1. Sequential Phase II Awards at the Department of Energy
Manny Oliver
Director, DOE SBIR/STTR Programs Office
May 17, 2018

2. SBIR/STTR Budgets by Agency, FY2015
Agencies with SBIR and STTR Programs
Budget
Department of Defense (DOD)
$ B
Department of Health and Human Services (HHS), including the National Institutes of Health (NIH)*
$797.0 M
Department of Energy (DOE), including Advanced Research Projects Agency – Energy (ARPA-E)
$206.1M
National Aeronautics and Space Administration (NASA)
$ M
National Science Foundation (NSF)
$176.0 M
Agencies with SBIR Programs
U.S. Department of Agriculture (USDA)
$20.3M
Department of Homeland Security (DHS): Science and Technology Directorate (S&T) and Domestic Nuclear Detection Office (DNDO)
$17.7 M
Department of Commerce: National Oceanic and Atmospheric Administration (NOAA) and National Institute of Standards and Technology (NIST)*
$8.4M
Department of Transportation (DOT)
$7.9 M
Department of Education (ED)
$7.5 M
Environmental Protection Agency (EPA)
$4.2 M
~ $2.5B in FY2015 across all agencies
Grants
Contracts
*NIH also issues contracts

3. U. S. Department of Energy Mission
The mission of the Department of Energy 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 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

4. Award Sequence DOE implemented Sequential Phase II Awards in FY 2014
6-12 months
$150,000 or $225,000
up to 2 years
$1,000,000 or $1,500,000
up to 2 years
$1,000,000 OR
Sequential Phase II
up to 2 years
1 year delay
up to 2 years
$1,000,000
DOE implemented Sequential Phase II Awards in FY 2014
Cross-Program Awards: awardees are free to switch between the SBIR and STTR programs during their award sequence

5. Phase IIA Motivation Timing
Some Phase II projects are unable to be completed within two years and require more time and funding.
DOE program managers select the topics/subtopics for which Phase IIA applications will be accepted
Historically such projects required small businesses to complete two or more Phase I/II cycles to complete their R&D
Timing
Phase IIA awards start immediately upon completion of the Phase II award

6. Phase IIA application submitted in FY 2018
Phase IIA Timeline
No gap between end of Phase II and start of Phase IIA
Awarded in FY 2015
Awarded in FY 2016
Phase I
Phase II
Phase IIA
up to 2 years
Phase IIA application submitted in FY 2018

7. Phase IIB Motivation Timing
After successfully completing Phase II R&D, some projects may require R&D funding to transition an innovation towards commercialization
DOE is utilizing Phase IIB to increase the number of positive commercialization outcomes resulting from Phase II awards
Timing
Phase IIB awards will start immediately after completing a Phase II or up to 1 year later

8. Phase IIB Timeline: Two Options
Awarded in FY 2015
Awarded in FY 2016
Phase I
Phase II
Phase IIB
2 years
up to 2 years
Phase IIB application submitted in FY 2018
Awarded in FY 2014
Awarded in FY 2015
Phase I
Phase II
Phase IIB
1 year
up to 2 years
2 years
Phase IIB application
Submitted in FY2018

9. Funding for Phase IIA & IIB Awards
Maximum Award Amount
$1,000,000, up to 2 years
Award amounts and duration require justification
Available Funding
Is there new funding available to make Phase IIA & IIB awards?
NO. Sequential Phase II funding is obtained from DOE SBIR & STTR allocations used to make Phase I & II awards.
Number of Awards
There is no target number of awards for Phase IIA or Phase IIB
The number will depend on the number and quality of applications received under the Funding Opportunity Announcement

10. Phase II Application & Award Statistics for FY 2017
296 applications
146 awards
Phase IIA
27 applications
17 awards
Phase IIB
52 applications
20 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.

11. Cross-Agency Funding Phase II Sequential Phase II
Currently DOE Phase II awards are open to Phase I Awardees from other agencies
Phase I award must be from the prior year
Innovation must be aligned with a DOE topic (DOE approval required)
Applicant must not be submitting Phase II application to the agency that issued the Phase I award
Sequential Phase II
DOE is a science agency and typically does not procure technologies for its own use
DOE Sequential Phase II is only open to DOE Phase II awardees to assist the with maturing their technology for commercial opportunities
Historically, we have found that procurement agencies such as DOD are interested in pursuing sequential Phase II or Phase III awards for DOE SBIR/STTR projects

12. Contact information:
DOE SBIR/STTR Operations:
DOE SBIR/STTR
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