1. Director, DOE SBIR/STTR Programs Office SBIR/STTR Innovation Summit
Small Business Innovation Research (SBIR) and Small Business Technology TRansfer (STTR) Programs at the Department of Energy
Manny Oliver
Director, DOE SBIR/STTR Programs Office
SBIR/STTR Innovation Summit
National Harbor, MD
May 17, 2017

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 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

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
Advanced Grid Technologies
Bio-energy & Biofuels
Hydrogen & Fuel Cells
Solar Power
Water Power
Wind Energy
Advanced Manufacturing
Efficient Buildings & Vehicles
Sensors and Controls for Fossil Energy Systems
Advanced Fossil Energy and Separations and Analysis
Advanced Materials and Technologies for Nuclear Energy
Advanced Technologies for Nuclear Waste
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 Digital Network Technologies
HPC Cybersecurity
Atmospheric Measurement Technology
Subsurface Characterization and Monitoring
X-Ray Optics Technology
Instrumentation for Advance Chemical Imaging
High Performance Materials
Fusion Science and Technology
Plasma Science and Technology
Laser Technology
Superconducting Technology
Modeling and Simulation
Accelerator Technology
Advanced Detector Technologies
Nuclear Physics Isotope Science and Technology
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
R&D Topic Areas
Technology To Facilitate Nuclear Forensics
Radiological Source Replacement
Technology to Facilitate Monitoring of Nuclear Detonations
Remote Sensing Technologies
Novel Monitoring Concepts in the Subsurface
Office of Defense Nuclear Nonproliferation
Office of Environmental Management
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. Operation of the DOE SBIR and STTR Programs
DOE Program Offices
Develop Topics
Identify Reviewers
Select Awardees
Manage Projects
DOE Chicago Office
Negotiate Grants
Issue New and Continuation Awards
Grant Closeout
DOE Program Office
Develop Topics
Identify Reviewers (Scientific Peer Review)
Recommend Awardees
Manage Projects
DOE Program Offices
Develop Topics
Identify Reviewers
Select Awardees
Manage Projects
Single Grants Office for Awardees
Technical Expertise Leveraged Throughout DOE
DOE SBIR/STTR Programs Office
Develop Funding Opportunity Announcements
Administer Review and Selection Process
Ensure Compliance with SBIR/STTR Legislation
Conduct Outreach
We get a lot of questions about how topics are created. Each of the program offices may do this differently. Basically they are trying to determine how innovations by small businesses will help to advance their mission of their office. In some cases they have tried to distill down some critical innovations needed to enable a new technology (e.g. solar) become affordable. In other cases it may be the key to enabling a next generation user facility (e.g a fusion reactor). DOE program managers reach out to industry, national labs, and other to develop their topics. Yes, you can contact program managers and discuss your ideas with them to make them aware of potentially impactful innovations. (While a solicitation is open, there are some constraints on how you communicate withi program managers and we will discuss that later.)
Single Administrative Office for Applicants

8. Application & Award Timelines
months -3 -2 -1 1 2 3 4 5 6 7 8
Phase I
Issue Topics
Issue
FOA
LOI
Due
Applications Due
Award Notification
Start of Budget Period
TOPICS
FOA
REVIEW & SELECTION
NEGOTIATE
Budget Period: months
Maximum Award Amount:
$150,000 or $225,000 (varies by topic)
Phase II
Issue
FOA
Applications Due
Award Notification
Start of Budget Period
FOA
REVIEW & SELECTION
NEGOTIATE
Budget Period: up to 24 months
Maximum Award Amount:
$1,000,000 or $1,500,000 (varies by topic)
FOA: Funding Opportunity Announcement
LOI: Letter of Intent

9. Award Sequence
PHASE I months
PHASE II up to 24 months
SEQUENTIAL PHASE II up to 24 months
Application for Phase II due ~9.5 months after start of Phase I grant
Application for Sequential Phase II due ~18.5 months after start of Phase II grant
Sequential Phase II Awards (Maximum Award Amount: $1,000,000)
Phase IIA: For projects requiring more time and funding than available with a single Phase II award to complete prototype or process development
Phase IIB: For projects that have successfully completed prototype or process development and require additional R&D funding to transition an innovation towards commercialization

10. FY2017 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 (BER)
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 Fossil Energy (FE)
Office of Fusion Energy Sciences (FES)
Office of High Energy Physics (HEP)
Office of Nuclear Energy (NE)
Phase I
Release 2

11. Schedule: FY 2018 Phase I, Releases 1&2
Phase I FOA Schedule
Release 1
Release 2
Topics Issued
July 17, 2017
October 30, 2017
Topic Webinars
Week of July 24, 2017
Week of November 6, 2017
Funding Opportunity Announcement Issued
August 14, 2017
November 27, 2017
FOA Webinar
August 18, 2017
December 1, 2017
Letters of Intent Due
September 5, 2017
December 18, 2017
Full Applications Due
October 16, 2017
February 6, 2018
Award Notification
January 8, 2018*
April 30, 2018*
Grant Start Date
February 20, 2018*
June 11, 2018*
*preliminary dates subject to change

12. Online Assistance for the Application Process
We have launched a new online learning system to assist new applicants:
Additional resources can be found on our website:

13. 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
Cost
Since this program is entirely funded by the DOE there is no cost to participants
Website: 

14. Commercialization
DOE topics are drafted by program managers who are aware of the technology roadblocks but may not be aware of the commercialization challenges
Small business applications are expected to address the commercialization challenges and ensure that there is a profitable business opportunity
Phase I & II Applications must include Commercialization Plans
Commercialization Plans accommodate long commercialization timeframes: emphasis on first 10 years of commercialization beginning with first sale
Ability to leverage the technology for follow-on markets can also be included
DOE performs follow-up surveys to track commercialization outcomes of its SBIR/STTR awards

15. Review and Selection of Applications
DOE primarily uses external peer review to evaluate your applications
Typically at least 3 technical reviewers
1 reviewer for the Phase II commercialization plan
Review Criteria (equally weighted)
Strength of the Scientific/Technical Approach
Ability to Carry Out the Project in a Cost Effective Manner
Impact
You will be notified of the decision on your application within 90 days of the application deadline
Reviewer comments will be made available to you. Use this feedback constructively to improve future applications

16. Application & Award Statistics for FY 2016
Phase I
1556 applications
325 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.

17. Questions?
Contact information:
DOE SBIR/STTR Operations:
DOE SBIR/STTR
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