Overview of the DOE’s S mall B usiness I nnovation R esearch (SBIR) and S mall Business T echnology TR ansfer (STTR) Programs Chris O’Gwin DOE SBIR/STTR Programs Office May 27, 2014
DOE Mission, Organization, and R&D Programs http://science.energy.gov/sbir/funding-opportunities/
U. S. Department of Energy Mission • To ensure America's security and prosperity by addressing its energy, environmental, and nuclear challenges through transformative To ensure America’s energy security and prosperity science and technology solutions. Goal 1: Catalyze the timely, material, and efficient transformation of the nation's Accelerating Clean Energy – Applied Research 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 Promoting S&T – Basic Science Research of our economic prosperity, with clear leadership in strategic areas. Enhancing Nuclear Security – RWD&R Goal 3: Enhance nuclear security through defense, nonproliferation, and environmental efforts. SBIR/STTR 3 http://science.energy.gov/sbir/funding-opportunities/ Programs Office
DOE Program Offices Participating in SBIR/STTR DOE SBIR/STTR Programs Office Advanced Scientific Computing Research Basic Energy Sciences Biological & Environmental ARPA-E SBIR/STTR Research Programs Fusion Energy Sciences High Energy Physics Science Nuclear Physics Fossil Energy Defense Nuclear Nonproliferation Energy Efficiency & Renewable Energy Nuclear Energy Electricity Delivery Environmental & Management Energy Reliability SBIR/STTR http://science.energy.gov/sbir/funding-opportunities/ 4 Programs Office
DOE Program Offices Supporting Goal 1: Clean Energy Technologies R&D Topics • Electricity Delivery and Energy Reliability • Clean Coal Technologies • Advanced Turbine Technology • Energy Efficiency and Renewable Energy • Oil and Gas Technologies • Fossil Energy • Sensor Technologies • Advanced Materials and • Nuclear Energy Technologies for Nuclear Energy • Smart Grid Technologies • Bio-energy & Biofuels • Hydrogen & Fuel Cells • Solar Power • Water Power • Wind Energy • Energy Storage SBIR/STTR http://science.energy.gov/sbir/funding-opportunities/ 5 Programs Office
DOE Program Offices Supporting Goal 2: Science and Engineering Leadership • R&D Topics Advanced Scientific Computing • Advanced Detectors Research • Accelerator technology • Basic Energy Sciences • RF Components and Systems • Data Acquisition, Processing and Analysis • Biological and Environmental Research • Fusion Energy Systems • Fusion Energy Sciences • High Performance Computing & Networking • Modeling and Simulation • High Energy Physics • Atmospheric Measurement Technology • Nuclear Physics • Genomic Science and Related Biotechnologies • Advanced Sources: neutron, x-ray, electron SBIR/STTR http://science.energy.gov/sbir/funding-opportunities/ 6 Programs Office
DOE Program Offices Supporting Goal 3: Nuclear Security • Defense Nuclear Nonproliferation R&D Topics • Environmental Management • Novel Radiation Monitoring Concepts • In Situ Remediation • Facility Deactivation and Decommissioning • Remote Sensing • Global Nuclear Safeguards R&D • Nuclear Detonation Detection SBIR/STTR http://science.energy.gov/sbir/funding-opportunities/ 7 Programs Office
Operation of the DOE SBIR and STTR Programs • DOE Program Offices • DOE Program Offices • • DOE Program Offices DOE Chicago Office • DOE Program Offices – • Develop Topics DOE Program Offices • – DOE Program Offices Develop Topics – • Negotiate Grants – DOE Program Office Develop Topics – – Identify Reviewers Develop Topics – Develop Topics – – – Issue New and Identify Reviewers – Develop Topics Develop Topics – – Identify Reviewers – Select Awardees Identify Reviewers – Continuation Awards Identify Reviewers – – – Identify Reviewers Select Awardees Identify Reviewers – – Select Awardees Manage Projects – – Select Awardees Grant Closeout – (Scientific Peer Review) Select Awardees – – Manage Projects Select Awardees – Manage Projects – – Manage Projects Recommend Awardees – Manage Projects – Manage Projects – Single Grants Office for Awardees Manage Projects 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 Single Administrative Office for Applicants SBIR/STTR http://science.energy.gov/sbir/funding-opportunities/ 8 Programs Office
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) – Fast-Track – Combined Phase I and Phase II – No Funding Gap – 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 • 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 10 http://science.energy.gov/sbir/funding-opportunities/ Programs Office
DOE’s SBIR/STTR Budget vs. Awards (in Millions $) SBIR STTR Totals FY 2013 Budget $155 + $20 = $175 Phase I Awards 214 + 30 = 244 Phase II Awards 93 + 14 = 107 DOE R&D Set-Aside 2.7% + 0.35% = 3.05% (Approx. $6.0 Billion in Extramural DOE R&D) SBIR/STTR 11 http://science.energy.gov/sbir/funding-opportunities/ Programs Office
SBIR/STTR Budgets by Agency FY 2013 NSF NASA All Agencies with SBIR and STTR Programs DOE Others Department of Defense (DOD) $ 1.0 B Department of Health and Human Services (HHS): $697.0 M National Institutes of Health (NIH) Department of Energy (DOE), including ARPA-E ($8.9M) $183.9 M NIH National Science Foundation (NSF) $153.0 M National Aeronautics and Space Administration (NASA) $ 48.8 M Agencies with SBIR Programs U.S. Department of Agriculture (USDA) $18.4M DOD Department of Homeland Security (DHS): Science $15.7 M and Technology Directorate (S&T) and Domestic Nuclear Detection Office (DNDO) Department of Education (ED) $13.4 M ~ $2.3B in FY13 Department of Transportation (DOT) $ 7.6 M Across all Agencies Department of Commerce: National Oceanic and $7.4 M Atmospheric Administration (NOAA) and National Institute of Standards and Technology (NIST) Environmental Protection Agency (EPA) $3.8 M SBIR/STTR http://science.energy.gov/sbir/funding-opportunities/ Programs Office
Application Statistics for FY 2013 (Includes FY12 Release 3, approx. 500 applications) • Phase I • Fast-Track – 2,266 applications – 63 applications – 320 awards – 7 awards Awarded (11%) Awarded (14%) Recommended for Recommended for Funding--Not Funding--Not Awarded (10%) Awarded (14%) Not Recommended Not Recommended for Funding (71%) for Funding (66%) Declined without Declined without Review (8%) Review (6%) SBIR/STTR http://science.energy.gov/sbir/funding-opportunities/ 13 Programs Office
Technical Reviewer Affiliation Phase I Reviewer Affiliation Government 10% Private Sector 9% National Laboratory 49% University 32% • 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 http://science.energy.gov/sbir/funding-opportunities/ 14 Programs Office
DOE SBIR & STTR Programs: Application & Award Process http://science.energy.gov/sbir/funding-opportunities/
Phase I Funding Opportunity Announcements Participating DOE Programs (FY15) • Office of Advanced Scientific Computing Research (ASCR) Phase I • Office of Basic Energy Sciences (BES) Release 1 • Office of Biological and Environmental Research (BES) (Summer) • Office of Nuclear Physics (NP) • Office of Defense Nuclear Nonproliferation (NA) • Office of Electricity Delivery and Energy Reliability (OE) Phase I • Office of Energy Efficiency and Renewable Energy (EERE) • Office of Fossil Energy (FE) Release 2 • Office of Fusion Energy Sciences (FES) (Fall) • Office of High Energy Physics (HEP) • Office of Nuclear Energy (NE) SBIR/STTR Programs Office 16
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