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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: [email protected]
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
17
% 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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