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An Overview of the DOE’s SBIR and STTR Programs

An Overview of the DOE’s SBIR and STTR Programs. Chris O’Gwin DOE SBIR/STTR Programs Office DOE SBIR/STTR Web: www.science.energy.gov/sbir. Texas SBIR/STTR Summit & Conference Austin, TX June 12, 2013. U. S. Department of Energy Mission.

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An Overview of the DOE’s SBIR and STTR Programs

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  1. An Overview of the DOE’sSBIR and STTR Programs Chris O’Gwin DOE SBIR/STTR Programs Office DOE SBIR/STTR Web: www.science.energy.gov/sbir Texas SBIR/STTR Summit & Conference Austin, TX June 12, 2013

  2. 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.

  3. DOE Research Offices Participating in SBIR/STTR New in FY12: ARPA-E SBIR/STTR Programs Goal 3: Nuclear Security Topics Goal 2: Science & Engineering Topics Goal 1: Clean Energy Topics Defense Nuclear Nonproliferation Energy Efficiency & Renewable Energy Advanced Scientific Computing Research Environmental Management Electricity Delivery & Energy Reliability Basic Energy Sciences Biological & Environmental Research Nuclear Energy Fossil Energy Fusion Energy Sciences High Energy Physics Nuclear Physics DOE SBIR/STTR Programs Office

  4. 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

  5. SBIR: Small business is required to perform the majority of the R&D Phase I: >66% Phase II: >50% Additional Program Features • 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 • STTR: Small business collaborates with a non-profit research institution • For both Phase I & II • Small business: >40% • Research Institution: >30%

  6. DOE’s SBIR/STTR Budget vs. Awards (in Millions $)

  7. Successful Phase I/II Proposal? Application Stats for FY 2012

  8. *FY 2014 Phase I Schedule *FY is Fiscal Year and each federal FY begins October 1

  9. 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 Questions?

  10. Additional SBIR/STTR Information

  11. FY 2012 SBIR/STTRSome Application and Award Stats

  12. 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

  13. 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

  14. 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

  15. Important Documents for Applicants • Topic Descriptions • Available on DOE SBIR website & FedConnect • Funding Opportunity Announcement (FOA) • Available on FedConnect • Grant Application Package • Available from Grants.gov • Instructions for Completing a DOE SBIR/STTR Grant Application • Available on DOE SBIR website

  16. Evaluation Criteria for Phase I and II Proposals • Strength of the Scientific/Technical Approach – 33% • To what extent does the proposed work build upon or move beyond the current state-of-the-art? • How new or unique is the idea? • How significant is the scientific and/or technical challenge? • Is a breakthrough possible? • Has the applicant demonstrated knowledge of the subject? • How thoroughly have the concepts been presented? • Ability to Carry out the Project in a Cost Effective Manner – 33% • 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 • Impact – 33% • Please comment on the significance of the technical and/or economic benefits of the proposed work, if successful • 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. • 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.

  17. Phase I Awardees: First Time Winners & Applicants in FY12 % of Phase I Awardees

  18. Bio-Energy & Biofuels Hydrogen & Fuel Cells Solar Power Water Power Wind Energy Energy Storage Goal 1: Clean Energy Topics • Office of Electricity Delivery and Energy Reliability • Office of Energy Efficiency and Renewable Energy • Office of Fossil Energy • Office of Nuclear Energy Clean Coal Technologies Advanced Turbine Technology Oil and Gas Technologies Advanced Materials and Technologies for Nuclear Energy Smart Grid Technologies

  19. Goal 2: Science & Engineering Topics • Office of Science • Advanced Scientific Computing Research • Basic Energy Sciences • Biological and Environmental Research • Fusion Energy Sciences • High Energy Physics • Nuclear Physics 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

  20. Remote Sensing Global Nuclear Safeguards R&D Nuclear Detonation Detection Goal 3: Nuclear Security Topics • Office of Defense Nuclear Nonproliferation • Office of Environmental Management Novel Radiation Monitoring Concepts In Situ Remediation Facility Deactivation and Decommissioning

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

  22. 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

  23. Fast-Track Application Current Process: 5 month Phase I – II funding gap 5 months Phase I Phase II 9 months 2 years Fast-Track process Phase I Phase II 9 months 2 years • 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.

  24. 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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