-FOA-0001975 and DE-FOA-0002155), again limited to the eligible topics in this FOA, may apply.

The FOA also sets limits on how these extensions can be used. For any given eligible Phase II award, a company may submit only one Second Phase II application under this solicitation, meaning they must choose either Phase IIA or Phase IIB (not both) for that award. If granted, a Phase IIA or Phase IIB award may extend the Phase II project for up to two additional years, and the combined duration of the original Phase II plus the Second Phase II generally cannot exceed four total years, unless there is an unforeseen delay that justifies additional time.

For SBIR participants only (not STTR), the FOA includes a Third Phase II option known as Phase IIC. This tier is intended for companies that have already secured a Second Phase II (Phase IIA or Phase IIB) and want to continue R&D work specifically aimed at commercialization. A defining requirement of Phase IIC is third-party matching support from an investor or other outside source. Those matching funds provide leverage for the project and can be used either to cover R&D costs that are not included in the DOE budget request or to pay for other commercialization-related expenses tied to bringing the innovation to market. As with Phase IIA timing rules, Phase IIC applications are only accepted if the applicant has an active Phase IIA or Phase IIB award at the time of application, and if the Phase IIC application is declined, the applicant cannot resubmit it later.

From an administrative standpoint, this is a discretionary grant funding opportunity under CFDA 81.049 (science and technology and other research and development). The DOE anticipated making around 90 awards, with an award ceiling listed at $1,100,000. The FOA was created on October 18, 2021, and had an original closing date of December 7, 2021. While the eligibility field is shown as "unrestricted," the text makes clear that practical eligibility is tightly constrained by prior DOE SBIR/STTR award status, the fiscal year and FOA under which that prior award was made, the topic eligibility list in this solicitation, and in some cases the requirement that the applicant have an active current award at the time of application.

• 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 2022 SBIR/STTR Phase II Release 1" 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 Oct 18, 2021.
• Applicants must submit their applications by Dec 07, 2021. (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 90 candidate(s).
• Eligible applicants include: Unrestricted (i.e., open to any type of entity above), subject to any clarification in text field entitled Additional Information on Eligibility.

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