Opportunity Information: Apply for DE FOA 0002859
The FY 2023 Phase II Release 1 Funding Opportunity Announcement (DE-FOA-0002859) is a Department of Energy (DOE) Office of Science SBIR/STTR competition designed specifically for small businesses that already hold eligible DOE SBIR/STTR Phase I or Phase II awards. The overall goal is to help prior awardees move their innovations beyond feasibility and into deeper research and development (R&D), prototype refinement, and ultimately commercialization. DOE is using this FOA to offer several related funding paths: an Initial Phase II award (the standard follow-on to Phase I), two kinds of Second Phase II awards (Phase IIA and Phase IIB), and a Third Phase II award option for SBIR projects only (Phase IIC). The FOA also mentions diversity supplements as part of the available opportunities. Applicants are expected to align their proposed work with the official topic and subtopic descriptions published on the DOE SBIR/STTR Funding Opportunities website.
For companies moving from Phase I to Phase II, the Initial Phase II award is meant to fund the substantial R&D needed to meet DOE technical objectives laid out in the original Phase I topic and subtopic. In practical terms, DOE expects this phase to push the work toward something tangible and demonstrable, such as a prototype, a product candidate, or a validated process that can be shown to potential investors or customers. The program is structured so that, by the end of Phase II, the business should be positioned to pursue real commercial applications, whether in the private market or through government customers (including DOE). Importantly, this Phase II FOA is described as supplemental to the FY 2022 SBIR/STTR Phase I Release 1 FOA (DE-FOA-0002554), meaning many of the baseline rules and general instructions from the Phase I FOA still apply. However, if anything in the Phase I FOA conflicts with the Phase II FOA, the Phase II FOA controls.
Beyond the standard Initial Phase II pathway, DOE is also offering Second Phase II awards that provide additional funding to companies that already have Phase II awards and need to either finish key development work or broaden the effort toward market readiness. The Phase IIA option is intended for additional R&D tasks that remain aligned with the original Phase II scope of work, essentially giving a company more runway to complete the work associated with early prototype, product, or process development. The review criteria for Phase IIA are stated to be the same as those used for Initial Phase II applications, which implies a strong focus on technical merit and successful execution within the established project direction. Eligibility for Phase IIA is limited: only recipients funded under the FY 2021 SBIR/STTR Phase II Release 1 FOA (DE-FOA-0002380) for certain eligible topics (as detailed in the FOA) may apply. A key rule is that the Phase II award must still be active at the time of application, and if a Phase IIA application is declined, the applicant cannot resubmit it later, so timing and readiness matter.
The Phase IIB Second Phase II option is positioned differently. It supports new R&D tasks that extend beyond the scope of the original Phase II award, with a clear emphasis on transitioning the innovation toward commercialization. Compared to Initial Phase II and Phase IIA, Phase IIB is reviewed using different criteria that place greater weight on impact and on the credibility of the commercialization plan. Applicants are expected to show a well-planned path to commercialization, supported by concrete commercialization activities that run alongside the Phase IIB R&D or follow it. Eligibility for Phase IIB is also restricted to certain prior award cohorts: only awardees from the FY 2020 and FY 2021 SBIR/STTR Phase II Release 1 FOAs (DE-FOA-0002156 and DE-FOA-0002380), under eligible topics listed in the FOA, may apply. The FOA also limits how companies can use this mechanism: for each eligible Phase II award, a company may submit only one Second Phase II application total, choosing either Phase IIA or Phase IIB. If awarded, a Second Phase II can extend the Phase II work for up to two additional years, and the combined duration of the Phase II plus the Second Phase II generally cannot exceed four years, unless there is an unforeseen delay.
For SBIR projects only, DOE also provides a Third Phase II option, called Phase IIC. This award is designed to continue R&D from a Second Phase II (Phase IIA or Phase IIB) and further drive the technology toward commercialization, but with an added requirement: it must be matched by funds from a third-party investor. Those matching funds can be applied either to R&D costs that are not included in the DOE budget request or to other commercialization-related costs tied to bringing the innovation to market. Eligibility is again tightly constrained: only companies with an active Phase IIA or Phase IIB award at the time of application may submit a Phase IIC application. As with Phase IIA, if the Phase IIC application is declined, there is no option to resubmit later, which makes it especially important to have investor commitments and commercialization logic clearly established before applying.
From an administrative and funding standpoint, this is a discretionary grant opportunity in the science and technology / R&D category (CFDA 81.049) run by the Department of Energy, Office of Science. The FOA was created on October 21, 2022, with an original closing date of December 6, 2022. DOE lists an award ceiling of $1,600,000 and anticipates making about 100 awards, indicating a competitive but relatively substantial program scale. Overall, the opportunity is structured to help DOE SBIR/STTR awardees progress step-by-step: from Phase I feasibility, to Phase II development and demonstration, to extended R&D and commercialization planning through Second Phase II options, and finally to investor-backed commercialization-oriented continuation funding through a Third Phase II (SBIR Phase IIC) for projects that are already showing real market traction and readiness.Apply for DE FOA 0002859
- 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 2023 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 21, 2022.
- Applicants must submit their applications by Dec 06, 2022. (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 $1,600,000.00 in funding.
- The number of recipients for this funding is limited to 100 candidate(s).
- Eligible applicants include: Small businesses.
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Frequently Asked Questions (FAQs)
What is this funding opportunity?
The FY 2023 Phase II Release 1 Funding Opportunity Announcement (FOA) DE-FOA-0002859 is a U.S. Department of Energy (DOE) Office of Science SBIR/STTR competition. It is designed for small businesses that already hold eligible DOE SBIR/STTR Phase I or Phase II awards and want to move their innovations beyond feasibility into deeper R&D, prototype refinement, and commercialization.
Who is this FOA intended for?
This FOA is for small businesses that already have eligible DOE SBIR/STTR awards (Phase I and/or Phase II, depending on the specific path they apply under). It is not described as an entry point for companies without prior eligible DOE SBIR/STTR awards.
What funding paths are available under this FOA?
DOE describes several related options in this FOA:
- Initial Phase II award (standard follow-on to Phase I)
- Second Phase II awards:
- Phase IIA
- Phase IIB
- Third Phase II award option for SBIR projects only (Phase IIC)
- Diversity supplements (mentioned as part of available opportunities)
What is the goal of the Initial Phase II award?
The Initial Phase II award is meant to fund substantial R&D needed to meet DOE technical objectives from the original Phase I topic/subtopic. DOE expects Phase II to push the project toward something tangible and demonstrable, such as a prototype, product candidate, or validated process that can be shown to potential investors or customers.
What should a company be able to do by the end of Phase II?
DOE indicates that, by the end of Phase II, the small business should be positioned to pursue real commercial applications in the private market or with government customers (including DOE).
How do topics and subtopics affect what I can propose?
Applicants are expected to align the proposed work with the official topic and subtopic descriptions published on the DOE SBIR/STTR Funding Opportunities website. The Phase II work is described as needing to meet DOE technical objectives tied to the original Phase I topic and subtopic.
How does this Phase II FOA relate to the prior Phase I FOA?
This Phase II FOA (DE-FOA-0002859) is described as supplemental to the FY 2022 SBIR/STTR Phase I Release 1 FOA (DE-FOA-0002554). Many baseline rules and general instructions from the Phase I FOA still apply. If there is any conflict between the Phase I FOA and this Phase II FOA, the Phase II FOA controls.
What is a Second Phase II award?
Second Phase II awards provide additional funding to companies that already have Phase II awards and need to finish key development work or broaden the effort toward market readiness. DOE offers two Second Phase II types: Phase IIA and Phase IIB.
What is the difference between Phase IIA and Phase IIB?
Phase IIA focuses on additional R&D tasks that remain aligned with the original Phase II scope of work (more runway to complete the existing direction). Phase IIB supports new R&D tasks that extend beyond the original Phase II scope, with an emphasis on transitioning the innovation toward commercialization and demonstrating a credible commercialization plan.
How is Phase IIA reviewed?
The FOA states that the review criteria for Phase IIA are the same as those used for Initial Phase II applications, indicating an emphasis on technical merit and execution within the established project direction.
How is Phase IIB reviewed?
Phase IIB is reviewed using different criteria than Initial Phase II and Phase IIA. The FOA describes Phase IIB as placing greater weight on impact and the credibility of the commercialization plan, including concrete commercialization activities that run alongside or follow the Phase IIB R&D.
Who is eligible to apply for Phase IIA?
Eligibility for Phase IIA is limited to recipients funded under the FY 2021 SBIR/STTR Phase II Release 1 FOA (DE-FOA-0002380) for certain eligible topics (as detailed in the FOA). The Phase II award must still be active at the time of application.
Who is eligible to apply for Phase IIB?
Eligibility for Phase IIB is limited to awardees from the FY 2020 and FY 2021 SBIR/STTR Phase II Release 1 FOAs (DE-FOA-0002156 and DE-FOA-0002380), under eligible topics listed in the FOA.
Can a company submit both Phase IIA and Phase IIB for the same Phase II award?
No. The FOA limits submissions so that, for each eligible Phase II award, a company may submit only one Second Phase II application total, choosing either Phase IIA or Phase IIB.
Does the Phase II award need to be active to apply for a Second Phase II?
For Phase IIA, the FOA specifies that the Phase II award must still be active at the time of application. (The FOA text provided does not state an additional "active award" requirement for Phase IIB in the same explicit terms, but Phase IIB eligibility is restricted to specific prior award cohorts and eligible topics.)
If my Phase IIA application is declined, can I resubmit later?
No. The FOA states that if a Phase IIA application is declined, the applicant cannot resubmit it later.
How long can a Second Phase II award extend a project?
If awarded, a Second Phase II can extend the Phase II work for up to two additional years.
Is there a maximum combined duration for Phase II plus a Second Phase II?
Yes. The FOA indicates that the combined duration of the Phase II plus the Second Phase II generally cannot exceed four years, unless there is an unforeseen delay.
What is the Third Phase II option (Phase IIC)?
Phase IIC is a Third Phase II option available for SBIR projects only. It is designed to continue R&D from a Second Phase II (Phase IIA or Phase IIB) and further drive the technology toward commercialization.
Is Phase IIC available to STTR projects?
No. The FOA describes Phase IIC as a Third Phase II option for SBIR projects only.
What matching requirement applies to Phase IIC?
Phase IIC must be matched by funds from a third-party investor. The matching funds can be applied either to R&D costs not included in the DOE budget request or to other commercialization-related costs tied to bringing the innovation to market.
Who is eligible to apply for Phase IIC?
Eligibility is tightly constrained. Only companies with an active Phase IIA or Phase IIB award at the time of application may submit a Phase IIC application.
If my Phase IIC application is declined, can I resubmit later?
No. The FOA states that if a Phase IIC application is declined, there is no option to resubmit later.
What agency and office run this opportunity?
This is run by the U.S. Department of Energy (DOE), Office of Science, under the SBIR/STTR program.
What is the program category and CFDA number?
The FOA is described as a discretionary grant opportunity in the science and technology / R&D category, with CFDA 81.049.
What are the key dates listed for this FOA?
The FOA was created on October 21, 2022, and the original closing date listed is December 6, 2022.
What is the maximum award amount (ceiling) stated in the FOA?
DOE lists an award ceiling of $1,600,000.
How many awards does DOE anticipate making?
DOE anticipates making about 100 awards.
What is the overall progression DOE is trying to support with these options?
The FOA is structured to help prior DOE SBIR/STTR awardees progress step-by-step: Phase I feasibility to Phase II development and demonstration, then extended R&D and commercialization planning through Second Phase II (IIA/IIB), and finally an investor-backed commercialization-oriented continuation through SBIR Phase IIC for projects showing traction and readiness.
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