Award Statistics

PHASE III IS ALIVE AND WELL IN THE DOE SBIR PROGRAM

The DOE collects information on Phase III funding from its Phase II awardees. Phase III funding includes: (1) sales, and (2) funds raised to pursue commercialization or further development for SBIR technology.

  • Awardees have achieved over $1 billion in Phase III funding, three times the DOE investment in these projects.
  • 70 percent of Phase II projects have led to Phase III funding; two-thirds of these projects contributed to sales of new products or services.

OLD BOYS NETWORK? --- NO WAY!

The DOE is proud of the fact that many newcomers win SBIR awards.

  • In 2008, 45 companies won a Phase II award for the first time out of 110 companies altogether (41%)
  • In 2008, 29% of the Phase I awardees, won their DOE SBIR award for the first time. (This corresponds to 20% of the awards.)

ODDS OF WINNING AN AWARD VARY FROM ONE PROGRAM AREA TO ANOTHER

In its SBIR/STTR solicitation, the DOE groups technical topics by its technical program areas and provides an overview of these program areas. The SBIR/STTR funding is collected from each of these technical programs and, in return, the programs are allocated a proportional share of SBIR/STTR awards.

Program Area
# of Topics
Grant Applications Submitted
Phase I Awards
Fossil Energy
6
92
25*
Advanced Scientific Computing Research
5
49
14*
Basic Energy Sciences
13
450
84*
Biological and Environmental Research
5
118
34*
Environmental Management
1
16
3*
Nuclear Physics
4
78
25*
High Energy Physics
6
126
44*
Fusion Energy Sciences
3
67
18*
Nuclear Energy
1
10
5*
Energy Efficiency and Renewable Energy
9
362
35*
Nonproliferation and National Security
3
51
17*
Science
1
27
8*
Electric Transmission and Distribution
3
44
6*
TOTALS
60
1490
318*

* Includes both SBIR and STTR.

SCORING ANDSELECTION PROCESS

DOE uses three evaluation criteria for SBIR grant applications: (1) Strength of the Scientific/ Technical Approach, (2) Ability to Carry Out the Project in a Cost Effective Manner, and (3) Impact. Each is defined in the solicitation and carries equal weight.

Grant applications are considered candidates for funding if, based on comments from expert technical reviewers, the cognizant DOE technical staff member: (1) has no reservations with respect to any of the criteria and (2) strongly endorses the grant application with respect to at least 2 of the 3 criteria.

The DOE technical program areas are each allocated a fixed number of awards, proportional to their SBIR contribution. (A grant application falls under the jurisdiction of a particular program area if the application was submitted to one of that program’s technical topics.) Each technical program conducts a process to determine which of their candidates for funding will be selected for award.+

Results from 1997 - 2008:

Phase I
Year Grant Applications Candidates for Funding Percentage(%) Awards Percentage Funded(%)
2008
1494
478*
32
318*
21
2007
1318
423*
32
317*
24
2006
1387
429*
31
289*
21
2005
1558
422*
27
289*
18
2004
1375
389*
28
300*
22
2003
1227
338*
28
236*
19
2002
971
301*
31
246*
25
2001
901
317*
36
234*
26
2000
1086
325*
30
221*
20
1999
1135
306
27
203
18
1998
1191
337
28
204
17
1997
1225
309
25
202
16

Phase II
2008
279*
174
62
161*
58
2007
267*
173
65
129*
48
2006
253*
170
67
138*
55
2005
275*
177
64
120*
44
2004
207*
138*
66
121*
58
2003
223*
129*
58
114*
51
2002
206*
129*
63
117*
57
2001
178
103
58
97
54
2000
184
101
55
91
49
1999
179
115
64
84
47
1998
173
112
65
84
49
1997
187
111
59
86
46

* Includes both SBIR and STTR