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 Offi DOE SBIR/STTR Programs Office 2014 Kentucky SBIR/STTR Annual Conference April 11 2014 April 11, 2014
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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 OffiDOE SBIR/STTR Programs Office
2014 Kentucky SBIR/STTR Annual Conference
April 11 2014April 11, 2014
DOE Mission Organization andDOE Mission, Organization, and R&D Programsg
U S Department of Energy MissionU. 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 1 C l h i l i l d ffi i f i f h i ' 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 Program Offices Supporting Goal 2: Science and Engineering Leadership
d d f R&D T i• Advanced Scientific Computing Research
• Basic Energy Sciences
R&D Topics• Advanced Detectors• Accelerator technology• RF Components and Systemsgy
• Biological and Environmental Research• Fusion Energy Sciences
RF Components and Systems• Data Acquisition, Processing and Analysis• Fusion Energy Systems• High Performance Computing & NetworkingM d li d Si l ti• High Energy Physics
• Nuclear Physics
• Modeling and Simulation• Atmospheric Measurement Technology• Genomic Science and Related Biotechnologiesg
DOE Program Offices SupportingGoal 3: Nuclear Security
f l l f• Defense Nuclear Nonproliferation• Environmental Management
R&D Topics• Novel Radiation Monitoring Concepts• In Situ Remediation• Facility Deactivation and Decommissioning• Remote Sensing• Global Nuclear Safeguards R&DN l D t ti D t ti• Nuclear Detonation Detection
Features of the DOE SBIR/STTR Programs• Competitive Grants Driven Program• Two Phased Approach• 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 C bi d Ph I d Ph II N F di G– 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 IIp ,• 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
• Reviewers agree that (1) they will keep application information confidentialReviewers agree that (1) they will keep application information confidential and (2) they do not have a conflict of interest in reviewing the application.
• Office of Advanced Scientific Computing Research• Office of Basic Energy Sciences• Office of Biological and Environmental ResearchOffi f D f N l N lif i(Summer) • Office of Defense Nuclear Nonproliferation
• Office of Nuclear Physics• Office of Environmental Management
h• Office of Electricity Delivery and Energy Reliability
Phase IRelease 2(Fall)
• Office of Energy Efficiency and Renewable Energy• Office of Fusion Energy Sciences• Office of Fossil Energy
ff f h h• Office of High Energy Physics• Office of Nuclear Energy
Topics Issued July 14, 2014 October 27, 2014- Topic Webinar Week of July 21, 2014 Week of November 3, 2014
Funding Opportunity A t (FOA) I d
August 11, 2014 November 24, 2014Announcement (FOA) Issued
- FOA Webinar August 15, 2014 December 2, 2014
Letters of Intent Due September 2 2014 December 15 2014Letters of Intent Due September 2, 2014 December 15, 2014Full Applications Due October 14, 2014 February 3, 2015Award Notification Early January 2015 Late April 2015y y p
Grant Start Date Mid-February 2015 Early June 9, 2015
*FY is Fiscal Year and each federal FY begins October 1
Example Topic 7.InstrumentationforAdvancedChemicalImagingMaximum Phase I Award Amount: $150,000 Maximum Phase II Award Amount: $1,000,000
• Topic & Subtopic– You must specify the topic
and subtopic in your letter of
Maximum Phase I Award Amount: $150,000 Maximum Phase II Award Amount: $1,000,000 Accepting SBIR Phase I Applications: YES Accepting SBIR Fast-Track Applications: YES Accepting STTR Phase I 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 and subtopic in your letter of
intent and application• Topic Header
Li t th i d
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 li ti ht l i th f ll i bt i – List the maximum award
amounts for Phase I & Phase II ant the types of application accepted
Grant applications are sought only in the following subtopics: 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 Ultrafast laser technologies can provide temporally resolved chemical information via optical p
• Program Manager – Each subtopic lists the
responsible DOE program
to 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 molecular scale for ultrafast spectroscopic imaging instrumentation available to the research scientist. responsible DOE program
manager• Other Subtopic – Check on it!• References
p p g gThe 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, [email protected] • References 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.
Example Technology Transfer Opportunity Topic• Technology Transfer
OpportunityTh i b i
10. TECHNOLOGY TRANSFER OPPORTUNITIES: BASIC ENERGY SCIENCES Maximum Phase I Award Amount: $225,000 Maximum Phase II Award Amount: $1,500,000 Accepting SBIR Phase I Applications: YES Accepting SBIR Fast-Track Applications: YES – The topic or subtopic
Applicants to Technology Transfer Opportunities should review the section describing Technology Transfer Opportunities on page 1 of this document prior to submitting applications. Grant applications are sought only in the following sub-topics:
– The DOE National Lab or university responsible for the TTO is listed along
G a t app cat o s a e soug t o y t e o o g 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 d t th i l t f t t f l i Th d i h b h t id TTO is listed along
with contact information and other references
focused spray to the inlet of a mass spectrometer for analysis. The device has been shown to provide 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.
– Please contact the Lab
or university to obtain information about the TTO
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/nph-Parser?Sect1=PTO2&Sect2=HITOFF&p=1&u=%2Fnetahtml%2FPTO%2Fsearch-bool html&r=1&f=G&l=50&co1=AND&d=PTXT&s1=8097845 PN &OS=PN/8097845&RS=PN/8097845 TTO
• DOE Program Manager
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; [email protected] or Julia Laskin; (509) 371-6136; [email protected] Questions – contact [email protected]
Top 5 Application ErrorsTop 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 Errors (may limit funding eligibility or delay award processing if• Other 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
Evaluation Criteria for Phase I and II ProposalsEvaluation Criteria for Phase I and II Proposals1.Strength of the Scientific/Technical Approach – 33% (Phase IIB = 25%)
a) To what extent does the proposed work build upon or move beyond the current state‐of‐the‐art?b) How new or unique is the idea?c) How significant is the scientific and/or technical challenge?d) Is a breakthrough possible?e) Has the applicant demonstrated knowledge of the subject?f) How thoroughly have the concepts been presented?
2.Ability to Carry out the Project in a Cost Effective Manner – 33% (Phase IIB = 25%)) Pl h lifi i f h P i i l I i (PI) h k ff d l ifa) 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% (Phase IIB = 50%)a) Please comment on the significance of the technical and/or economic benefits of the proposed work, if
successfulb) 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 sectorc) 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 vs STTRSBIR vs. STTR• Applicants can apply to either or both programs with a single
application pp– If you apply to both programs, you must meet the requirements for both
• Level of Effort Requirement– SBIRSBIR
• 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 >40% of the R&D in Phases I & IIsmall business must perform 40% of the R&D in Phases I & II• single research institution must perform >30% of the work in Phases I & II
• Principal Investigator– SBIRSBIR
• principal investigator must be principally employed by the small business– STTR
• principal investigator must be principally employed by the small business or p p g p p y p y yresearch institution
Letter of Intent (LOI) SubmissionLetter 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 available at the DOE website to ensure that youUtilize the LOI instructions 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
b b h l h d k l f h• May I submit both a regular Phase I and a Fast‐Track application for the 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 applicationsFast‐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
• 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 deadlinethe application deadline– Reviewer comments will be made available to you. Use this feedback
ll l b l• Small Business Eligibility– 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 allow companies that are majority‐owned by multiple venture ge c es ay a 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