Small Business Innovation Research SBIR and Small Business
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
SBIR/STTR Budgets by Agency, FY 2015 NASA DOE NSF All Others DOD HHS ~ $2. 5 B in FY 2015 across all agencies Grants Contracts SBIR/STTR Programs Office Agencies with SBIR and STTR Programs Budget Department of Defense (DOD) $ 1. 070 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. 1 M National Aeronautics and Space Administration (NASA) $ 180. 1 M National Science Foundation (NSF) $176. 0 M Agencies with SBIR Programs Budget U. S. Department of Agriculture (USDA) $20. 3 M 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. 4 M Department of Transportation (DOT) $7. 9 M Department of Education (ED) $7. 5 M Environmental Protection Agency (EPA) $4. 2 M *NIH also issues contracts
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 Fusion Energy Sciences High Energy Physics Nuclear Physics Defense Nuclear Nonproliferation Environmental Management SBIR/STTRPrograms Office 3
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 SBIR/STTRPrograms Office 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 4
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 SBIR/STTRPrograms Office 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 5
DOE Program Offices Supporting Goal 3: Nuclear Security • Office of Defense Nuclear Nonproliferation • Office of Environmental Management SBIR/STTRPrograms Office 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 6
Operation of the DOE SBIR and STTR Programs DOE Program Offices • • • DOE Program Office Develop Topics – ––Develop Topics Identify Reviewers – ––Identify Reviewers (Scientific Peer Review) Select. Awardees –– Select – –Recommend Awardees Manage. Projects – Manage Projects Technical Expertise Leveraged Throughout DOE • • DOE Chicago Office – Negotiate Grants – Issue New and Continuation Awards – Grant Closeout Single Grants Office for Awardees DOE SBIR/STTR Programs Office – Develop Funding Opportunity Announcements – Administer Review and Selection Process – Ensure Compliance with SBIR/STTR Legislation – Conduct Outreach Single Administrative Office for Applicants SBIR/STTRPrograms Office 7
Application & Award Timelines months -3 -2 Issue Topics Issue FOA TOPICS -1 LOI Due 0 Applications Due FOA Issue FOA 1 2 Phase I 3 FOA Phase II SBIR/STTR Programs SBIR/STTR Office 6 7 8 Budget Period: 6 -12 months NEGOTIATE Maximum Award Amount: $150, 000 or $225, 000 (varies by topic) Award Start of Budget Notification Period REVIEW & SELECTION FOA: Funding Opportunity Announcement LOI: Letter of Intent 5 Award Start of Budget Notification Period REVIEW & SELECTION Applications Due 4 NEGOTIATE Budget Period: up to 24 months Maximum Award Amount: $1, 000 or $1, 500, 000 (varies by topic) 8
Award Sequence PHASE I 6 -12 months Application for Phase II due ~9. 5 months after start of Phase I grant PHASE II up to 24 months SEQUENTIAL PHASE II up to 24 months Application for Sequential Phase II due ~18. 5 months after start of Phase II grant Sequential Phase II Awards (Maximum Award Amount: $1, 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 SBIR/STTR Programs SBIR/STTR Office 9
FY 2017 SBIR/STTR Phase I Funding Opportunity Announcements Phase I Release 1 Phase I Release 2 SBIR/STTR Programs SBIR/STTR Office • 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) • 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) 10
Schedule: FY 2018 Phase I, Releases 1&2 Phase I FOA Schedule Release 1 Release 2 July 17, 2017 October 30, 2017 Week of July 24, 2017 Week of November 6, 2017 August 14, 2017 November 27, 2017 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* February 20, 2018* June 11, 2018* Topics Issued Topic Webinars Funding Opportunity Announcement Issued FOA Webinar Grant Start Date *preliminary dates subject to change SBIR/STTR Programs SBIR/STTR Office 11
Online Assistance for the Application Process • We have launched a new online learning system to assist new applicants: – http: //www. doesbirlearning. com/ • Additional resources can be found on our website: – http: //science. energy. gov/sbir/applican t-and-awardee-resources/ SBIR/STTR Programs SBIR/STTR Office 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 • Cost – Since this program is entirely funded by the DOE there is no cost to participants • Website: http: //www. dawnbreaker. com/doephase 0/. SBIR/STTRPrograms Office 13
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 SBIR/STTRPrograms Office 14
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 SBIR/STTRPrograms Office 15
Application & Award Statistics for FY 2016 • Phase I – 1556 applications – 325 awards Awarded (21%) Recommended for Funding--Not Awarded (13%) Not Recommended for Funding (55%) Declined without Review (5%) SBIR/STTRPrograms Office 16
Questions? Contact information: • DOE SBIR/STTR Operations: 301 -903 -5707 • DOE SBIR/STTR Email: sbir-sttr@science. doe. gov Our Website: • DOE SBIR/STTR Website: www. science. energy. gov/sbir Join our Mailing List: • DOE SBIR/STTR Mailing List: https: //public. govdelivery. com/accounts/USDOESCIENCE/subscriber/new SBIR/STTR Programs Office
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