FY 2020 SBIR/STTR Phase II Release 1

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1. Initial Phase II Grants The purpose of an Initial Phase II grant 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 grantee 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 2019 SBIR/STTR Phase I Release 1 FOA (DE-FOA-0001940); 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 Grants There are two types of DOE Second Phase II grant awards: Phase IIA: A Phase II grantee 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 grant. The purpose of the Phase IIA grant is to allow the grantee 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 grants submitted to this FOA. Only grant recipients of awards resulting from the FY 2018 SBIR/STTR Phase II FOA (DE-FOA-0001794) under the eligible topics detailed in Section III.A. of this FOA may apply for Phase IIA grant awards. In addition, Phase IIA applications will only be accepted from Phase II grantees that have an active Phase II grant at time of application. Applicants will not be able to resubmit at a later date, if a Phase IIA application is declined for award. Phase IIB: A Phase II grantee may request additional financial support for new R&D tasks and activities that extend beyond the scope of the original Phase II grant. The purpose of the Phase IIB grant is to assist the grantee in transitioning the innovation towards commercialization. The review criteria for Phase IIB grants (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 grantees from the FY 2017 and FY 2018 SBIR/STTR Phase II FOAs (DE-FOA-0001645, and DE-FOA-0001794) under the eligible topics detailed in Section III.A. may apply for Phase IIB awards. Only Fast Track grantees from the FY 2016 SBIR/STTR Phase I FOA (DE-FOA-0001366) under the eligible topics detailed in SECTION III.A. may apply for Phase IIB awards. A Phase II grantee may submit only one second Phase II application per eligible grant award as noted above to either Phase IIA or Phase IIB in response to this FOA. Phase IIA or Phase IIB grants may extend the Phase II grant 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 II grantees that have an active Phase II grant at time of application. Applicants will not be able to resubmit at a later date, if a Phase IIC application is declined for award.

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