DOE Phase 0 Assistance Program

Size: px

Start display at page:

Download "DOE Phase 0 Assistance Program"

Dulcie Gilmore
5 years ago
Views:

1 DOE Phase 0 Assistance Program PRESENTED BY Christopher Kaufman, PhD, MS ckaufman@dawnbreaker.com FUNDED BY DOE ADMINISTERED BY DAWNBREAKER

2 AGENDA 1. Overview of SBIR/STTR Grants 2. Is a SBIR/STTR Grant Right for You? 3. DOE SBIR/STTR Program 4. DOE Phase 0 Program DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 2

3 SBIR/STTR Grants Overview Ø A federal program providing non-dilutive seed funding for technology start-ups SBIR Small Business Innovation Research STTR Small Business Technology Transfer DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 3

4 SBIR/STTR Grants Overview SBIR Small Business Innovation Research Applicants are small for-profit businesses PI s primary employment must be with the small business (>50% of time) Proposing firm must perform at least 2/3 rds of the R&D work in Phase I and at least 1/2 in Phase II DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 4

5 SBIR/STTR Grants Overview STTR Small Business Technology Transfer Applicants are small businesses in partnership with a Research Institution (University) Proposing firm must perform at least 40% of the work and the collaborating research institution performing no less than 30% DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 5

6 SBIR/STTR Program Goals Small Business Innovation Research (SBIR) Stimulate technological innovation Use small business to meet Federal R&D needs Foster and encourage participation by women and socially and economically disadvantaged persons in technological innovation Increase private-sector commercialization of innovations derived from Federal R&D Small Business Technology Transfer (STTR) Stimulate and foster scientific and technological innovation through cooperative research and development carried out between small business concerns and research institutions Foster technology transfer between small business concerns and research institutions DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 6

7 SBIR/STTR Grant Phases Phase I $150K 9 Months Phase II $1.0M 2 Years Phase III Non-SBIR Funding Idea Generation Proof of Concept Principal R&D Prototype Development Production Commercialization DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 7

8 SBIR/STTR Agency Overview $1.02B $643M $148M $133M $127M Total FY 2012 DOE NASA NSF All Others DOD SBIR $2.12B $534M Phase I $990M Phase II NIH STTR $272M $79M Phase I $149.5M Phase II DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 8

9 Is SBIR/STTR Right for Your Company? Ø What are you trying to accomplish? Just want to tinker in your lab? Wrong program Just need marketing money for existing products? Wrong program Just making incremental changes to proven technologies? Wrong program Have an unproven Innovation that, if it DOES work, will have great commercialization potential? Right program DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 9

10 Is SBIR/STTR Right for Your Company? Ø Does your firm qualify? 500 employees Organized as a for-profit business Be independently owned and operated Majority US owned/located 50% owned by US citizens or permanent residents All work must be performed in the US DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 10

11 Is SBIR/STTR Right for Your Company? Ø Can you meet other requirements? Need a Principal investigator (PI) SBIR: PI must be primarily employed at your firm STTR: PI must be primarily employed at your firm or at the non-profit research partner A credible team to do the work you are proposing DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 11

12 Is DOE the Right Agency for You? DOE has specific topics Must align with one of the topics/subtopics DOE topics/subtopics are specified by different program offices Access full topic/subtopic descriptions, webinars (recorded) on each topic at DOE has 2 solicitations/foas per year, but most program offices participate in only one solicitation per year Don t force a fit between your idea and a DOE topic Try another agency s SBIR/STTR program that might be a better fit Do consider submitting your idea to multiple agencies with relevant topics DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 12

13 Contact the Agency First Ø Helps your SBIR/STTR strategy Identify the agency s needs addressed by the topic Assess appropriateness of your idea for a particular topic Identify other potential opportunities DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 13

14 Contact the Agency First Look through topics list first Be prepared: have elevator speech or white paper that briefly describes your technology or idea Have a prioritized list of questions Send an with your summary and schedule a time to talk with the topic author Spend about minutes on the phone DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 14

15 SBIR/STTR Evaluation Criteria Significance Is the problem important? Innovation Will it make a difference? Investigators Is your team qualified? Approach Is your project well defined? Resources Is your team, resources, and budget well aligned? Commercialization Do you have a believable business model? DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 15

16 DOE SBIR/STTR Phase I Process DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/

17 DOE SBIR/STTR Topic Focus Clean Energy Fossil, Nuclear and Renewable Energy (energy production and use in buildings, vehicles, and industry) and Electricity Delivery and Reliability Basic Science and Engineering Fundamental Energy Sciences, including materials, life, environmental, and computational sciences, and Fusion Energy, High Energy and Nuclear Physics Nuclear Security Environmental Management and Nuclear Nonproliferation DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 17

18 DOE Offices in Each Solicitation/FOA FY16 Release #1 Proposals due Oct 2015 FY16 Release #2 Proposals due Feb 2016 Offices of Advanced Scientific Computing Research Basic Energy Sciences Biological and Environmental Research Nuclear Physics Offices of Defense Nuclear Nonproliferation Electricity Delivery & Energy Reliability Energy Efficiency & Renewable Energy Fossil Energy Fusion Energy Sciences High Energy Physics Nuclear Energy DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 18

19 Why Phase 0 Assistance Program? No Time Start Too Late" Numerous registrations PAMS, SAM, grants.gov, etc." Understanding DOE s mission" Commercialization planning" A Winning Team" Relationship building" Indirect Rate/Fee" Writing a Compelling Proposal" DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 19

20 Why Phase 0 Assistance Program? Percentage DOE SBIR/STTR Phase I Awards DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/

21 DOE Phase 0 Applicant Eligibility Women or minority owned small businesses that work with advanced technologies, located anywhere in the US and its territories OR Small, advanced technology firms located in the following 23 states and 2 territories: AK, DC, GA, HI, IA, ID, IN, KS, LA, ME, MN, MS, MT, NC, ND, NE, NY, OK, PA, PR, RI, SC, SD, WA, WI AND Has NOT received a DOE SBIR/STTR award within the past 3 years or received duplicative technical assistance from DOE in the past 24 months for the same idea. DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 21

22 DOE SBIR/STTR Phase 0 Outreach and Assistance Program Goal Increase the number of high quality SBIR/STTR proposals from under-represented small businesses 1. Identify And Recruit Qualified Applicants 2. Provide Proposal Support and Mentoring 3. Provide Continuing Education DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 22

23 Dawnbreaker DOE Phase 0 Team Dawnbreaker Business Mentors Market Researchers Outreach Intellectual Property Advisor Technology Experts The Greenwoods ReliAscent DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 23

24 Started 20 years ago by Dr. Jenny Servo Provides commercialization assistance to small businesses working on advanced technology Located in Rochester, NY and employs over 70 people Government contractor DOE, NSF, Navy, DHS Provided assistance to over 4,500 companies DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 24

25 Program Web Site DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/

26 Application Process DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 26

27 Screening Process Application is simple and on-line Follow-up phone call from Dawnbreaker to discuss application within 1-2 days Additional questions asked to determine if you have had previous awards, your experience with applying, if you are working with a state or other organization, etc. Concept needs to be refined, illustrative, and fit a current topic/subtopic DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 27

28 Phase 0 Services LOI Submission Assistance Phase I Proposal Prep, Review, Submission Assistance Small Business Development Training & Mentoring Communication & Market Research Assistance Technology Advice & Consultation Intellectual Property Consultation Indirect Rate & Cost Proposal Assistance DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 28

29 Phase 0 Services Letter of Intent (LOI) Submission Assistance DOE is unique in requiring a 500 word LOI LOI due a month after the FOA is released Used to select appropriate reviewers Used to determine responsiveness to topic Need a well developed, 2-page description of the technology and its application DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 29

30 Phase 0 Services Phase I Proposal Prep, Review, Submission Assistance Qualified applicants will work with a business coach Advise on how to develop and structure the proposal Help establish and maintain a schedule Review proposal draft Aid in ensuring all registrations are done in timely manner DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 30

31 Phase 0 Services Small Business Development Training & Mentoring Interaction with a business coach to determine status of company Team/Company Value Proposition/IP Market Definitions Revenue Forecast Review of Commercialization Plan DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 31

32 Phase 0 Services Market Research Assistance Market considerations often not considered until late in the process This service will facilitate taking a quick look at the market before you begin Eligible applicants will be provided with one relevant Frost and Sullivan report Information on potential customers and competitors will also be provided DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 32

33 Phase 0 Services Technology Advice & Consultation To affirm that a need exists, develop your technical work plan or scope metrics for success, it may be beneficial to receive feedback from an expert Up to three hours of a technical consultants time can be arranged for this purpose DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 33

34 Phase 0 Services Intellectual Property Consultation Attention must be given to IP in your Phase I proposal This service provides you access to legal counsel to address general issues of concern DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 34

35 Phase 0 Services Indirect Rate & Cost Proposal Assistance How does one calculate an indirect rate? Needed to prepare a budget for your proposal The service will help eligible applicants understand indirect rates and develop an appropriate rate structure The consultant will help you develop the proper basis of estimate for completing the budget section of the Phase I proposal DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 35

36 Webinars Steps in Submitting a Phase I SBIR/STTR Proposal to the DOE 2. DOE Phase I SBIR/STTR Budget Justification Training 3. Calculating Indirect Rates for DOE SBIR/STTR Grants 4. Including the Mandatory Sales & Licensing Revenue Statement in a Phase I DOE SBIR/STTR Proposal DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 36

37 Additional Information How to register on PAMS Benefits of participating in the DOE SBIR/STTR program Timeline for proposal preparation Tasks to complete after submitting the LOI Data Management Plan DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 37

38 Future Services Additional services will be offered in 2015 Networking with Federal Labs On-line learning management system (LMS) will be available in Spring modules planned Free to all DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 38

39 Services to be Complementary Services we provide will be selected to dovetail with services applicant may already be receiving Type%of%applicant% Other% Services%provided% Exis%ng(SBC( Working(with(a(state( program(which(provides( some(service( Receiving(Proposal( prepara%on(support(from( State( (needs(2(services( Exis%ng(SBC( Not(working(with(anyone( All(5(services(needed( University(Professor( Federal(lab(employee( Does(not(need(technical( support( Does(not(need(LOI(or( technical(support( 4(services(needed( (does( not(need(technical( consulta%on( 3(services(needed( (does( not(need(technical(or(loi( DAWNBREAKER // DOE SBIR/STTR PHASE 0 ASSISTANCE PROGRAM 3/9/15 39

40 For Further Questions Chris O'Gwin DOE Commercialization & Outreach Assistance Program Manager Richard Smerbeck Phase 0 Program Manager Dawnbreaker, Inc. rsmerbeck@dawnbreaker.com

The Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Program

Office of Investment and Innovation The Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Program Program Overview Mission of the SBIR/STTR Program To promote technological