# Presentation: 168548

##  U.S. Department of EnergySmall Business Innovation Research (SBIR)andSmall Business Technology Transfer (STTR)

## Outline for the Presentation

- 1.  SBIR/STTR Basic Information
- 2.  How to Submit Proposals to the DOE
- 3.  How DOE Evaluates Proposals
- 4.  How DOE Promotes Commercialization

## 1. SBIR/STTR Basic Information

-  SBIR/STTR Program Features
-  Three-Phase Programs
-  Level-of-Effort Requirements
-  Implications for Research Institutions
-  Advantages of Collaboration

## Small Business Innovation Research (SBIR)  - 2.5%Small Business Technology TRansfer (STTR) - 0.3%

- Small businesses compete for research grants/contracts in response to technical topics in annual solicitations from 11 Federal agencies.
- Small businesses retain rights to technology, go on to commercialize products/services.
- SBIR, STTR very similar except in STTR the small business must collaborate with a non-profit Research Institution.
- Over $2 billion available annually, government wide; over $100 million at the DOE.

## Three-Phase Programs

**Phase I**:  Feasibility of Idea
- 9 month duration, up to $100,000 each
- Odds of winning: approximately 5-to-1
**Phase II**:  Principal R&D Effort
- 2 years, up to $750,000 each
- Odds of winning: 2-to-1 to 3-to-1
- Only DOE Phase I awardees may apply
**Phase III**:  Commercialization
- Private sector funding
- Gov’t can continue R&D, but no SBIR/STTR funds

## Level-of-Effort Requirements

|  | Small Business  | Research Institution  | Other Consultants/
Subcontractors |
| --- | --- | --- | --- |
| SBIR  | Min. 66% for Phase I
Min. 50% for Phase II  | Participation optional | Participation optional  |
| STTR  | Min. 40% in 
Phases I and II | Min. 30% for
Phases I and II  | Participation optional  |

## Implications for Research Institutions

- Maximum dollars available per project:
- 				_Ph I_		_Ph II_		_Total_
- SBIR		33K		375K		408K
- STTR		60K		450K		510K
- Plus potential commercialization royalties

## Advantages of Collaboration

- Enhanced credibility may increase chances of winning.
- Opportunity for proposal review before submission.
- Opportunity for research ideas to originate in the research institution.
- At some research institutions, the researcher can take a leave of absence to work on an SBIR/STTR project.

## 2.  How to Submit Proposalsto the DOE

- Solicitations
- Technical Topics
- Schedule
- Electronic Submission

## 	 Solicitation Topics Relate to       DOE’s Strategic Goals

**Energy: **Promoting a diverse supply and delivery of reliable, affordable, and environmentally sound energy.
**Science: **Providing world-class scientific research capacity and advancing scientific knowledge.
**Environment: **Protecting the environment.
**Defense: **Protecting our national security using advanced science and nuclear technology.

## Meeting Goals throughTechnical Topics

**Energy**
**Energy Production**
**Current:  Fossil and Nuclear Energy**
**Future:    Fusion and Renewable Energy**
**Energy Efficiency**
**Transportation**
**Buildings **
**Industry**
**Science**
**Materials Sciences**
**Life Sciences**
**High Energy and Nuclear Physics**
**Data Management and Communications**

## Meeting Goals through Technical Topics(continued)

**Environment**
**Environmental Sciences**
**Environmental Management**
**Defense**
**Non-proliferation of WMD**

##  SBIR/STTR – DOE Annual Schedule

| Release of Solicitation | September / October |
| --- | --- |
| Submission deadline | December / January |
| Selection (Phase I) | April / May |
| Grant start date | June / July |

## Accessing Solicitation	

**Also on website:**
- Award winners and project summaries of winning proposals
- SBIR/STTR statistics
- Instructions for submitting Phase II proposals
- Success stories / Accomplishments
- National Laboratory Contacts
- Information for Active Grantees

_**www.science.doe.gov/sbir**_

## Electronic Submission

- Follow submission instructions in Program Solicitation
- Obtain DUNS #
- 1-866-705-5711
- Apply using Industry InteractiveProcurement System
- http://e-center.doe.gov
- To receive grant, register in Central Contractor Registration
- http://www.ccr.gov/

**DOE accepts grant applications in electronic format only.**

## 3.  How DOE Evaluates Proposals

- Administrative Screening
- First Step Technical Review
- External Peer Review
- Scoring, Ranking, Selecting
- Debriefings

## Administrative Screening

- Does applicant meet minimal requirements?  See Application Checklist in Program Solicitation.
- Small number of administrative declines.  Read *carefully*!

## 3.  How DOE Evaluates Proposals

- Administrative Screening
- First Step Technical Review
- External Peer Review
- Scoring, Ranking, Selecting
- Debriefings

## First Step Technical Review

- Not responsive to a technical topic and subtopic
- Compared to the competition, the overall quality of proposal (with respect to the evaluation criteria) is such that the chances of winning an award are slim
- Duplicates work already funded
- Insufficient information for full technical review
- Neither research nor research and development

**  ****Reasons for First-Step Declination:**

## Evaluation Process

- Administrative Screening
- First Step Technical Review
- External Peer Review
- Scoring, Ranking, Selecting
- Debriefings

## External Peer Review

**Reviewer selection**
- Based on proposal itself
- Most from national laboratories, universities
**Evaluation criteria**
- Strength of the scientific/technical approach
- Ability to carry out the project
- Impact

## Phases I & IIEvaluation Criteria

- Strength and innovativeness of the idea and the approach
- Significance of scientific or technical challenge
- Thoroughness of the presentation

**Scientific/Technical Approach**

##  Phases I & IIEvaluation Criteria

- Qualifications of the PI, other key staff, consultants, and the adequacy of equipment and facilities
- Soundness and adequacy of work plan to show progress toward proving feasibility
- Degree to which Phase I has proven feasibility (Phase II only)
- Degree to which the DOE investment would be justified by the proposed effort

**Ability to Carry out the Project**
**in a Cost-Effective Manner**

##  Phases I & IIEvaluation Criteria

- Significance of technical/economic benefits
- Likelihood work will lead to marketable product or process
- Likelihood project could attract further development funding after project ends

**Impact**

##  Phase II onlyEvaluation Criteria

**1⁄2** of Impact criterion score
- Applicant’s record of commercializing SBIR, STTR, or other research
- Phase II funding commitments from private sector or non-SBIR/STTR funding sources
- Phase III follow-on funding commitments

**Commercial Potential**

## Evaluation Process

- Administrative Screening
- First Step Technical Review
- External Peer Review
- Scoring, Ranking, Selecting
- Debriefings

## Scoring, Ranking, Selecting

- Based on peer reviewer evaluations, DOE Topic Managers rate each proposal
- Proposals are candidates for funding if:
- Strong endorsement on at least two criteria
- No reservations on any criterion
- DOE program areas rank candidates for funding and make selections
- Proposals compete within DOE technical program areas

## Evaluation Process

- Administrative Screening
- First Step Technical Review
- External Peer Review
- Scoring, Ranking, Selecting
- Debriefings

## Debriefings

- Written reviewer comments automatically sent to awardees.
- Written evaluation comments sent upon request to non-awardees that request a debriefing within 30 days after notification.

## 4.  How DOE Promotes   Commercialization

- Information and success stories gathered from Phase II awardees
- Commercialization Assistance

## Commercialization Assistance

- Assistance with market research and business planning
- Identification of potential partners and investors
- Guidance in developing materials and presentations for potential investors.
- Participation in Commercialization Forum—awardees make presentations to venture capitalists and large company representatives.

## DOE SBIR/STTR Program Contact Information

- Web:  _[www.science.doe.gov/sbir](http://www.science.doe.gov/sbir)_
- Email:  _[sbir-sttr@science.doe.gov](mailto:sbir-sttr@science.doe.gov)_

- Phone:  301-903-1414
- Fax:  301-903-5488