1. U. S. Department of Energy (DOE) SBIR and STTR Programs Overview
Chris O’Gwin
DOE SBIR/STTR Programs Office
West Central
SBIR Road Tour
June 2016

2. Program Offices Participating in the DOE SBIR/STTR Programs
DOE Mission
The mission of the DOE is 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.
Program Offices Participating in the DOE SBIR/STTR Programs
Electricity Delivery & Energy Reliability
Energy Efficiency & Renewable Energy
Fossil Energy
Nuclear Energy
Advanced Scientific Computing Research
Basic Energy Sciences
Biological & Environmental Research
When people think about the Department of Energy they often think about renewable energy as our primary mission, but this is just mission area for the department. If you examine the goals in our mission statement you will see that we three areas in which we do research.
Goal 1: Transforming our energy systems includes making sure that our traditional energy sources (fossil fuels and nuclear) are operated as cleanly and safely as possible, that we use our energy as efficiently as possible, that we bring on renewable energy supplies, and that the electricity grid that delivers much of our energy is modernized as able to fully utilize these newer technologies.
Goal 2: The Department of Energy, through its Office of Science, also plays in important role in funding basic science and engineering that encompasses are wide range of disciplines, physics (elementary particle, nuclear physics, and fusion energy), chemistry, materials science, biology, environmental science (including climate change), and computation.
Goal 3: The Department of Energy, is also responsible through the National Nuclear Security Administration, for developing the US nuclear weapons and naval reactors for the Department of Defense. As part of this responsibility they are also responsible for preventing the proliferation of nuclear materials and weapons as well as cleaning up contamination that has resulted from earlier weapons development activities.
Fusion Energy Sciences
High Energy Physics
Nuclear Physics
Defense Nuclear Nonproliferation
Environmental Management

3. Features of the DOE SBIR/STTR Programs
Competitive Grants Driven Program
Two Phased Approach
$150K or $225K Phase I (9 months) – Feasibility
$1M or $1.5M Phase II (24 months) – Development & Sequential (up to 24 months)
Fast-Track – Combined Phase I and Phase II – No Funding Gap (up to $1.725M)
Technology Transfer Opportunities (TTO)
DOE uses the same topics for SBIR & STTR
Applicants can apply to either or both programs with a single application
Generally, must be awarded DOE Phase I to compete in Phase II
Offer Pre-Application Guidance –
Offer Phase 0 Assistance –
Offer Phase I and Phase II Commercialization Assistance

4. DOE Program Offices supporting Goal 1: Clean Energy Technologies
Office of Electricity Delivery and Energy Reliability
Office of Energy Efficiency and Renewable Energy
Office of Fossil Energy
Office of Nuclear Energy
R&D Topic Areas
Clean Coal Technologies
Advanced Turbine Technology
Oil and Gas Technologies
Advanced Materials and Technologies for Nuclear Energy
Smart Grid Technologies
Energy Storage
Bio-energy & Biofuels
Hydrogen & Fuel Cells
Solar Power
Water Power
Wind Energy
Advanced Manufacturing
Efficient Buildings & Vehicles
OE: This office has responsibility to modernize the electric grid, including improving the security and reliability, especially in times of disruption. OE has typically sponsored SBIR topics related to making the grid smarter and more efficient as well as providing energy storage on the grid for both very short peak loads using technologies such as flywheels as well as longer terms storage grid storage needs for renewable energy technologies using batteries, compressed air, hydropower, etc.
EERE funds R&D for using the energy we produce more efficiently as well as developing renewable energy technologies. Examples of energy efficiency R&D areas include (1) more efficient buildings (HVAC, lighting); (2) more efficient vehicles (hybrid vehicle technologies); and (3) more efficient industrial processes. Renewable energy technologies include solar, wind, hydropower, biofuels, and geothermal technologies.
FE. The office Fossil Energy funds research to use carbon based fuels more efficiently (such as more efficient gas turbines) and with less impact on the environment (cleaner coal technologies, carbon sequestration). Fossil fuels provide >80% of the energy in this country and are project to continue to do so through 2030.
NE: the office of Nuclear Energy is focused on insuring the safe operation of the existing nuclear power plants and developing safe, cost-effective reactors for future deployment. Nuclear is considered by some, to be an important element of decreasing our future dependence on fossil fuels. NE for SBIR has focused its topics on the development of advanced sensor systems for monitoring reactor performance and status as well as for developing advanced materials for nuclear reactors.
Note that the applied program can change their topics quite a bit from year to year, and even emphasize different programs from year to year. It is not possible to easily forecast topics. The Science and Nuclear programs topics tend to evolve more gradually but there are exceptions.

5. DOE Program Offices Supporting Goal 2: Science and Engineering Leadership
Advanced Scientific Computing Research
Basic Energy Sciences
Biological and Environmental Research
Fusion Energy Sciences
High Energy Physics
Nuclear Physics
R&D Topic Areas
Advanced Detectors
Accelerator technology
RF Components and Systems
Data Acquisition, Processing and Analysis
Fusion Energy Systems
High Performance Computing & Networking
Modeling and Simulation
Atmospheric Measurement Technology
Genomic Science and Related Biotechnologies
Advanced Sources: neutron, x-ray, electron
The six program offices in the Office of Science make almost 2/3 of DOE’s SBIR/STTR awards. Although you may be more attracted to the topics from Goal 1, I would encourage you to consider these programs as well if your technology can address their needs which are quite diverse.
ASCR: The focus of this office is high performance computing and networking to address the most challenging computational needs for modeling, simulation, and data analysis. This office funds some of the most advanced computing facilities in the world at DOE National Labs. For SBIR this year, ASCR is seeking innovative proposals in deploying high speed networks and utlizing high performance computing for advanced manufacturing.
BES: funds the development of advanced user facilities in DOE National Labs that use x-rays, neutrons, and electrons to probe the structure of matter as well as basic research in chemistry, materials science, and geosciences as they relate to energy production and storage. SBIR topics include advanced technologies that will enable next generation analytical capabilities as well as materials for energy industries.
BER: The research here spans biological research that supports the production of biofuels as well as environmental research that includes climate change modeling and subsurface contamination fate and transport.
FES, HEP, NP: All involve fundamental physics research into processes happening at the nuclear and elementary particles. These programs collectively have a large emphasis on accelerator and detection technologies. FES has a longer term goal of developing of developing a commercially viable fusion energy solution.

6. DOE Program Offices Supporting Goal 3: Nuclear Security
Office of Defense Nuclear Nonproliferation
Office of Environmental Management
R&D Topic Areas
Novel Radiation Monitoring Concepts
In Situ Remediation
Facility Deactivation and Decommissioning
Remote Sensing
Global Nuclear Safeguards R&D
Nuclear Detonation Detection
DNN: Is focused on detecting and preventing the illicit transport of nuclear materials and weapons, as well remote detection of nuclear detonations. For SBIR, its primary focus is on the remote sensing and detection technologies.
EM: EM is responsible for the clean up of contaminated sites (both nuclear and chemical) resulting from previous weapons development activities. Through SBIR they are seeking novel detection and remediation technologies from small businesses.

7. FY 2017 SBIR/STTR Phase I Funding Opportunity Announcements
Office of Advanced Scientific Computing Research (ASCR)
Office of Basic Energy Sciences (BES)
Office of Biological and Environmental Research (BES)
Office of Nuclear Physics (NP)
Phase I
Release 1
Office of Defense Nuclear Nonproliferation (NA)
Office of Electricity Delivery and Energy Reliability (OE)
Office of Energy Efficiency and Renewable Energy (EERE)
Office of Environmental Management (EM)
Office of Fossil Energy (FE)
Office of Fusion Energy Sciences (FES)
Office of High Energy Physics (HEP)
Office of Nuclear Energy (NE)
Phase I
Release 2

8. Schedule: FY17 Phase I, Releases 1&2
Phase I FOA Schedule
Release 1
Release 2
Topics Issued
July 18, 2016
October 31, 2016
Topic Webinars
Week of July 25, 2016
Week of November 07, 2016
Funding Opportunity Announcement Issued
August 15, 2016
November 28, 2016
FOA Webinar
August 19, 2016
December 02, 2016
Letters of Intent Due
September 06, 2016
December 19, 2016
Full Applications Due
October 17, 2016
February 07, 2017
Award Notification
Early January 2017*
Early May 2017*
Grant Start Date
February 21, 2017*
June 12, 2017*
*preliminary dates subject to change

9. Application & Award Statistics for FY 2015
Phase I
1,672 applications
289 awards
Awards per topic: Generally 0 to many. It varies greatly by program. Some programs that are interested in many diverse areas will put out more topics than they plan to make awards. Others such as EERE have only two topics this year and I would expect each topic to have greater than 10 awards.

10. Phase I Awardees: First Time Winners & Applicants
% of Phase I Awardees
Many applicants who are new to the program wonder if only more experienced companies can effectively compete for awards. The answer is no. Typically about 1/6 awards we make every year go to companies who are first time applicants to the DOE program. Another 1/6 may be first time winners who have prevously applied.
Of course this means that about 2/3 have previously received awards and this is largely the result of the fact that there are a large number of small businesses who have used the program in the past. Since it typically takes at least a few awards to complete the R&D for a new technology, the repeat winners are not discouraged. (In the upcoming reauthorization of the SBIR program, they will even permit sequential Phase II awards for technology that requires Phase II R&D longer than 2 years.)

11. Technical Reviewer Affiliation
The majority of reviewers for DOE are not paid. Some individual programs that do panel reviews do pay reviewers a nominal fee for their time.
Reviewers agree that (1) they will keep application information confidential and (2) they do not have a conflict of interest in reviewing the application.

12. Phase 0 Assistance Program
Goal
increase the number of responsive, high quality proposals from under-represented groups
small businesses from states with historically low SBIR/STTR applications to the DOE
AK, DC, GA, HI, IA, ID, IN, KS, LA, ME, MN, MS, MT, NC, ND, NE, NY, OK, PA, PR, RI, SC, SD, WA, WI
women-owned small businesses
minority-owned small businesses
Services
Letter of Intent (LOI) writing assistance
Phase I proposal preparation, review and submission assistance
Small business development training and mentoring
Communication and market research assistance
Technology advice and consultation
Indirect rate and financial information
Partner Travel (promote collaboration with DOE Labs)
Cost
No cost to DOE participants
Phase 0 Assistance: 
Phase I Application Assistance:

13. Online Application Help
We have launched a new online learning system to assist new applicants:
Additional resources can be found on our website:

14. Top 5 Application Errors
Serious Errors (Applications Ineligible for Review & Administratively Declined)
Failed to update SAM registration early—unable to submit application to Grants.gov by deadline
Failed to submit a Phase I Commercialization Plan
Submit in Field 12 of the Research & Related : Other Project Information Form
Improper filenames for attachments to grants.gov application
Use only standard characters in file names: A through Z, a through z, 0 through 9, and underscore (_). Do not use any special characters (example: “&”, “-“, “*”, “%”, “/”, and “#”) or spacing in the file name. Use underscore (example: “My_Attached_File.pdf”) for word separation.
Other Errors (may limit funding eligibility or delay award processing, if recommended for award)
Failed to accurately calculate level of effort (for SBIR and/or STTR)
Use level of effort worksheet to assist you with the calculation
Failed to properly mark proprietary data
See FOA for instructions

15. DOE SBIR/STTR Programs Office Contact Information
SBIR/STTR Web:
SBIR/STTR Mailing list:
Phone:
DOE Phase 0 Small Business Assistance:
DOE Phase 0 Online Learning Center: