FY 2022 SBIR/STTR Phase II Release 2 | DE FOA 0002572

Opportunity Information: Apply for DE FOA 0002572

The FY 2022 SBIR/STTR Phase II Release 2 opportunity (DE-FOA-0002572) is a Department of Energy (DOE) Office of Science funding announcement that supports small businesses already in the DOE SBIR/STTR pipeline as they move from early feasibility work into deeper research, prototype development, and eventual commercialization. It is a discretionary R&D funding opportunity offered as either a grant or a cooperative agreement, and it points applicants to the DOE SBIR/STTR website for the specific technical topics and subtopics that define what DOE wants solved. In practical terms, this FOA is not an open call for brand-new applicants; it is designed for companies that have already won eligible Phase I or Phase II awards under specified prior DOE solicitations and now want to compete for Phase II-level support.

At a high level, DOE is offering three related funding paths under one umbrella: an Initial Phase II award, a Second Phase II award (with two variants, Phase IIA and Phase IIB), and a Third Phase II award for SBIR only (Phase IIC). Across these paths, the consistent theme is to fund R&D that directly aligns with DOE topic objectives while steadily pushing the technology toward a product, prototype, or demonstrated process that can attract customers, investors, or follow-on non-SBIR/STTR funding. The FOA anticipates a substantial program scale, listing an expected 110 awards, and it sets a maximum award ceiling of $1,600,000. The announcement was created February 28, 2022, with an original closing date of April 19, 2022, and it falls under CFDA number 81.049 for Office of Science R&D support.

The Initial Phase II component is meant to pick up where Phase I left off. Its purpose is to fund the R&D needed to meet the DOE objectives stated in the Phase I topic and subtopic, with the expectation that the work will position the company to pursue commercial applications by the end of Phase II. DOE is explicit about the intended outcome: in many cases Phase II should produce something tangible, such as a prototype, a product candidate, or a working process that can be demonstrated to a potential investor or customer, whether that customer is private industry or a government entity (including DOE itself). This Phase II FOA is also described as supplemental to the FY 2021 SBIR/STTR Phase I Release 2 FOA (DE-FOA-0002360), meaning the general rules and background from that Phase I solicitation still matter; however, if there is any conflict between the Phase I FOA language and the Phase II FOA language, the Phase II FOA controls.

The Second Phase II option is essentially an extension mechanism for prior Phase II performers that need additional time and funding, but it is split into two different types based on whether the proposed work stays within the original Phase II scope or intentionally goes beyond it. Phase IIA is the “within scope” continuation: it provides additional financial support for new R&D tasks and activities that are aligned with the original Phase II scope of work, with the aim of finishing the R&D tied to early prototype, product, or process development. The evaluation standards for Phase IIA are the same as those used for an Initial Phase II application under this FOA. Eligibility for Phase IIA is narrow: only recipients from the FY 2021 SBIR/STTR Phase II Release 2 FOA (DE-FOA-0002156), under topics DOE identifies as eligible in the FOA, may apply. There is also an important timing constraint: the company must have an active Phase II award when applying. If a Phase IIA request is declined, the company cannot come back later and resubmit a Phase IIA application under this FOA.

Phase IIB is the “beyond scope” continuation and is more explicitly commercialization-driven. It provides additional financial support for new R&D tasks and activities that extend beyond the original Phase II scope, with the stated purpose of helping transition the innovation toward commercialization. Because of that commercialization focus, Phase IIB applications are reviewed differently than Initial Phase II or Phase IIA submissions, with stronger emphasis placed on impact. Applicants are expected to show a realistic, well-structured path to commercialization, backed up by concrete commercialization activities happening in parallel with the Phase IIB R&D or occurring after it. Eligibility for Phase IIB is also limited to certain prior award cohorts: only awardees from the FY 2019 and FY 2020 SBIR/STTR Phase II Release I FOAs (DE-FOA-0001976 and DE-FOA-0002156), again under the FOA’s specified eligible topics, may apply. The FOA also restricts how companies can use the Second Phase II mechanism: for each eligible Phase II award, a company may submit only one second-phase application total, choosing either Phase IIA or Phase IIB, but not both.

For scheduling and period-of-performance expectations, the FOA indicates that a Phase IIA or Phase IIB award may extend the Phase II effort for up to two additional years. It also sets an overall cap: the combined duration of the original Phase II plus the second Phase II should not exceed four years, unless there is an unforeseen delay. This framing signals DOE’s intent to provide meaningful runway for technical maturation while still keeping projects on a disciplined timeline toward deployment or market entry.

The Third Phase II award, called Phase IIC, is available only under SBIR (not STTR) and is positioned as a further bridge from extended R&D into commercialization. Phase IIC continues R&D from a second SBIR Phase II award and requires matching funds from a third-party investor. Those matching funds are flexible in how they can be applied: they can either cover R&D costs that are not being requested in the DOE budget, or they can pay for other commercialization-related costs tied to the innovation. Like Phase IIA, Phase IIC also has a strict “active award” requirement and a no-resubmission rule: only Phase IIA or Phase IIB awardees with an active Phase IIA or IIB at the time of application may apply, and if DOE declines the Phase IIC application, the applicant cannot resubmit later under this FOA.

In summary, DE-FOA-0002572 is a structured, staged continuation opportunity for DOE SBIR/STTR companies, designed to fund the R&D needed to hit DOE technical targets while steadily increasing emphasis on prototype demonstration, market readiness, and commercialization credibility as applicants move from Initial Phase II to Phase IIA/IIB and, for SBIR participants, potentially to Phase IIC with outside investor matching. The most important practical takeaways are that eligibility depends heavily on which prior DOE FOA funded your current award, whether your award is active at the time you apply, whether your proposed work is within or beyond your existing Phase II scope, and whether you can demonstrate (or, for Phase IIC, help finance) a credible path to commercialization.

• 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 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 Feb 28, 2022.
• Applicants must submit their applications by Apr 19, 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 110 candidate(s).
• Eligible applicants include: Others (see text field entitled Additional Information on Eligibility for clarification).

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