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

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.
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
Defense Nuclear
Nonproliferation
Advanced Scientific
Computing Research
Energy Efficiency &
Renewable Energy
Environmental
Management
Basic Energy Sciences
Electricity Delivery &
Energy Reliability
Biological &
Environmental Research
Nuclear Energy
Fusion Energy Sciences
Fossil Energy
High Energy Physics
Nuclear Physics
DOE SBIR/STTR
Programs Office
Goal 1: Clean
Energy
Topics
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
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
SBIR: Small business is
required to perform the majority
of the R&D


Phase I: >66%
Phase II: >50%


STTR: Small business
collaborates with a non-profit
research institution
For both Phase I & II


Small business: >40%
Research Institution: >30%
DOE’s SBIR/STTR Budget vs. Awards
(in Millions $)
SBIR
FY 2012 Budget
Phase I Awards
Phase II Awards
DOE R&D Set-Aside
STTR
Totals
$153
218
+
+
$20
35
=
=
$173
253
93
2.6%
+
+
11
0.35%
=
=
104
2.95%
(Approx. $6.0 Billion in Extramural DOE R&D)
Successful Phase I/II Proposal?
Application Stats for FY 2012
Phase I
Applications
Awards
Phase II
1,726
253
15%
Declined
without Review,
260, 15%
Awards, 253,
15%
Not
Recommended
for Funding,
953, 55%
Recommended
for Funding-Not Awarded,
260, 15%
Applications
208
Awards
104
50%
Not
Recommended
for Funding, 75,
36%
Awards, 104,
50%
Recommended
for Funding--Not
Awarded, 29,
14%
*FY 2014 Phase I Schedule
Release 1 – Science &
Engineering (Goals 2&3)
Release 2 – Clean Energy
(Goal 1)
July 15, 2013
October 28, 2013
Week of July 22, 2013
Week of November 4, 2013
August 12, 2013
November 25, 2013
- FOA Webinar
August 16, 2013
December 3, 2013
Letters of Intent Due
September 3, 2013
December 16, 2013
Full Applications Due
October 15, 2013
February 4, 2014
Award Notification
Early January 2014
Late April 2014
Grant Start Date
Mid-February 2014
Early June 9, 2014
Topics Issued
- Topic Webinar
Funding Opportunity
Announcement (FOA) Issued
*FY is Fiscal Year and each federal FY begins October 1
Questions?
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
Additional SBIR/STTR Information
FY 2012 SBIR/STTR
Some Application and Award
Stats
FY 12
FY 12
FY 12
Number of
FY 12
SBIR
STTR
Reviews
DOE Funding Program
Topics
Applications
Awards Awards
304
Basic Energy Sciences
13
370
55
7
Energy Efficiency & Renewable
274
Energy
2
312
27
4
201
Fossil Energy
7
214
15
4
162
High Energy Physics
6
165
28
4
127
Nuclear Security (DNN)
6
129
7
2
103
Biological & Environmental Res.
6
127
20
3
92
Nuclear Physics
5
98
19
3
81
Fusion Energy
4
85
12
4
70
Advanced Computing
2
76
22
3
37
Nuclear Energy
1
41
10
1
14
Electricity Delivery & Reliability
1
15
3
0
0
Environmental Management*
0
0
0
0
TOTAL
*3 Topics – Pulled Due to LOF
53
1,632
1,465
90%
218
15%
35
2%
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

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
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

Content:






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)
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


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
Evaluation Criteria for Phase I and II Proposals
1.Strength of the Scientific/Technical Approach – 33%
a)
b)
c)
d)
e)
f)
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?
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.
Phase I Awardees:
First Time Winners & Applicants in FY12
35%
30%
% of Phase I
Awardees
25%
First time DOE
winners
First-time DOE
applicants
20%
15%
10%
5%
0%
2009
2010
2011
2012
17
Goal 1: Clean Energy Topics





1.
2.
3.
4.
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
Office of Electricity Delivery and Energy Reliability
Office of Energy Efficiency and Renewable Energy
Office of Fossil Energy
Office of Nuclear Energy
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
2. Basic Energy Sciences
3. Biological and Environmental
Research
4. Fusion Energy Sciences
5. High Energy Physics
6. Nuclear Physics
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
FY14 Phase II Schedule
(Open to Phase I awardees only)
FOA Issued
Release 1
Release 2
October 21, 2013
February 10, 2014
Applications Due December 10, 2013
Award Notification Late February 2014
Grant Start Date
Early April 2014
April 4, 2014
Mid-June 2014
Late July 2014
Commercialization Assistance

DOE Commercialization Assistance will be provided by Dawnbreaker

Phase I assistance



Phase II assistance



Commercialization readiness assessment
Focused assistance with development of Phase II commercialization plans
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

Fast-Track Application

Primary Benefit: Awardees of Fast-Track applications will not have a gap in
their funding between Phase I and Phase II.
Current Process:
5 month Phase I – II funding gap
Phase I
5 months
Phase II
9 months
Fast-Track process

2 years
Phase I
Phase II
9 months
2 years
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
Information Available at DOE
Program Office Websites





24
Mission
Funding
Priorities and
Announcements
(non-SBIR)
Technical
Reference Data
and Reports
Conference
Proceedings
Contact
Information