U.S. Department of Energy

Chris OGwinDOE SBIR/STTR Programs OfficeDOE SBIR/STTR Web: www.science.energy.gov/sbirAn Overview of the DOEsSBIR and STTR Programs

Texas SBIR/STTR Summit & ConferenceAustin, TX

June 12, 20131U. S. Department of Energy MissionTo 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. 2DOE Research Offices Participating in SBIR/STTR

Defense Nuclear NonproliferationEnvironmental ManagementEnergy Efficiency &Renewable EnergyElectricity Delivery &Energy ReliabilityNuclear EnergyFossil EnergyAdvanced Scientific Computing ResearchBasic Energy SciencesBiological & Environmental ResearchFusion Energy SciencesHigh Energy PhysicsNuclear PhysicsGoal 1: Clean Energy TopicsGoal 2: Science & Engineering TopicsGoal 3: Nuclear Security TopicsDOE SBIR/STTR Programs OfficeNew in FY12: ARPA-E SBIR/STTR Programs3

DOE SBIR/STTR Program FeaturesCompetitive Grants Driven ProgramApplications Accepted only via www.Grants.govTwo Phased Approach$150/225K Phase I (9 months) Feasibility$1/1.5M Phase II (24 months) DevelopmentFast-Track Combined Phase I and Phase II No Funding GapTechnology Transfer Opportunities (TTO)Must Be Awarded DOE Phase I to Compete in Phase IIOffer Phase I and Phase II Commercialization Assistance4Additional Program Features STTR: Small business collaborates with a non-profit research institutionFor both Phase I & IISmall business: >40%Research Institution: >30%

SBIR: Small business is required to perform the majority of the R&DPhase I: >66%Phase II: >50%DOE uses the same topics for SBIR & STTRApplicants 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

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DOEs SBIR/STTR Budget vs. AwardsSBIRSTTRTotalsFY 2012 Budget$153 +$20 =$173 Phase I Awards218+ 35=253Phase II Awards93+11=104DOE R&D Set-Aside2.6%+0.35%=2.95%(Approx. $6.0 Billion in Extramural DOE R&D)(in Millions $)6Successful Phase I/II Proposal?Phase IIApplications208Awards10450%Phase IApplications1,726Awards25315%Application Stats for FY 2012Awards 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. 7*FY 2014 Phase I Schedule Release 1 Science & Engineering (Goals 2&3)Release 2 Clean Energy (Goal 1)Topics Issued July 15, 2013October 28, 2013- Topic WebinarWeek of July 22, 2013Week of November 4, 2013Funding Opportunity Announcement (FOA) IssuedAugust 12, 2013November 25, 2013- FOA WebinarAugust 16, 2013December 3, 2013Letters of Intent DueSeptember 3, 2013December 16, 2013Full Applications DueOctober 15, 2013February 4, 2014Award NotificationEarly January 2014Late April 2014Grant Start DateMid-February 2014Early June 9, 2014*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

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Additional SBIR/STTR Information10FY 2012 SBIR/STTRSome Application and Award Stats

DOE Funding ProgramNumber of TopicsFY 12 ApplicationsFY 12ReviewsFY 12 SBIR AwardsFY 12 STTR AwardsBasic Energy Sciences13370304557Energy Efficiency & Renewable Energy2312274274Fossil Energy7214201154High Energy Physics6165162284Nuclear Security (DNN)612912772Biological & Environmental Res.6127103203Nuclear Physics59892193Fusion Energy48581124Advanced Computing27670223Nuclear Energy14137101Electricity Delivery & Reliability1151430Environmental Management*00000TOTAL53 1,632 1,465 218 35 *3 Topics Pulled Due to LOF90%15%2%11Detailed Information on TopicsDOE Goal 2: Science & Engineering Topics To Be Issued: July 15th DOE Goals 1&3: Clean Energy and Nuclear Security October 28thPast and current topics can be found on our "Funding Opportunities" web page

New applicants are encouraged to examine current and past topic descriptions to explore whether they can propose novel solutions to the problems and opportunities presented. We currently have one Funding Opportunity Announcement open that contains topics from our Office of Science (Goal 2). We will have a second Funding Opportunity Announcement later this fall that will contain topics from our Applied Programs (Goals 1 & 3). These pdf documents are searchable so that you can type in keywords to identify potential matches between your capabilities and the topics.

12Funding Opportunity Announcement (FOA)FOAAnticipated Number of Awards and Funding AvailableEligibilityApplication RequirementsReview CriteriaAward AdministrationFOA WebinarProvides overview and highlights important changes

13Letters of Intent (LOI)LOI RequiredYou must submit an LOI by the due date to be eligible to submit an applicationPrimary purposeBegin reviewer assignment to reduce award cycle timeDue 3 weeks after FOA is issuedSecondary purposeProvide notification to applicants who appear to be non-responsive; you may submit a formal application even if you receive this notificationLimitsSmall businesses may submit up to 10 LOIs (and 10 applications) per Phase I solicitation (Rel 1&2)

Content:TitleTopic and subtopicAbstract (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. 18Goal 2: Science & Engineering TopicsHigh Performance Computing & Networking TechnologiesModeling and SimulationAtmospheric Measurement Technology Genomic Science and Related BiotechnologiesAdvanced Sources: Neutron, X-Ray Beams, ElectronAccelerator TechnologyData Acquisition, Processing and AnalysisFusion Energy Systems

Office of ScienceAdvanced Scientific Computing ResearchBasic Energy SciencesBiological and Environmental ResearchFusion Energy SciencesHigh Energy PhysicsNuclear Physics

The six program offices in the Office of Science make almost 2/3 of DOEs 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 utilizing 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. 19Goal 3: Nuclear Security TopicsNovel Radiation Monitoring ConceptsIn Situ RemediationFacility Deactivation and DecommissioningRemote SensingGlobal Nuclear Safeguards R&DNuclear Detonation Detection

Office of Defense Nuclear NonproliferationOffice 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. 20FY14 Phase II Schedule (Open to Phase I awardees only)Release 1Release 2FOA IssuedOctober 21, 2013February 10, 2014Applications DueDecember 10, 2013April 4, 2014Award NotificationLate February 2014Mid-June 2014Grant Start DateEarly April 2014Late July 2014Commercialization AssistanceDOE Commercialization Assistance will be provided by DawnbreakerPhase I assistanceCommercialization readiness assessmentFocused assistance with development of Phase II commercialization plansPhase II assistanceFlexible offerings to meet a variety of commercialization needshttp://science.energy.gov/sbir/commercialization-assistance/ Company selected commercialization assistance vendorReauthorization permits companies to select their own vendors to provide commercialization assistanceCompany must include this vendor as a subcontractor or consultant in their Phase I or II application

22Fast-Track ApplicationPrimary 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 IIMay not be suitable for those with limited commercialization experience.

23Phase I Phase II Current Process: 5 month Phase I II funding gap5 months9 months2 yearsPhase I 9 monthsFast-Track processPhase II 2 years23Information Available at DOE Program Office WebsitesMissionFunding Priorities and Announcements (non-SBIR)Technical Reference Data and ReportsConference ProceedingsContact Information

24Each program office has its own website, and in most cases provides a great deal of information of the R&D areas in which it funds research. These include more details about the mission and funding priorities, technical reports and conference proceedings, as well as contact information. Even though the SBIR/STTR programs fund only small companies, on the program office website you can also learn what else is being funded at universities, National Labs, and private companiesa great way to come up to speed on the state of the art in that field.

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