Overview of the DOE’s Small Business Innovation Research (SBIR) Small Business Innovation Research (SBIR) and Small Business Technology TRansfer (STTR) Programs (STTR) Programs Chris O’Gwin DOE SBIR/STTR P DOE SBIR/STTR Programs Office Offi 2014 Kentucky SBIR/STTR Annual Conference April 11, 11 2014
DOE Mission, Organization, and DOE Mission Organization and g R&D Programs
http://science.energy.gov/sbir/funding-opportunities/
U S Department of Energy Mission 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. G l 11: Catalyze Goal C l the h timely, i l material, i l andd efficient ffi i transformation f i off the h nation's i ' 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. SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
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DOE Program Offices Participating in SBIR/STTR DOE SBIR/STTR Programs Office
Advanced Scientific Computing Research Basic Energy Sciences Biological & Environmental Research
ARPA‐E SBIR/STTR Programs
Fusion Energy Sciences High Energy Physics Science
Nuclear Physics Defense Nuclear Nonproliferation
Fossil Energy Energy Efficiency & Renewable Energy Nuclear Energy Electricity Delivery & Energy Reliability
SBIR/STTR Programs Office
Environmental Management
http://science.energy.gov/sbir/funding-opportunities/
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DOE Program Offices Supporting Goal 1: Clean Energy Technologies • • • • •
Electricity Delivery and Energy Reliability El t i it D li dE R li bilit Energy Efficiency and Renewable Energy Environmental Management Environmental Management Fossil Energy Nuclear Energy
SBIR/STTR Programs Office
R&D Topics p • Clean Coal Technologies • Advanced Turbine Technology • Oil and Gas Technologies • Sensor Technologies Sensor Technologies • Advanced Materials and Technologies for Nuclear Energy • Smart Grid Technologies • Bio‐energy & Biofuels • Hydrogen & Fuel Cells • Solar Power Water Power • Water Power • Wind Energy • Energy Storage
http://science.energy.gov/sbir/funding-opportunities/
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DOE Program Offices Supporting Goal 2: Science and Engineering Leadership • Advanced Scientific Computing d d f Research • Basic Energy Sciences gy • Biological and Environmental Research • Fusion Energy Sciences • High Energy Physics • Nuclear Physics
• • • • • • • • • •
SBIR/STTR Programs Office
R&D Topics R&D T i Advanced Detectors Accelerator technology RF Components and Systems Data Acquisition, Processing and Analysis Fusion Energy Systems High Performance Computing & Networking M d li Modeling and Simulation d Si l ti Atmospheric Measurement Technology Genomic Science and Related g Biotechnologies Advanced Sources: neutron, x‐ray, electron
http://science.energy.gov/sbir/funding-opportunities/
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DOE Program Offices Supporting Goal 3: Nuclear Security • Defense Nuclear Nonproliferation f l lf • Environmental Management
SBIR/STTR Programs Office
• • • • • •
R&D Topics Novel Radiation Monitoring Concepts In Situ Remediation Facility Deactivation and Decommissioning Remote Sensing Global Nuclear Safeguards R&D N l Nuclear Detonation Detection D t ti D t ti
http://science.energy.gov/sbir/funding-opportunities/
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Operation of the DOE SBIR and STTR Programs • DOE Program Offices DOE Program Offices g Offices DOE Program • O– Develop Topics Offi DOE Program Offices •• DOE Program Offices DOE Program Offices • Develop Topics DOE Program Offices •• DOE Program Office –– Develop Topics
•
– –
–Develop Topics Identify Reviewers – Develop Topics – – Identify Reviewers – Develop Topics – Develop Topics Identify Reviewers –Identify Reviewers Select Awardees –– Identify Reviewers – Identify –– Identify Reviewers Id tif R RtReviewers i Ai d –– Select Awardees Select Awardees Stif l Identify Reviewers Id – Manage Projects – Select Awardees Select Awardees – Manage Projects –– (Scientific Peer Review) Select Awardees – Manage Projects – Manage Projects – – Recommend Awardees Manage Projects – Manage Projects –
DOE Chi Offi DOE Chicago Office
–
Negotiate Grants Issue New and Continuation Awards Grant Closeout
Single Grants Office for Awardees
Manage Projects
Technical Expertise Leveraged Throughout DOE
DOE SBIR/STTR Programs Office
•
– – – –
D l F di O i Develop Funding Opportunity Announcements Administer Review and Selection Process E Ensure Compliance with SBIR/STTR C li ith SBIR/STTR Legislation Conduct Outreach
Single Administrative Office for Applicants SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
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Overview of DOE SBIR/STTR Programs
http://science.energy.gov/sbir/funding-opportunities/
Features of the DOE SBIR/STTR Programs • Competitive Grants Driven Program • Two Phased Approach – – – –
$150/225K Phase I (9 months) – Feasibility $1/1.5M Phase II (24 months) – Development & Sequential (up to 24 months) F t T k Combined Phase I and Phase II – Fast‐Track – C bi d Ph I d Ph II No Funding Gap N F di G Technology Transfer Opportunities (TTO)
• DOE uses the same topics for SBIR & STTR • Applicants can apply to either or both programs with a single application – To apply to both programs, one must meet the requirements for both: • SBIR: SBC must perform >67% of the R&D in Phase I, >50% in Phase II p , • STTR: 1) Must collaborate with a RI, 2) SBC must perform >40% of the R&D in Phases I & II, and 3) A single RI must perform >30% of the work in Phases I & II
• Must Be Awarded DOE Phase I to Compete in Phase II • Offer Phase I and Phase II Commercialization Assistance
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
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DOE’ss SBIR/STTR Budget vs. DOE vs Awards ((in Millions $))
SBIR FY 2013 Budget
STTR
Totals
Phase I Awards
$155 214
+ +
$20 30
= =
$175 244
Phase II Awards DOE R&D Set-Aside
9 2.7%
+ +
14 0.35%
= =
108 3.05%
(Approx. $6.0 Billion in Extramural DOE R&D)
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
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SBIR/STTR Budgets by Agency, 2012 SBIR/STTR Budgets by Agency, 2012 DOE
IH NIH
NASA
NSF
All Others
Agencies with SBIR and STTR Programs Department of Defense (DoD)
$ 1.1 B
Department of Health and Human Services: National Institutes of Health (NIH), etc.
$717.0 M
Department of Energy (DOE) [includes ARPA‐E]
$188.3 M [$13 3M] [$13.3M]
DoD
National Aeronautics and Space Administration (NASA)
$161.8 M
National Science Foundation (NSF) ( )
$ 150.6 M $
Agencies with SBIR Programs
~ $2.4B in FY 2012 across all agencies g
SBIR/STTR Programs Office
U.S. Department of Agriculture (USDA)
$19.3 M
Department of Education (ED)
$13.4 M
Department of Homeland Security (DHS)
$12.6 M
Department of Transportation (DOT)
$8.6 M
Environmental Protection Agency (EPA)
$ $4.8 M
Department of Commerce: National Oceanic and Atmospheric Administration (NOAA) and National Institute of Standards and Technology (NIST)
$4.7 M
http://science.energy.gov/sbir/funding-opportunities/
Application Statistics for FY 2013 Application Statistics for FY 2013 • Phase I
• Fast‐Track
– 2,266 applications – 320 awards 320 awards
SBIR/STTR Programs Office
– 63 applications – 7 awards 7 awards Awarded (14%)
Awarded (11%)
Recommended for Funding‐‐Not Awarded (14%)
Recommended for Funding‐‐Not A Awarded (10%) d d (10%)
Not Recommended for Funding (66%)
Not Recommended for Funding (71%)
Declined without Review (6%)
Declined without Review (8%)
http://science.energy.gov/sbir/funding-opportunities/
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Technical Reviewer Affiliation Government 10%
Phase I Reviewer Affiliation
Private Sector 9%
National Laboratoryy 49%
University 32%
Reviewers agree that (1) they will keep application information confidential • Reviewers agree that (1) they will keep application information confidential and (2) they do not have a conflict of interest in reviewing the application.
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
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DOE SBIR & STTR Programs: DOE SBIR & STTR Programs: Application & Award Process pp
http://science.energy.gov/sbir/funding-opportunities/
FY 2015 Phase I Funding Opportunity Announcements Phase I Release 1 (Summer)
• • • • • •
Office of Advanced Scientific Computing Research Office of Basic Energy Sciences Office of Biological and Environmental Research Offi Office of Defense Nuclear Nonproliferation fD f N l N lif i Office of Nuclear Physics Office of Environmental Management
Phase I h Release 2 (Fall)
SBIR/STTR Programs Office
• • • • • •
Office of Electricity Delivery and Energy Reliability Office of Energy Efficiency and Renewable Energy Office of Fusion Energy Sciences Office of Fossil Energy Office of High Energy Physics ff f h h Office of Nuclear Energy
http://science.energy.gov/sbir/funding-opportunities/
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FY 2015 Phase I Schedule* FY 2015 Phase I Schedule Release 1 – Science & Engineering (Goals 2&3)
Release 2 – Clean Energy (Goal 1)
July 14, 2014
October 27, 2014
Week of July 21, 2014
Week of November 3, 2014
August 11, 2014
November 24, 2014
- FOA Webinar
August 15, 2014
December 2, 2014
Letters of Intent Due
September 2, 2 2014
December 15, 15 2014
Full Applications Due
October 14, 2014
February 3, 2015
Award Notification
Earlyy Januaryy 2015
Late April p 2015
Grant Start Date
Mid-February 2015
Early June 9, 2015
Topics Issued - Topic Webinar Funding Opportunity A Announcement t (FOA) Issued I d
*FY is Fiscal Year and each federal FY begins g October 1 SBIR/STTR Programs Office
17 http://science.energy.gov/sbir/funding-opportunities/
Topics • Topics Document – DOE primarily uses focused topics p y p – Issued 4 weeks prior to the Funding Opportunity Announcement
• Communication Communication with DOE program with DOE program managers – Open communication permitted
• Webinar – DOE program managers discuss their topics p – Applicants submit questions in advance or during the webinar – Webinars are recorded and available Webinars are recorded and available from our website
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
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Example Topic • Topic & Subtopic – You must specify the topic and subtopic in your letter of and subtopic in your letter of intent and application
• Topic Header – Li List the maximum award t th i d amounts for Phase I & Phase II ant the types of application p accepted
• Program Manager – Each subtopic lists the responsible DOE program responsible DOE program manager
• Other Subtopic – Check on it! • References
SBIR/STTR Programs Office
7. Instrumentation for Advanced Chemical Imaging Maximum Phase I Award Amount: $150,000 Accepting SBIR Phase I Applications: YES Accepting STTR Phase I Applications: YES
Maximum Phase II Award Amount: $1,000,000 Accepting SBIR Fast-Track Applications: YES Accepting STTR Fast-Track Applications: YES
The Department of Energy seeks to advance chemical imaging technologies that facilitate fundamental research to understand, predict, and ultimately control matter and energy at the electronic, atomic, and molecular levels. The Department is particularly interested in forefront advances in imaging techniques that combine molecular-scale spatial resolution and ultrafast temporal resolution to explore energy flow, molecular dynamics, breakage, or formation of chemical bonds, or conformational changes in nanoscale systems. G t applications Grant li ti are sought ht only l in i the th ffollowing ll i subtopics: bt i a. High Spatial Resolution Ultrafast Spectroscopy Chemical information associated with molecular-scale processes is often available from optical spectroscopies involving interactions with electromagnetic radiation ranging from the infrared spectrum to x-rays. x-rays Ultrafast laser technologies can provide temporally resolved chemical information via optical spectroscopy or laser-assisted mass sampling techniques. These approaches provide time resolution ranging from the breakage or formation of chemical bonds to conformational changes in nanoscale systems but generally lack the simultaneous spatial resolution required to analyze individual molecules. Grant applications are sought that make significant advancements in spatial resolution towards the p p imaging g g instrumentation available to the research scientist. molecular scale for ultrafast spectroscopic The nature of the advancement may span a range of approaches including sub-diffraction limit illumination or detection, selective sampling, and coherent or holographic signal analysis. Questions – contract Larry Rahn, larry.rahn@science.doe.gov
References: 1. Basic research for chemical imaging. BES Chemical Imaging Research Solicitation. (FY 2006). Available at http://science.doe.gov/grants/pdf/DE-FG01-05ER05-30.pdf 2. Visualizing Chemistry, The progress and Promise of Advanced Chemical Imaging, National Academies Press. 2006. Available at http://www.nap.edu/catalog.php?record_id=11663. p p gp p http://science.doe.gov/grants/pdf/DE-FG01-05ER05-30.pdf) http://science.energy.gov/sbir/funding-opportunities/
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Technology Transfer Opportunities (TTOs) Technology Transfer Opportunities (TTOs) • New feature of the DOE SBIR/STTR Programs that began in FY 2013 f f h / h b • An opportunity to transfer inventions made by a DOE National Lab or university to your small business y y • Awardees receive – an SBIR/STTR grant and – an option to license the technology
• Please review the TTO Section of the topics document if you plan to submit an application to a TTO. pp
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
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Example Technology Transfer Opportunity Topic • Technology Transfer Opportunity – Th The topic or subtopic i b i will be clearly labeled
• Research Organization – The DOE National Lab or university responsible for the TTO is listed along TTO is listed along with contact information and other references – Please contact the Lab or university to obtain information about the TTO
• DOE Program Manager
10. TECHNOLOGY TRANSFER OPPORTUNITIES: BASIC ENERGY SCIENCES Maximum Phase I Award Amount: $225,000 Accepting SBIR Phase I Applications: YES Accepting STTR Phase I Applications: YES
Maximum Phase II Award Amount: $1,500,000 Accepting SBIR Fast-Track Applications: YES Accepting STTR Fast-Track Applications: YES
Applicants to Technology Transfer Opportunities should review the section describing Technology Transfer Opportunities on page 1 of this document prior to submitting applications. Grant G a t app applications cat o s are a e sought soug t only o y in the t e following o o g sub-topics: sub top cs a. Improved Ambient Ionization Source for Mass Spectrometry An improved method and apparatus for surface ionization of samples for analysis by mass spectrometry has been developed. Analytes are probed using a small droplet of solvent that is formed at the junction between two capillaries. A supply capillary maintains the droplet of solvent on the substrate; a collection capillary collects analyte desorbed from the surface and emits analyte ions as a f focused d spray tto th the iinlet l t off a mass spectrometer t t ffor analysis. l i Th The device d i has h bbeen shown h tto provide id superior sensitivity to other methods of surface ionization and is particularly useful for imaging applications of mass spectrometry. Experimental results using the patented technology have been widely published including in Analytical Chemistry 2010, 82, 7979–7986. A need exists for a commercial partner to develop a commercial version of the new instrument for use by the broader research community. Pacific Northwest National Laboratory information: TTO information: http://availabletechnologies.pnnl.gov/technology.asp?id=313 Patent Status: USPTO # 8,097,845 USPTO Link http://patft.uspto.gov/netacgi/nphParser?Sect1=PTO2&Sect2=HITOFF&p=1&u=%2Fnetahtml%2FPTO%2Fsearchbool html&r=1&f=G&l=50&co1=AND&d=PTXT&s1=8097845 PN &OS=PN/8097845&RS=PN/8097845 bool.html&r=1&f=G&l=50&co1=AND&d=PTXT&s1=8097845.PN.&OS=PN/8097845&RS=PN/8097845 TTO tracking number: IPID-16593 Contact: Bruce Harrer; (509) 375-6958; bruce.harrer@pnnl.gov or Julia Laskin; (509) 371-6136; julia.laskin@pnnl.gov Questions – contact Larry.Rahn@science.doe.gov
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
Funding Opportunity Announcement (FOA) g pp y ( ) • FOA – Available Available at the DOE SBIR website at the DOE SBIR website or Grants.gov and includes information on • Anticipated number of awards and f di funding available il bl • Eligibility • Application Requirements • Review Criteria Review Criteria • Award Administration
– Open for approximately 9 weeks
• Communications Communications with DOE with DOE program managers – Open communication permitted to clarify the scope of the topic and clarify the scope of the topic and subtopic
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
22
Letters of Intent (LOI) Letters of Intent (LOI) • Requirement – You You must submit an LOI by the due 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
• Secondary purpose Secondary purpose – provide notification to applicants who appear to non‐responsive; you may submit a formal application if you receive this notification f
• Limits – Small businesses may submit only 10 letters of intent (and 10 applications) letters of intent (and 10 applications) per solicitation
SBIR/STTR Programs Office
• Content: – Title – Topic and subtopic – Abstract (<500 words) • Provide sufficient technical d ff h l detail to enable reviewer assignment • Non‐proprietary
– List of collaborators – Small business information • Name, address Name address • Business official and contact information • Principal investigator Principal investigator – Phase I or Fast‐Track
http://science.energy.gov/sbir/funding-opportunities/
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Important Elements of Your Application Important Elements of Your Application • Project Narrative oject a at e – Page and word limits • Phase I: 15 pages, 7,500 words • Phase II: 20 pages, 10,000 words Phase II: 20 pages 10 000 words • Fast‐Track: 25 pages, 12,500 words
• Budget & Budget Justification • Key Personnel • Commercialization Plans – Phase I commercialization plan Phase I commercialization plan • An example can be found here
– Phase II commercialization plan
• SBIR/STTR Information
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
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Top 5 Application Errors Top 5 Application Errors • Serious Errors (Applications Ineligible for Review & Administratively Declined) – Failed to update SAM registration early—unable to submit application to Grants.gov by deadline – Failed to submit a Phase I Commercialization Plan • Submit in Field 12 of the Research & Related : Other Project Information Form
– Failed to comply with word & page limitations for the Project Narrative
• Other Other Errors (may limit funding eligibility or delay award processing, if Errors (may limit funding eligibility or delay award processing if recommended for award) – Failed to accurately calculate level of effort (for SBIR and/or STTR) • Use level of effort worksheet to assist you with the calculation
– Failed to properly mark proprietary data • See FOA for instructions
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
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Evaluation Criteria for Phase I and II Proposals Evaluation Criteria for Phase I and II Proposals 1. Strength of the Scientific/Technical Approach – 33% (Phase IIB = 25%) 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% (Phase IIB = 25%) a)) Pl Please comment on the qualifications of the Principal Investigator (PI), other key staff, and consultants, if any, h lifi i f h P i i lI i (PI) h k ff d l if and on the level of adequacy of equipment and facilities
3. Impact – 33% (Phase IIB = 50%) 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 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.
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
Phase I Awardees: First Time Winners & Applicants 45% 40% 35% 30%
% of Phase I % of Phase I Awardees
first time awardees
25% 20%
first time applicants
15% 10% 5% 0% 2009
SBIR/STTR Programs Office
2010
2011
2012
2013
http://science.energy.gov/sbir/funding-opportunities/
27
FY 2013 SBIR/STTR (Does not include FY13 Phase I Release 3)
Application and Award Stats Number of Topics
FY 13 Applications
Basic Energy Sciences
14
363
Energy Efficiency & Renewable Energy Fossil Energy High Energy Physics Nuclear Security (DNN) Biological & Environmental Research Nuclear Physics Fusion Energy Advanced Computing Nuclear Energy
8 5 7 7 5 5 4 2 3
367 222 203 61 103 80 98 79 94
Electricity Delivery & Reliability Environmental Management
2 1
38 35
TOTAL
63
1,743
DOE Funding Program
SBIR/STTR Programs Office
FY 13 FY 13 Merit SBIR Reviews Awards 323 43 352 219 199 61 95 67 98 77 92 38 35 1,656 95%
FY 13 STTR Awards 8
44 14 24 7 20 16 11 19 15
4 1 3 0 3 3 2 3 2
4 4
1 0
221 13%
30 2%
http://science.energy.gov/sbir/funding-opportunities/
Application & Award Timelines Application & Award Timelines months -33
-2 2
Issue Issue Topics
Issue FOA
TOPICS
-11
LOI Due
FOA
IIssue FOA
0
1
Applications Applications Due
Phase I
3
Phase II
4
5
6
7
8
Award Start Award Start of Budget of Budget Notification Period
REVIEW & SELECTION REVIEW & SELECTION
Applications A li ti Due
FOA
2
NEGOTIATE
Ph Phase I Budget Period—9 months IB d tP i d 9 th
Award A d SStart of Budget f d Notification Period
REVIEW & SELECTION
NEGOTIATE
Phase II Budget Period—24 months
FOA: Funding Opportunity Announcement LOI: Letter of Intent f SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
29
Commercialization Assistance Commercialization Assistance • DOE Commercialization Assistance will be provided by Dawnbreaker – Phase I assistance h • Commercialization Readiness Assessment • Focused assistance with development of Phase II commercialization plans
– Phase II assistance • Flexible offerings to meet a variety of commercialization needs
– http://science.energy.gov/sbir/commercialization‐assistance/ p // gy g / / /
• 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
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
30
Questions? Contact information: • DOE SBIR/STTR Operations: 301‐903‐5707 • DOE SBIR/STTR Email: sbir‐sttr@science.doe.gov • Chris O’Gwin – (301) 903‐5713 / chris.ogwin@science.doe.gov
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 DOE SBIR/STTR Mailing List: http://1 usa gov/12SkziW http://science.energy.gov/sbir/funding-opportunities/
Additional Resources & Information
http://science.energy.gov/sbir/funding-opportunities/
SBIR vs STTR SBIR vs. STTR • Applicants can apply to either or both programs with a single pp application – If you apply to both programs, you must meet the requirements for both
• Level of Effort Requirement – SBIR • small business must perform >67% of the R&D in Phase I, >50% in Phase II
– STTR requires collaboration with a research institution • small business must perform small business must perform >40% 40% of the R&D in Phases I & II of the R&D in Phases I & II • single research institution must perform >30% of the work in Phases I & II
• Principal Investigator – SBIR SBIR • principal investigator must be principally employed by the small business
– STTR • p principal investigator must be principally employed by the small business or p g p p y p y y research institution
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
33
Letter of Intent (LOI) Submission Letter of Intent (LOI) Submission • Submit LOI online directly to the DOE Portfolio Analysis and Management System (PAMS) website: https://pamspublic.science.energy.gov/ – Select “Create New PAMS Account” (if you do not have an account) – Submit your LOI as a PDF file – Utilize the LOI instructions Utilize the LOI instructions available at the DOE website to ensure that you available at the DOE website to ensure that you submit all the required information – For additional details on the LOI submission process, see the Funding Opportunity Announcement Opportunity Announcement
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
34
Application Statistics for FY 2013 Application Statistics for FY 2013 • Phase II – 223 applications – 108 awards
Awarded (48%) Awarded (48%)
Recommended for Funding‐‐Not Awarded Funding‐‐Not Awarded (9%) Not Recommended for Funding (43%)
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
35
Collaborations with Research Institutions Collaborations with Research Institutions •
STTR
•
– Prior to receiving an award, there must be an agreement between the small business and the the small business and the Research Institution that covers property and commercialization rights. – To simplify the negotiation of this agreement, we provide a model agreement for your use. – Refer to the Phase I FOA for a full Refer to the Phase I FOA for a full definition of a Research Institution
SBIR/STTR Programs Office
SBIR – No restrictions on subcontracting to a Research Institution • Previous Previous waiver requirement for waiver requirement for Federal Labs has been eliminated.)
http://science.energy.gov/sbir/funding-opportunities/
36
Phase I vs Fast Track Applications Phase I vs. Fast‐Track Applications • Applicants may submit either a Phase I or Fast‐Track application to our l b h h k l Phase I Funding Opportunity Announcements • What is a Fast‐Track application? pp – Combined Phase I/Phase II application – Budget period: 33 months • 9 months for Phase I 9 months for Phase I • 24 months for Phase II
– Technical Narrative • Covers the entire budget period
– Commercialization Plan • Requires Phase II Commercialization Plan (Phase I Commercialization Plan not required)
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
37
Fast Track 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 their funding between Phase I and Phase II Current Process: 5 month Phase I 5 month Phase I – II funding gap 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 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 f
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
38
Fast Track FAQ • May I submit both a regular Phase I and a Fast‐Track application for the b b h l h d k l f h same project? – NO. You must submit either a Phase I or a Fast‐Track application, but not both
• What percentage of the awards will be Fast‐Track vs. Phase I? – For FY13 approximately 4% of the applications received were Fast‐Track and Fast Track applications had similar award rates to the Phase I applications Fast‐Track applications had similar award rates to the Phase I applications
• Will all topics accept Fast‐Track applications? – No. Please refer to the topic header within the Phase I Topics document to ensure that Fast‐Track applications are being accepted
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
39
Review and Selection Review and Selection • 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 in Phase I and initial Phase II) Review Criteria (equally weighted in Phase I and initial Phase II) – 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 the application deadline – Reviewer comments will be made available to you. Use this feedback constructively to improve future applications
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
40
DOE SBIR webpage http://science.energy.gov/sbir/ // / /
Funding Opportunities Applicant Resources
Join our mailing list to ensure you are notified when topics and FOAs are posted
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
41
Funding Opportunities Tab
Documents and Webinars for Topics and FOAs are posted here are posted here
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
42
sbir.gov
information on information on solicitations across all federal agencies
SBIR/STTR Programs Office
general general information for those new to SBIR
http://science.energy.gov/sbir/funding-opportunities/
43
www.sbir.gov Solicitation Search
Search all open f federal SBIR/STTR / solicitations
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
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Eligibility & Phased R&D Approach Eligibility & Phased R&D Approach • Small Business Eligibility ll l bl – For‐profit, at least 51% US‐owned, small business with 500 or fewer employees located in the US – Principal Investigator (PI) primary employment must be with the small business for SBIR. For STTR, PI may come from the research institution. – Agencies may ge c es ay aallow companies that are majority‐owned by multiple venture o co pa es t at a e ajo ty o ed by u t p e e tu e capital operating companies, hedge funds, and private equity firms to participate
• Phased R&D Approach Phased R&D Approach
Agency SBIR & STTR allocations can only be used for Phase I and II awards and II awards
– Phase I: Feasibility, 6‐12 months, $150k (typical) – Phase II: Prototype Development, 2 years, $1M (typical) – Phase III: Commercialization, funded by private sector or federal agencies
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
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Important Features of the SBIR/STTR Programs Important Features of the SBIR/STTR Programs • Cost sharing h – NO cost sharing required
• Patent Rights Patent Rights – Small businesses may file for patent rights to inventions resulting from their R&D – Government retains government use rights Government retains government use rights
• Data protection – Data generated from your R&D is protected for a minimum of 4 years after the conclusion of your award
SBIR/STTR Programs Office
http://science.energy.gov/sbir/funding-opportunities/
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