1. FUNDING OPPORTUNITIES
FOR NIAC FELLOWS
Sharon M. Garrison
NASA NIAC Coordinator
March 8, 2006
Sharon.m.garrison@nasa.gov
301.286.3107
2. Begin NOW
Begin seeking funding opportunities by the
end of your Phase I for Post Phase Funding
by NASA, other U.S. government agencies,
and private sources!
If you don’t---you won’t…
– get $$$$$.
– make connections with NASA technical
leaders and funding sources.
– be in charge of the destiny of your advanced
concept development.
3. What Should You Do?
By the end of Phase I, get connected with
NASA through your own contacts, Bob
Cassanova’s assistance or Sharon
Garrison’s assistance.
– Ask for help!!!!
– Be: aggressive,
persistent
persuasive,
and a credible partner.
4. What Else Should You Do?
• Network with Fellows during and after
NIAC meetings.
• Make contact with successful NIAC
Fellows.
• Read Bradley Edwards and Robert
Hoyt’s keynote speaker presentations.
5. What Else Should I Do?
• Seek out post Phase II (or even Post
Phase I) funding sources.
• Enabling concepts for your advanced
concept development can be funded
through NASA sources, the SBIR/STTR
program, and private sources.
6. Overview of
NASA’s SBIR and STTR Programs
W. Paul Mexcur
NASA SBIR/STTR Program Manager
7. Research Opportunities
Reserved for Small Business
SMALL BUSINESS INNOVATION
RESEARCH (SBIR) PROGRAM
SMALL BUSINESS TECHNOLOGY
TRANSFER (STTR) PROGRAM
8. Program Descriptions
Small Business Innovation Research (SBIR)
Set-aside program for small business
concerns to engage in federal R&D --
with potential for commercialization.
Small Business Technology Transfer (STTR)
Set-aside program to facilitate
cooperative R&D between small business
concerns and U.S. research institutions --
with potential for commercialization.
2.50%
0.30%
9. SBIR/STTR: 3-Phase Program
PHASE I
Feasibility Study
$100K and 6-month (SBIR)
or 12-month (STTR) Award
PHASE II
Full Research/RD
$750K and 2-year Award
(SBIR/STTR)
PHASE III
Commercialization Stage
Use of non-SBIR/STTR Funds
10. Typical Phase I Process
• Agencies describe RD topics
in solicitations.
Solicitation
Topics
Proposal
Submission
Evaluation
Ph I award
• Small Business Concerns prepare
short (usually 25-page)proposals.
Unsolicited proposals not accepted.
• Agencies evaluate based on technical
merit, firm’s qualifications, and
commercial potential / societal benefit.
• Agencies make Phase I awards.
About 6-9 months
11. WHY STTR ?
Small Business Research and Development
Enhancement Act of 1992
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
12. STTR PROGRAM
ELIGIBILITY CHECKPOINTS
Applicant is Small Business Concern
Formal Cooperative RD Effort
Minimum 40% by small business
Minimum 30% by U.S. research institution
U.S. Research Institution
College or University; other non-profit research
organization; Federal RD center
Intellectual Property Agreement
Allocation of Rights in IP and Rights to Carry out
Follow-on RD and Commercialization
13. SBIR AND STTR PROGRAMS
CRITICAL DIFFERENCES
Principal Investigator
SBIR: Primary (50%) employment must
be with small business concern
STTR: Primary employment not stipulated
PI can be from research institution and/or
from small business concern
14. Some important facts to
remember
Eligibility is determined at time of award
No appendices allowed in Phase I
The PI is not required to have a Ph.D.
The PI is required to have expertise to oversee
project scientifically and technically
Applications may be submitted to different
agencies for similar work
Awards may not be accepted from different
agencies for duplicative projects
15. Utilize Your State Resources ……..
http://www.sbirworld.com/statecontacts.asp?mnuState=1
STATE CONTACTS
16. NASA SBIR/STTR 2006 Budget
SBIR $105M
STTR $13M
SBIR - Phase I Contracts: $70K (6 months)
STTR - Phase I Contracts: $100K (12 months)
SBIR/STTR - Phase II Contracts: $600K (2 years)
17. NASA Organization
Four Mission Directorates:
1. Aeronautics Research (www.aerospace.nasa.gov)
2. Exploration Systems (www.exploration.nasa.gov)
3. Science (www.science.hq.nasa.gov)
4. Space Operations (www.hq.nasa.gov/osf)
18. NASA Directorate Interests
• Aeronautics Research (www.aerospace.nasa.gov)
• Aviation Safety and Security
• Vehicle Systems
• Airspace Systems
• Exploration Systems (www.exploration.nasa.gov)
• Moon Initiative Technology Support
• Power
• Propulsion
• Biological Sciences
19. NASA Directorate Interests
• Science (www.science.hq.nasa.gov)
• Earth Science
• Solar System Exploration
• Telescopes
• Sensors and Detectors
• Helioscience
• Spacecraft Technologies
• Space Operations (www.hq.nasa.gov/osf)
• Communications
• Operations
20. SBIR Research Topics
Exploration Systems:
•• Communications, Computing Electronic Imaging
• Advanced Materials and Structural Concepts
• Power Propulsion and Chemical Systems
• Advanced Studies Concepts and Tools
• Software Intelligent Systems and Modeling
• Advanced Space Operations
• High Energy Space Systems
• Advanced Space Platform Systems
• Lunar and Planetary Surface Operations
• Prometheus Technologies
• Human Systems Research and
Technology
• Life Support and Habitation
• Human Systems Integration
• Space Based Industry Enabling
Technologies
Aeronautics Research:
Aviation Safety and Security
Vehicle Systems
Airspace Systems
21. SBIR Research Topics
Science:
Robotic Exploration of the Moon and Mars
Robotic Exploration Throughout the Solar
System
Astronomical Observatories to Seek Earth-like
Extrasolar Planets and Environments
Exploration of the Universe Beyond our
Solar System
Sun-Solar System Connection
Earth-Sun System Instrument and Sensor
Technology
Earth-Sun System Data Applications
Science Spacecraft Systems Technology
Advanced modeling, simulation, and
Analysis for Science
Space Operations:
Space Communications
Space Transportation
22. Ames
All Ten NASA Centers Participate In the SBIR Program
Dryden
Jet
Propulsion
Laboratory
Johnson
Stennis
Goddard
Headquarters
Langley
Marshall
Kennedy
Glenn
23. STTR Research Topics
Each STTR topic supports 2 of the current highest priority
technology needs of a NASA Center
• Ames Research Center:
Information Technologies for System Health Management, Autonomy,
and Scientific Exploration
Space Radiation Dosimetry and Countermeasures
• Dryden Flight Research Center:
Flight Dynamics System Characteristics
Advanced Concepts for Flight Research
• Glenn Research Center:
Aerospace Communications
Space Power and Propulsion
• Goddard Space Flight Center:
Earth Science Sensors and Instruments
Space Science Sensors and Instruments
24. STTR Research Topics
• Johnson Space Center:
Advanced Crew Support Technology
Robotics and Virtual Digital Human Technologies
• Kennedy Space Center:
Self-Healing Repair Technologies
Batteryless, Wireless Remote Sensors
• Langley Research Center:
Personal Air Transportation Technologies for Flight Demonstration
Non-destructive Evaluation and Structural Health Monitoring
• Marshall Space Flight Center:
Aerospace Manufacturing Technology
Advanced High Fidelity Design and Analysis Tools for Space Propulsion
• Stennis Space Center:
Rocket Propulsion Testing Systems
Integrated Life-cycle Asset Mapping, Management, and Tracking
25. SBIR is a Three Phase Program
• Phase I is a 6 month, $70K effort to determine the
feasibility of the proposed innovation
– Phase I contracts are based on proposals
received in response to the programs annual
solicitation
• Phase II is a 2 year, $600K research, development,
and demonstration effort
– Phase II contracts are awarded to successful
Phase I contractors
• Phase III is the non-SBIR funded commercialization
activity based on the Phase II result
26. Nature of SBIR Contracts
• SBIR contracts are fixed price contracts to be
completed on a best effort basis
• Contractors own resulting intellectual property
(data, copyrights, patents, etc.)
• Government has royalty-free rights for
government use of intellectual property
• Government protects data from public
dissemination for four years after contract ends
27. SBIR Program Eligibility Checkpoints
• Organized for-profit U.S. business
• At least 51% U.S. owned and
independently operated
• Small business located in the U.S.
• P.I.’s primary employment with small
business during the project
28. SBIR
Electronic
Handbook
SBIR
Electronic
Handbook
Selection Process
• All proposals are submitted
electronically via the internet
• http://sbir.nasa.gov
• Proposals are screened for administrative
completeness and turned over to the managing
NASA Center for technical review
29. Selection Process
Phase I Evaluation Criteria:
1. Scientific/Technical Merit and Feasibility (50%)
2. Experience, Qualifications and Facilities (25%)
3. Effectiveness of the Proposed Work Plan (25%)
4. Commercial Potential and Feasibility (adjectival)
30. Proposal Evaluation Process
• Evaluations are performed by NASA scientists and engineers
to determine the merit of a proposal
• A proposal that is recommended for award will be ranked
relative to all other recommended proposals
• All firms will receive a debriefing automatically via email
• Evaluation factors:
1. Scientific/Technical Merit and Feasibility
2. Experience, Qualifications and Facilities
3. Effectiveness of the Proposed Work Plan
4. Commercial Potential
31. Selection Process
Phase II Evaluation Criteria:
1. Scientific/Technical Merit and Feasibility (50%)
2. Experience, Qualifications and Facilities (25%)
3. Effectiveness of the Proposed Work Plan (25%)
4. Commercial Potential and Feasibility (critical)
• Commercial Potential of the Technology
• Commercial Intent of the Offeror
• Capability of the Offeror to Realize
Commercialization
32. Selection Process
Ranking Criteria:
1. Value to NASA
2. Reasonable Chance of Success
3. Probability that Company Can Successfully
Commercialize Technology (Phase III)
33. 2005 Phase 1 Selection Statistics
SBIR:
– 2,184 proposals from 898 firms located in49 states plus
D.C. and PR were evaluated
– 923 proposals recommended
– 300 selections (13%) announced on November 18th
STTR:
– 231 proposals from 188 firms located in 37 states were
evaluated
– 115 proposals recommended
– 35 selections (17%) announced on November 18th
Approximately 40% of the Phase 1 contracts are selected for Phase 2
34. SBIR 2004 Phase 2 Selections
• 290 SBIR 2004 Phase 1 Selections
announced November 19, 2004
• 273 Phase 2 proposals submitted
(94%)
• 232 Phase 2 proposals
recommended by NASA Centers
(84%)
• 140 selections announced 10/05/05
(48%)
– 124 Firms, located in 34 states
– $84M total contract value of selections
35. Some Important Facts to Remember
• Eligibility is determined at time of award
• No appendices allowed in Phase I
• The PI is not required to have a Ph.D.
• The PI is required to have expertise to oversee
project scientifically and technically
• Applications may be submitted to different
agencies for similar work
• Awards may not be accepted from different
agencies for duplicative projects
36. Questions
• Is NASA interested in my technology ?
Review last year’s solicitation for potential areas of interest
(sbir.nasa.gov)
• What is NASA doing is this area of technology ?
Call SBIR Program Office at NASA center(s) that lead the
subtopic that is closest to your interests and have them put you
in touch with a technical person working in the subject area
Calls must be made before solicitation opens
• Does my proposal need to fit into a specific subtopic?
Yes, proposals that are not responsive to the solicitation
may be classified “nonresponsive” and rejected. However, the
subtopics are usually broadly written.
37. Questions
• What should my proposal look like ?
A sample proposal is available at sbir.nasa.gov
Procurement info – Contract Admin Closeout – NASA
SBIR/STTR Firms Library
• Should I consider using consultants and
subcontractors?
Yes, but remember limitations (1/3 of research work), and
no NASA Personnel
• Can I submit the same proposal to different
subtopics if it applies?
No, you risk having all proposals disqualified
38. SBIR/STTR Program Schedule
2006 Program Solicitation
Opening Date: 07/07/2006
Closing Date: 09/07/2006
Selections: Nov. 2006
http://sbir.nasa.gov
39. Whats New and Unique?
• NASA manages its SBIR and STTR programs via
the NASA SBIR Electronic Handbook (EHB)
All proposals are submitted electronically
Contract administration is managed via the SBIR EHB
Access to the EHB is directly from the NASA SBIR
website http://sbir.nasa.gov
• NASA is the prime customer for SBIR and STTR
developed technologies
Emphasis is placed on Phase 3 contracting
NASA has issued many multi-million
dollar Phase 3 follow-on contracts
