U.S. Department of Energy

U.S. Department of Energy

SBIR/STTR Program


In Support of:


2009 Florida SBDC Network SBIR/STTR
Phase I Workshop and Conference

March 2009

Ft. Myers, Florida

SBIR/STTR Supporting

the DOE Primary Missions

1.
Advancing the Nation’s Economic and
Energy Security

2.
Promoting Scientific and Technological
Innovation

3.
Ensuring the Environmental Clean
-
Up of the
National Nuclear Weapons Complex

DOE SBIR/STTR

Program Features


SBIR/STTR is a
Competitive

Grants Driven Program


Electronic Applications Accepted Only via (
www.Grants.gov
)


Annual Solicitations: Phase I (fall) & Phase II (spring)


$100K Phase I (9 months)
–

Feasibility


$750K Phase II (24 months)
–

Development


Must Be Awarded DOE Phase I to Compete in Phase II


SBIR
: PI must be Employed by the Small Business


STTR
: PI may be Employed by Either the Small Business or
Research Partner


Offer Substantial Commercialization Assistance & Support

The Department of Energy’s

SBIR/STTR Solicitation Schedule

Annual Solicitation

Phase I

Phase II

Release Date:

September

February

Closing Date:

November

April

Award Selections:

May

June

Grants Begin:

June

July

FY 2009 SBIR/STTR

TECHNICAL TOPIC

CATEGORIES

Energy Efficiency & Renewable Energy

18

Fossil Energy

8

High Energy

7

Basic Energy Sciences

6

Biological & Environmental Research

6

Advanced Scientific Computing Research

5

Nuclear Physics

4

National Security


4


Fusion Energy

3

Electricity Delivery/Reliability

2

Environmental Management


1

Nuclear Energy

1

Data Management and Communication

1


Total Topics

66

SBIR/STTR
BUDGET/AWARDS

SBIR
STTR
Budget

FY 2008 (Actual)
$124M
$15M
FY 2009 (Approx.)
~$149M
~$18M
DOE R&D Set-Aside
2.50%
0.30%
Award Selections
FY 2008 Phase I
280 ($100K)
38 ($100K)
FY 2008 Phase II
144 ($750K)
20 ($750K)
FY 2009 Phase I (Approx.)
336 ($100K)
45 ($100K)
FY 2009 Phase II (Approx.)
170 ($750K)
24 ($750K)
Topics and Number of Applications

SBIR/STTR FY 2009

Office of Basic Energy Science (88)

Topic 3. Advanced Sources for Accelerator Facilities (16)

Topic 4. Ancillary Technologies for Accelerator Facilities (17)

Topic 5. Instrumentation for Electron Microscopy & Scanning Probe Microscopy (18)

Office of Fossil Energy (123)

Topic 25. Climate Control Technology for Fossil Energy Applications (22)

Topic 27. Coal Gasification Technologies (18)

Topic 30. Advanced Turbine Technology for IGCC Power Plants (19)

Topics and Number of Applications

SBIR/STTR FY 2009

Office of Energy Efficiency and Renewable Energy (673)

Topic 18. Production of Biofuels From Biomass (44)

Topic 19. Advanced Water Power Technology Development (42)

Topic 22. Hydrogen, Fuel Cells, and Infrastructure Technologies (29)

Topic 24. Improved Motor Designs & Power Electronics Advancements For
Hybrid & Plug
-
In Hybrid Electric Vehicles (22)

Office of High Energy Physics (140)

Topic 36. High
-
Field Superconductor and Superconducting Magnet Technologies
for High Energy Particle Colliders (26)

Topic 38. Advanced Concepts and Technology for High Energy Accelerators (38)

Topic 39. Radio Frequency Accelerator Technology for High Energy Accelerators
and Colliders (32)


Office of Nuclear Physics (103)

Topic 46. Nuclear Physics Accelerator Technology (46)

Topic 49. Nuclear Physics Instrumentation, Detection Systems and Techniques(37)


Office of Biological and Environmental Research (90)

Topic 40. Atmospheric Measurement Technology (16)

Topic 43.

Carbon Cycle Measurements of the Atmosphere and the Biosphere (27)

Topics and Number of Applications

SBIR/STTR FY 2009

Office of Biological and Environmental Research (90)

Topic 40. Atmospheric Measurement Technology (16)

Topic 43.

Carbon Cycle Measurements of the Atmosphere and the Biosphere (27)

Office of Advanced Scientific Research (60)

Topic 51. Scientific Visualization and Data Understanding (20)

Topic 52. High Performance Networks (18)


Office of Fusion Energy Sciences (64)

Topic 55. Advanced Technologies and Materials for Fusion Energy Systems
Plasma Facing Components (37)


Office of Defense and Nuclear Nonproliferation (42)

Topic 58. Remote Sensing (24)

Topics and Number of Applications

SBIR/STTR FY 2009

FY 2009 SBIR/STTR
Most Popular Topics

Topic 23. Solar Energy (130)
-

EERE

Topic 20. Wind Energy Technology Development (62)
-

EERE

Topic 11. Advanced Materials & Technologies for Cooling & Waste Heat Recovery (60)
-

EERE

Topic 13. Catalysis (54)
-

EERE

Topic 46. Nuclear Physics Accelerator Technology (46)
-

NP

Topic 18. Production of Biofuels From Biomass (44)
-

EERE

Topic 12. Energy Efficient Membranes (43)
-

EERE

Topic 19. Advanced Water Power Technology Development (42)
-

EERE

Topic 38. Advanced Concepts & Technology For High Energy Accelerators (38)
-

HEP

Topic 39. Radio Frequency Accelerator Technology For High Energy Accelerators &
Colliders (37)
-

HEP

Topic 49. Nuclear Physics Instrumentation, Detection Systems & Techniques (37)
-

NP

SBIR/STTR Phase I Evaluation Process


ADMINISTRATIVE REVIEW



FIRST STEP REVIEW

(and Declination)


EXTERNAL PEER REVIEW



SCORING/RANKING



AWARD SELECTION



GRANT NEGOTIATIONS



FORMAL AWARDS



REVIEWER DEBRIEFINGS

Reasons for First Step Review
Proposal Declinations


The application is not responsive to the technical topic and subtopic


The project is not for research or research and development


The proposed project duplicates work that has already been funded


The application does not provide enough information to conduct
further review


There is a COI with respect to topic preparation


The application does not stand a reasonable chance of being funded
compared to other applications received in the same topic/subtopic

DOE SBIR/STTR

Evaluation Criteria for

Phase I and II Proposals

1.
Strength of the Scientific/Technical Approach

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

a)
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

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 sources, Federal, non
-
SBIR/STTR sources) after the SBIR/STTR project expires.

Evidence of Commercial Potential (Phase II Only)

DOE’s
Average

Annual

SBIR/STTR Award Statistics


Phase I:


~1,600

~330 @ ~$100K


Phase II:


~260


~125 @ ~$750K


Proposals Rec’d

vs.
Awards Made


Phase I: Applicant has a
20%

Chance of Award

Phase II: Applicant has a
50%

Chance of Award

Basic Awardee Characteristics


281 SBIR Awards to 192 Small Businesses


Of these, 55 or 29% Were First
-
time DOE Winners


35 or 64% of the 55 First
-
time Winners Were First
-
time DOE Applicants


Awards Made in 33 States

FY 2008 SBIR Phase I

Serving Small Business . . . Technology
and Commercialization Assistance

Web
-
Based, Technology Assistance Tools:

Pre
-
Phase I, Self
-
Help/
-
Paced
Technology Assistance


Go/NoGo™ Assessment


Leads You Through Data That Answers Both Questions of
Uniqueness
&
Usefulness
of Your Technology


Tutorials
-

To Improve Your SBIR Proposal


How to Use & Build Upon Your Go/NoGo™ to Write A Better Phase I
Proposal


Marketing Fact Sheet


Marketing Material Template For Potential Phase III Partners, Experts, End
-
users, and Other Stakeholders


It Can Be Attached To Emails, Mailed Separately, or Handed
-
Out at Trade
Fairs or Other Marketing Venues

Serving Small Business . . . Technology
and Commercialization Assistance

Tech Assist, Web
-
Based Tools
–

Continued
(Pre
-
Phase I & Phase I)



Comm101™


E
-
training Course
-

Commercializing New Technologies


A Basic Primer on SBIR R&D Commercialization


“What Every Researcher Needs to Know About Commercialization”


how to improve your technology’s commercialization prospect; and how deals
are really done


SBA's Phase I Proposal Preparation Handbook


Well Written Primer on SBIR Proposal Preparation Authored by FS&T
While Under Contract to SBA

Centralized Web Repository: R&D
-
Specific Industry Data


Market Overviews


Market Information Summaries For a Number of Industries


Technology Roadmaps


Documents Developed By Governments, Industry Associations, and
Other Authoritative Groups


Provide Consensus Technology Objectives Needed to Sustain Short
-
,
Mid
-
, and Long
-
term Progress for Specific Applications


Addresses Wide Range of Industrial Sectors and Applications, including
Company Names, Government Agencies, and Experts Who Participated
In Their Preparation


Regulations and Standards Applicable to SBIR


Searchable List of Standards
-

By Promulgators Or Topics Across A
Wide Range of Industries And Technologies

Serving Small Business . . . Technology
and Commercialization Assistance

Serving Small Business . . . Technology
and Commercialization Assistance


Trailblazer™

Assessment

(Initiated early in Phase I Award)


Identifies Major Market Niches for Commercialization


Develops a Value for the Technology (“Quick & Low Cost”)


Identifies Commercialization Vehicles & Maps
-
Out Market Path


TNA™ Assessment
(
Initiated mid
-
Phase II)


Assesses Potential Applications for an Innovation or Technology


Individualized Market Entry Strategy & Launch Tactics


Deal Advisories™


Venture Capital Contacts


Venture Contacts Searchable By State And Fields In Which they Invest


Pipeline Partners


Catalogue of Companies & Key Individuals Interested in Licensing New Technology


K2™: Know
-
How Knowledge Basecamp


Collaborative Wiki
-
Format, Knowledge
-
Sharing Site


“Tricks of The Trade . . . If We Do Not Capture It, It Gets Lost”

Page
REQUIREMENTS FOR Grants.gov
4
A. Where to Submit
4
B. Registration Requirements
4
DOE Funding Opportunity Announcement

Table of Contents

Page
Page
REQUIREMENTS FOR Grants.gov
4
Part V – APPLICATION REVIEW INFORMATION
28
A. Where to Submit
4
A. Criteria
28
B. Registration Requirements
4
B. Review and Selection Process
29
C. Questions
4
C. Anticipated Notice of Selection and Award Dates
30
D. Application Receipt Notices
4
Part VI - AWARD ADMINISTRATION INFORMATION
30
PART I – FUNDING OPPORTUNITY DESCRIPTION
6
A. Award Notices
30
PART II – AWARD INFORMATION
6
B. Administrative and National Policy Requirements
31
A. Type of Award Instrument
6
C. Reporting
32
B. Estimated Funding
6
PART VII - QUESTIONS/AGENCY CONTACTS
32
C. Maximum and Minimum Award Size
7
A. Questions
32
D. Expected Number of Awards
7
B. Agency Contacts
33
E. Anticipated Award Size
7
PART VIII - OTHER INFORMATION
33
F. Period of Performance
7
A. Modifications
33
G. Type of Application
7
B. Government Right to Reject or Negotiate
33
PART III – ELIGIBILITY INFORMATION
7
C. Commitment of Public Funds
33
A. Eligible SBIR Applicants
7
D. Proprietary Application Information
33
B. Eligible STTR Applicants
8
E. Evaluation and Administration by Non-Federal Personnel
34
Federally Funded Research and Development Center Contractors
9
F. Intellectual Property Developed Under this Program
34
A. Cost Sharing
10
G. Notice of Right to Request Patent Waiver
36
B. Other Eligibility Requirements
10
H. Notice Regarding Eligible/Ineligible Activities
36
PART IV – APPLICATION AND SUBMISSION INFORMATION
12
A. Address to Request an Application Package
12
Tables
B. Letter of Intent and Pre-Application
12
C. Content and Forms of SBIR/STTR Application
13
Table 1 - Summary of Required Forms/Files
25
D. Submissions from Successful Applicants
25
Table 2 - List of Acronyms
37
E. Submission Dates and Times
26
F. Intergovernmental Review
26
G. Other Submission And Registration Requirements
27
REQUIREMENTS FOR
GRANTS.GOV


A. Where to Submit



Applications must be submitted through the
Grants.gov

portal to be considered for award. You cannot
submit an application through
Grants.gov

unless you are registered.


Please read the registration
requirements carefully and start the process immediately.


Please note that you have to update your
Central Contract Registry (CCR) registration annually.


If you have any questions about your
registration, you should contact the
Grants.gov

Helpdesk at 1
-
800
-
518
-
4726 to verify that you are still
registered in the
Grants.gov

system.



B. Registration Requirements


There are several one
-
time actions you must complete in order to submit an application through
Grants.gov
, e.g., obtain a Dunn and Bradstreet Data Universal Numbering System (DUNS) number,
register with the Central Contract Registry (CCR), register with the credential provider, and register
with
Grants.gov
.

1.
See
http://www.grants.gov/applicants/get_registered.jsp
; and

2.
Use the
Grants.gov

Organization Registration Checklist at
http://www.grants.gov/assets/OrganizationRegCheck.doc

to guide you through the process.


Designating an E
-
Business Point of Contact (EBiz POC) and obtaining a special password called an MPIN are important steps in
the CCR registration process. Applicants, who are not registered with CCR and
Grants.gov
, should allow at
least 21 days to complete these requirements.




IMPORTANT NOTICE TO POTENTIAL APPLICANTS:


When you have completed the
process, we recommend that you call the
Grants.gov

Helpdesk at 1
-
800
-
518
-
4726 to verify that you
have completed the final step, i.e., completed as per the
Grants.gov

registration instructions.

DOE SBIR/STTR Program

Contact Information


Web:
www.science.doe.gov/sbir



Email:
sbir
-
sttr@science.doe.gov



Phone: 301
-
903
-
1414

DOE SBIR/STTR Presentations May Be Found at:

http://www.science.doe.gov/sbir/NEWWEB/presentation.ppt