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Chris O’Gwin DOE SBIR/STTR Programs Office DOE SBIR/STTR Web: www.science.energy.gov/sbirwww.science.energy.gov/sbir An Overview of the DOE’s SBIR and.

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Presentation on theme: "Chris O’Gwin DOE SBIR/STTR Programs Office DOE SBIR/STTR Web: www.science.energy.gov/sbirwww.science.energy.gov/sbir An Overview of the DOE’s SBIR and."— Presentation transcript:

1 Chris O’Gwin DOE SBIR/STTR Programs Office DOE SBIR/STTR Web: An Overview of the DOE’s SBIR and STTR Programs 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 Defense Nuclear Nonproliferation Environmental Management Energy Efficiency & Renewable Energy Energy Efficiency & Renewable Energy Electricity Delivery & Energy Reliability 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

4 DOE SBIR/STTR Program Features Competitive Grants Driven Program Applications Accepted only via 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 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

6 DOE’s SBIR/STTR Budget vs. Awards SBIRSTTRTotals FY 2012 Budget $153+$20=$173 Phase I Awards =253 Phase II Awards93+11=104 DOE R&D Set-Aside2.6%+0.35%=2.95% (Approx. $6.0 Billion in Extramural DOE R&D) (in Millions $)

7 Successful Phase I/II Proposal? Phase II Applications208 Awards10450% Phase I Applications1,726 Awards25315% Application Stats for FY 2012

8 *FY 2014 Phase I Schedule Release 1 – Science & Engineering (Goals 2&3) Release 2 – Clean Energy (Goal 1) Topics IssuedJuly 15, 2013October 28, Topic Webinar Week of July 22, 2013Week of November 4, 2013 Funding Opportunity Announcement (FOA) Issued August 12, 2013November 25, FOA Webinar August 16, 2013December 3, 2013 Letters of Intent DueSeptember 3, 2013December 16, 2013 Full Applications DueOctober 15, 2013February 4, 2014 Award Notification Early January 2014Late April 2014 Grant Start Date Mid-February 2014Early June 9, 2014 *FY is Fiscal Year and each federal FY begins October 1

9 Questions? Contact us: DOE SBIR/STTR Operations Phone: Visit our Website: DOE SBIR/STTR Website: Join our Mailing List: DOE SBIR/STTR Mailing List:

10 Additional SBIR/STTR Information

11 FY 2012 SBIR/STTR Some Application and Award Stats DOE Funding Program Number of Topics FY 12 Applications FY 12 Reviews FY 12 SBIR Awards FY 12 STTR Awards Basic Energy Sciences Energy Efficiency & Renewable Energy Fossil Energy High Energy Physics Nuclear Security (DNN) Biological & Environmental Res Nuclear Physics Fusion Energy Advanced Computing Nuclear Energy Electricity Delivery & Reliability Environmental Management* TOTAL53 1,632 1, *3 Topics – Pulled Due to LOF 90%15%2%

12 Detailed Information on Topics  DOE Goal 2: Science & Engineering Topics – To Be Issued: July 15 th  DOE Goals 1&3: Clean Energy and Nuclear Security – October 28 th  Past and current topics can be found on our "Funding Opportunities" web page"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 & FedConnectDOE SBIR website FedConnect Funding Opportunity Announcement (FOA)  Available on FedConnectFedConnect Grant Application Package  Available from Grants.govGrants.gov Instructions for Completing a DOE SBIR/STTR Grant Application  Available on DOE SBIR websiteDOE SBIR website

16 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 successful b)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.

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

18 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 Reliability Office of Electricity Delivery and Energy Reliability 2. Office of Energy Efficiency and Renewable Energy Office of Energy Efficiency and Renewable Energy 3. Office of Fossil Energy Office of Fossil Energy 4. Office of Nuclear Energy Office of Nuclear Energy

19 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 Science 1. Advanced Scientific Computing Research Advanced Scientific Computing Research 2. Basic Energy Sciences Basic Energy Sciences 3. Biological and Environmental Research Biological and Environmental Research 4. Fusion Energy Sciences Fusion Energy Sciences 5. High Energy Physics High Energy Physics 6. Nuclear Physics Nuclear Physics

20 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

21 FY14 Phase II Schedule (Open to Phase I awardees only) Release 1Release 2 FOA IssuedOctober 21, 2013February 10, 2014 Applications DueDecember 10, 2013April 4, 2014 Award NotificationLate February 2014Mid-June 2014 Grant Start DateEarly April 2014Late July 2014

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  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 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. 23 Phase I Phase II Current Process: 5 month Phase I – II funding gap 5 months 9 months2 years Phase I 9 months Fast-Track process Phase II 2 years

24 Information Available at DOE Program Office Websites Mission Funding Priorities and Announcements (non-SBIR) Technical Reference Data and Reports Conference Proceedings Contact Information 24


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