FY 2020 SBIR/STTR Phase I Release 2 | DE FOA 0002146

Opportunity Information: Apply for DE FOA 0002146

The FY 2020 SBIR/STTR Phase I Release 2 opportunity (DOE FOA 0002146) is a Department of Energy Office of Science grant program designed to help small businesses turn promising, mission-relevant research and development into commercially viable technologies. The program is meant to bridge the gap between early technical innovation and real-world market adoption by funding high-quality R and D that addresses important scientific or engineering challenges aligned with DOE priorities. A central theme of the announcement is commercialization: DOE is not just looking for interesting ideas, but for innovations with a credible path to becoming products, processes, or services that can succeed beyond the grant period and deliver economic and societal benefits.

The solicitation covers two closely related programs, SBIR and STTR, which share the same broad goals but differ in how collaboration is structured. Under SBIR, the small business leads the work and may choose to partner with outside organizations, including universities or other research institutions, but collaboration is optional. Under STTR, a substantial and cooperative research collaboration with a single research institution is required, meaning the small business and the partnering institution must both play meaningful roles in the technical effort. In both cases, the intent is to support innovative, applied R and D rather than basic science or demonstration projects; proposals focused purely on fundamental research without a clear development and commercialization trajectory, or proposals centered on demonstrating already-developed systems, are not what DOE is aiming to fund under this announcement.

Phase I is positioned as an early-stage effort focused on feasibility and proof of concept, with an award ceiling of $200,000. DOE anticipated making about 205 awards under this release, reflecting a relatively broad investment across multiple topic areas within science and technology and other R and D. The overall structure emphasizes a pipeline: Phase I supports initial technical validation, Phase II typically advances development based on Phase I results, and Phase III is where technologies move toward commercialization and deployment using non-SBIR/STTR funds. Importantly, receiving Phase I funding does not guarantee Phase II or Phase III support; each phase is competitive and dependent on performance and the strength of the follow-on plan.

A major point in the description is that companies are encouraged to start planning for later-phase financing early, even shortly after Phase I begins. DOE specifically urges awardees to seek commitments from private-sector investors or from federal funding sources outside the SBIR/STTR program to support Phase II and Phase III progress. These commitments are expected to be in place before submitting a Phase II application, and Phase III commitments can be contingent on meeting defined technical milestones during Phase II. This approach signals that DOE values applicants who think beyond the lab and can demonstrate market pull, customer interest, or investor confidence alongside technical merit.

Phase III is described as the stage where non-SBIR/STTR funds drive commercialization outcomes. In DOE's framing, later-stage federal funds outside SBIR/STTR can support further R and D that meets mission needs identified through Phases I and II, while private capital is intended to fund the additional development necessary to meet commercial goals. The announcement also notes that other federal agencies can issue follow-on, non-SBIR/STTR funded contracts or grants for Phase III activities, either to procure products or processes that meet agency mission needs or to support additional R and D. A practical advantage highlighted is that because Phase I and Phase II awards are already competed under applicable federal competition rules, agencies funding Phase III work are generally not required to run a new competition to satisfy certain statutory competition requirements.

From an eligibility and administrative standpoint, the opportunity is categorized as discretionary funding in the form of grants, with eligible applicants limited to small businesses. The funding activity category is science and technology and other research and development, and the CFDA number listed is 81.049. The posting lists a creation date of December 16, 2019, with an original closing date of February 24, 2020, indicating the application window for this specific FY 2020 Phase I release.

In plain terms, this FOA is a commercialization-focused R and D grant opportunity for small businesses with innovative, DOE-relevant technologies that are early enough to need feasibility work but practical enough to show a believable route to a marketable outcome. It rewards strong technical ideas, but it also pushes applicants to treat commercialization planning, partnerships (especially under STTR), and follow-on funding strategy as core parts of the project from the start.

• 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 2020 SBIR/STTR Phase I 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 Dec 16, 2019.
• Applicants must submit their applications by Feb 24, 2020. (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 $200,000.00 in funding.
• The number of recipients for this funding is limited to 205 candidate(s).
• Eligible applicants include: Small businesses.

Apply for DE FOA 0002146

[Watch] Creating a grant proposal using the step-by-step wizard inside the applicant portal: