Chris O’GwinDOE SBIR/STTR Programs Office

DOE SBIR/STTR Web: www.science.energy.gov/sbir

An Overview of the DOE’sSBIR and STTR Programs

Texas SBIR/STTR Summit & ConferenceAustin, TX

June 12, 2013

U. S. Department of Energy Mission

To ensure America's security and prosperity by addressing its energy, environmental, and nuclear challenges through transformative science and technology solutions.

Goal 1: Catalyze the timely, material, and efficient transformation of the nation's energy system and secure U.S. leadership in clean energy technologies.

Goal 2: Maintain a vibrant U.S. effort in science and engineering as a cornerstone of our economic prosperity, with clear leadership in strategic areas.

Goal 3: Enhance nuclear security through defense, nonproliferation, and environmental efforts.

DOE Research Offices Participating in SBIR/STTR

Defense Nuclear Nonproliferation

Environmental Management

Energy Efficiency &Renewable Energy

Electricity Delivery &Energy Reliability

Nuclear Energy

Fossil Energy

Advanced Scientific Computing Research

Basic Energy Sciences

Biological & Environmental Research

Fusion Energy Sciences

High Energy Physics

Nuclear Physics

Goal 1: Clean Energy Topics

Goal 2: Science & Engineering Topics

Goal 3: Nuclear Security Topics

DOE SBIR/STTR Programs Office

New in FY12: ARPA-E SBIR/STTR

Programs

DOE SBIR/STTR Program Features

Competitive Grants Driven Program Applications Accepted only via www.Grants.gov Two Phased Approach

$150/225K Phase I (9 months) – Feasibility $1/1.5M Phase II (24 months) – Development Fast-Track – Combined Phase I and Phase II – No Funding Gap Technology Transfer Opportunities (TTO)

Must Be Awarded DOE Phase I to Compete in Phase II Offer Phase I and Phase II Commercialization Assistance

Additional Program Features

STTR: Small business collaborates with a non-profit research institution

For both Phase I & II Small business: >40% Research Institution: >30%

SBIR: Small business is required to perform the majority of the R&D Phase I: >66% Phase II: >50%

DOE uses the same topics for SBIR & STTR Applicants can apply to either or both programs with a single application. If you apply

to both programs, you must meet the requirements for both. SBIR: PI must be Employed by the Small Business STTR: PI may be Employed by SBC or Research Partner

DOE’s SBIR/STTR Budget vs. Awards

SBIR STTR Totals

FY 2012 Budget $153 + $20 = $173

Phase I Awards 218 + 35 = 253

Phase II Awards 93 + 11 = 104

DOE R&D Set-Aside 2.6% + 0.35% = 2.95%

(Approx. $6.0 Billion in Extramural DOE R&D)

(in Millions $)

Successful Phase I/II Proposal?

Awards; 104; 50%

Recom-mended

for Fund-ing--Not Awarded;

29.12; 14%

Not Rec-om-

mended for Fund-

ing; 74.88; 36%

Phase IIApplications 208

Awards 104 50%

Phase I

Applications 1,726

Awards 253 15%

Awards; 253; 15%

Recom-mended for Funding--

Not Awarded;

259.95; 15%

Not Rec-ommended for Fund-

ing; 953.15; 55%

Declined without Re-view; 259.95;

15%

Application Stats for FY 2012

*FY 2014 Phase I Schedule

Release 1 – Science & Engineering (Goals 2&3)

Release 2 – Clean Energy (Goal 1)

Topics Issued July 15, 2013 October 28, 2013

- Topic Webinar Week of July 22, 2013 Week of November 4, 2013

Funding Opportunity Announcement (FOA) Issued

August 12, 2013 November 25, 2013

- FOA Webinar August 16, 2013 December 3, 2013

Letters of Intent Due September 3, 2013 December 16, 2013

Full Applications Due October 15, 2013 February 4, 2014

Award Notification Early January 2014 Late April 2014

Grant Start Date Mid-February 2014 Early June 9, 2014

*FY is Fiscal Year and each federal FY begins October 1

Questions?

Contact us:

• DOE SBIR/STTR Operations Phone: 301-903-5707

• Email: sbir-sttr@science.doe.gov

Visit our Website:

• DOE SBIR/STTR Website: www.science.energy.gov/sbir

Join our Mailing List:

• DOE SBIR/STTR Mailing List: http://1.usa.gov/12SkziW

Additional SBIR/STTR Information

FY 2012 SBIR/STTRSome Application and Award

Stats

DOE Funding ProgramNumber of

TopicsFY 12

Applications

FY 12Reviews

FY 12 SBIR

Awards

FY 12 STTR

AwardsBasic Energy Sciences 13 370 304 55 7

Energy Efficiency & Renewable Energy 2 312 274 27 4

Fossil Energy 7 214 201 15 4High Energy Physics 6 165 162 28 4

Nuclear Security (DNN) 6 129 127 7 2Biological & Environmental Res. 6 127 103 20 3

Nuclear Physics 5 98 92 19 3Fusion Energy 4 85 81 12 4

Advanced Computing 2 76 70 22 3Nuclear Energy 1 41 37 10 1

Electricity Delivery & Reliability 1 15 14 3 0Environmental Management* 0 0 0 0 0

TOTAL 53 1,632 1,465

218

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*3 Topics – Pulled Due to LOF 90% 15% 2%

Detailed Information on Topics

DOE Goal 2: Science & Engineering Topics – To Be Issued: July 15th

DOE Goals 1&3: Clean Energy and Nuclear Security – October 28th

Past and current topics can be found on our "Funding Opportunities" web page

Funding Opportunity Announcement (FOA)

FOA Anticipated Number of Awards and Funding

Available Eligibility Application Requirements Review Criteria Award Administration

FOA Webinar Provides overview and highlights important

changes

Letters of Intent (LOI)

LOI Required You must submit an LOI by the due date

to be eligible to submit an application Primary purpose

Begin reviewer assignment to reduce award cycle time

Due 3 weeks after FOA is issued Secondary purpose

Provide notification to applicants who appear to be non-responsive; you may submit a formal application even if you receive this notification

Limits Small businesses may submit up to 10

LOI’s (and 10 applications) per Phase I solicitation (Rel 1&2)

Content: Title Topic and subtopic Abstract (<500 words)

Provide sufficient technical detail to enable reviewer assignment

Non-proprietary List of collaborators Small business information

Name, address Business official and contact

information Principal investigator

Phase I or Fast-Track

Important Documents for Applicants

Topic DescriptionsAvailable on DOE SBIR website & FedConnect

Funding Opportunity Announcement (FOA)Available on FedConnect

Grant Application PackageAvailable from Grants.gov

Instructions for Completing a DOE SBIR/STTR Grant ApplicationAvailable on DOE SBIR website

Evaluation Criteria for Phase I and II Proposals

1.Strength of the Scientific/Technical Approach – 33%a) To what extent does the proposed work build upon or move beyond the current state-of-the-art?b) How new or unique is the idea?c) How significant is the scientific and/or technical challenge?d) Is a breakthrough possible?e) Has the applicant demonstrated knowledge of the subject?f) How thoroughly have the concepts been presented?

2.Ability to Carry out the Project in a Cost Effective Manner – 33%a) Please comment on the qualifications of the Principal Investigator (PI), other key staff, and

consultants, if any, and on the level of adequacy of equipment and facilities

3.Impact – 33%a) Please comment on the significance of the technical and/or economic benefits of the proposed work,

if successfulb) Please comment on the likelihood that the proposed work could lead to a marketable product or

process, and on the size of the potential market. c) Please comment on the likelihood that the project will attract further development funding (from

private sector sources, Federal, non-SBIR/STTR sources) after the SBIR/STTR project expires.

Phase I Awardees: First Time Winners & Applicants in FY12

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% of Phase I Awardees

2009 2010 2011 20120%

5%

10%

15%

20%

25%

30%

35%

First time DOE winnersFirst-time DOE ap-plicants

Goal 1: Clean Energy Topics

Clean Coal Technologies Advanced Turbine Technology Oil and Gas Technologies Advanced Materials and

Technologies for Nuclear Energy Smart Grid Technologies

Bio-Energy & Biofuels Hydrogen & Fuel Cells Solar Power Water Power Wind Energy Energy Storage

1. Office of Electricity Delivery and Energy Reliability2. Office of Energy Efficiency and Renewable Energy3. Office of Fossil Energy4. Office of Nuclear Energy

Goal 2: Science & Engineering Topics

High Performance Computing & Networking Technologies

Modeling and Simulation Atmospheric Measurement

Technology Genomic Science and Related

Biotechnologies Advanced Sources: Neutron, X-Ray

Beams, Electron Accelerator Technology Data Acquisition, Processing and

Analysis Fusion Energy Systems

Office of Science1. Advanced Scientific Computi

ng Research2. Basic Energy Sciences3. Biological and Environmental

Research4. Fusion Energy Sciences5. High Energy Physics6. Nuclear Physics

Goal 3: Nuclear Security Topics

Novel Radiation Monitoring Concepts

In Situ Remediation Facility Deactivation and

Decommissioning

Remote Sensing Global Nuclear

Safeguards R&D Nuclear Detonation

Detection

Office of Defense Nuclear Nonproliferation Office of Environmental Management

FY14 Phase II Schedule (Open to Phase I awardees only)

Release 1 Release 2

FOA Issued October 21, 2013 February 10, 2014

Applications Due December 10, 2013 April 4, 2014

Award Notification Late February 2014 Mid-June 2014

Grant Start Date Early April 2014 Late July 2014

Commercialization Assistance

DOE Commercialization Assistance will be provided by Dawnbreaker Phase I assistance

Commercialization readiness assessment Focused assistance with development of Phase II commercialization plans

Phase II assistance Flexible offerings to meet a variety of commercialization needs

http://science.energy.gov/sbir/commercialization-assistance/ Company selected commercialization assistance vendor

Reauthorization permits companies to select their own vendors to provide commercialization assistance

Company must include this vendor as a subcontractor or consultant in their Phase I or II application

Fast-Track Application

Primary Benefit: Awardees of Fast-Track applications will not have a gap in their funding between Phase I and Phase II.

Applicants must have a compelling Phase I/Phase II application. May not be suitable for risky Phase I research with many different paths for Phase II May not be suitable for those with limited commercialization experience.

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Phase I Phase II Current Process:

5 month Phase I – II funding gap5 months

9 months 2 years

Phase I 9 months

Fast-Track process Phase II 2 years

Information Available at DOE Program Office Websites

Mission Funding

Priorities and Announcements (non-SBIR)

Technical Reference Data and Reports

Conference Proceedings

Contact Information

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