This document discusses challenges in managing NASA's Small Business Innovation Research (SBIR) program. It provides an overview of NASA's SBIR implementation including its focus areas of technology, innovation, and partnerships. It explains the goals of the SBIR program as defined by Congress and lists the government agencies that participate. The document outlines NASA's strategic management approach to the SBIR program and process.

1. Challenges in Managing the
SBIR Program
Strategic View
Mission Directorate Perspective
Infusion Challenge
Carl G. Ray,
Jim Stegeman,
Kimberly Hines
Used with permission

2. Implementation of SBIR/STTR at NASA
Innovative Partnerships Program (IPP)
Technology Innovation Partnership
Infusion Incubator Development
– SBIR – Centennial – Intellectual
Challenges Property
– STTR
– New Business management
– IPP Seed Fund
Models – Technology
– Innovation Transfer
Transfusion – New Innovative
Partnerships

3. WHY SBIR????
Congress designated 4 major goals
• Stimulate technological innovation
• Use small business to meet federal R&D needs
• Foster and encourage participation by
minorities and disadvantaged persons in
technological innovation
• Increase private-sector commercialization
innovations derived from federal R&D

4. SBIR/STTR Participating Agencies
• DOD SBIR/STTR
• HHS SBIR/STTR
• NASA SBIR/STTR
• DOE SBIR/STTR
• NSF SBIR/STTR
• HLS SBIR
• USDA SBIR
• DOC SBIR
• EPA SBIR
TOTAL ~ $2.3 B FY 2009
• DOT SBIR
• ED SBIR

5. Strategic Management Approach
People Process and Products
5

6. IPP Technology for Mission Directorates
MD Technology Needs Communication
IPP “Landscape” Development
Innovative Mission Directorates
Partnerships Program • Programs
• SBIR/STTR • Projects
• Centennial Challenges Technology Infusion
• Seed Fund • Bridging the “Valley
• Partnerships of Death”
• Narrow the gap and
reduce risk
Executed at the Field Executed at the Field
• Begin building
Centers Centers
bridges early

7. SBIR/STTR: 3-Phase Program
• PHASE I
• Feasibility study
• $100K award
• 6 months duration (SBIR)
• 12 months duration (STTR)
• PHASE II
• Technology Development
• 2-Year Award
• Up to $750K (SBIR/STTR)
SBIR is 2.5% of extramural R&D, STTR is 0.3% of extramural R&D.
• PHASE III
• Technology Infusion/Commercialization Stage.
• Use of non-SBIR Funds.
• Ability to award sole-source contracts without JOFOC based on specific
SBIR authority – NASA and NASA primes.

8. SBIR/STTR Pre-Solicitation Development & Solicitation
Release Process Management 2009/2010 Milestones
* Starts with strategic assessment of 2009/10
SBIR/STTR Budget estimate, IPP Landscape
Development and Topic/Subtopic portfolio
Subtopics Development (Support sub-process)
Subtopic Write-ups from Centers
Solicitations Development Workshop
Revise Topics and Subtopics
Preliminary release for comment
Centers’ Coordination
Mission Directorates’ Approvals
Solicitation Preparation
PMO Review and HQ Concurrence
Preparation of Website
Final Publication Solicitation Review
Official Solicitation Released
Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep

9. Mission Driven
SBIR/STTR = Small Business Innovation for NASA and the Nation
Partnership with Mission Directorates Drives SBIR/STTR Investment
Exploration Systems Aeronautics Research
Science Space Operations

10. SBIR/STTR Program Annual
TECHNOLOGY DEVELOPMENT
& INFUSION PROCESS FLOW
Awardees
SBIR/STTR Program
MD Technology Needs AGENCY MISSIONS
& Strategic Planning IPP “LANDSCAPE” Mission Directorates
Development Independent Survey
& Internal Assessment
SBIR/STTR
TOPICS /SUBTOPICS
Independent
Development
Survey
& SOLICITATION
Internal Assessment
PHASE I
EVALUATIONS AND SELECTIONS
Program Small Business FEASABILITY CONTRACTS
Performance & Research Institutions PHASE II
Coordination EVALUATIONS AND SELECTIONS
CONTRACT AWARD
TECHNOLOGY
Infusion DEVELOPMENT &
Mission Maturation & Integration Contract Performance COMMERCIAL
Programs SBC Execution APPROACH
COTR Oversight
Commercial
Phase III
COMMERCIALIZATION
Industry
OVERSIGHT ACTIVITIES
Interfaces
Process Path

11. Multi-Center Structure
Draft;
Need
ARC
DFRC
GRC
GSFC
JPL
JSC
KSC
LARC
MSFC
SSC
confirmati
on
Aero
Exploration
Science
Space Operations

12. Phase 3: Follow-on development, investment and use
Commercial Products, Services, Systems
System Test,
Launch & Mission TRL 9
Operations Mission
Operations
System/ TRL 8
Subsystem
Development
Technology
TRL 7 System
Transition
Technology
Development
Demonstration
TRL 6
Technology
Technology
TRL 5 Development Requirements / GFE
Development &
Demonstration
TRL 4
Technology
Research to
Research
Prove &
Feasibility
TRL 3 Developmen
t
Basic/Applied
TRL 2
Basic
Research Research
TRL 1
Federal, SBIR/STTR, Mission Programs, Mission Programs, Mission Programs,
Funding Sources: Industry, Federal Industry Industry Industry,VCs,
Industry

13. Phase III CHALLENGE
►Phase II results infused into NASA programs or
commercial market
►Phase III work may be for products, production,
services, or additional R&D
►Funded from a source other than the SBIR
Program Office
►Private-sector investment, in various forms, is also
a vehicle for the Phase III process.
►Granted based on the merits of the Phase I or II
results without further need for competition
►Viewed as “success stories”
►Contract can be Fixed Price or Cost-Type
13

14. SBIR/STTR Taxonomy
• Avionics and Astrionics
• Biotechnology
• Communications
• Cryogenics
• Education
• Electronics
• Extravehicular Activity
• Information
• Manufacturing
• Materials
• Microgravity
• Power and Energy
• Propulsion
• Robotics
• Sensors and Sources
• Structures
• Thermal
• Verification and Validation

15. Assets
• Resources
• NTTC
• other
• Innovation Mag
• Newsletter
• SBIR Tools
• EHB
• searches
• taxonomy
• objective
• description
15

16. Technology Infusion Challenge
• Establish and Maintain Quality Technology Portfolio
• Assess solution space (needs and available/emerging Technologies )
• Formulate strategic solutions and plans (using Capability Vision and Knowledge of barriers)
• Obtain adoption and deploy solutions
Technology Technology Portfolio
Technology
Access Management
Infusion and
Opportunities
Deployment
Technology
Portfolio
Planning
Operational
Systems
Capability
Solutions
Vision
Capability Identified Gaps
Needs
Technology
Technology Roadmaps
Projections

17. SBIR Mission Directorate Perspective

18. SOMD Technology Areas
2009 Phase I
Topic O1 – Space Communications Topic O2 – Space Transportation Topic O4 – Navigation
O2.01 Automated Collection and Transfer of
O1.01 Coding, Modulation, and Compression Launch Range Data (Surveillance, Intrusion, O4.01 Metric Tracking of Launch Vehicles
Weather)
O1.02 Antenna Technology O4.02 On-orbit PNT (Positioning,
O2.02 Ground Test Facility Technologies Navigation, and Timing) Sensors and
Components
O1.03 Reconfigurable/Reprogrammable
Communications Systems O4.03 Lunar Surface Navigation
O1.04 Miniaturized Digital EVA Radio O4.04 Flight Dynamics Technologies and
Software
O1.05 Transformational Communications O4.05 Space Based Range Technologies
Technology Topic O3 – Processing &
Operations
O1.06 Long Range Optical
Telecommunications O3.01 Human Interface Systems and
Technologies Topic O5 – Low-Cost and
O1.07 Long Range Space RF Reliable Access to Space
Telecommunications (LCRATS)
O3.02 Vehicle Integration and Ground
Processing
O1.08 Lunar Surface Communication
Networks and Orbit Access Links
O3.03 Enabling Research for ISS
O1.9 Software for Space Communications
Infrastructure Operations
18

19. SOMD Solicitation
Development Approach
Responsibilities
• Topic / subtopic managers develop technology area descriptions based
on MD, program, and center needs
• TIMs engage center programs, line organizations, and topic / subtopic
managers
• Centers establish commitment to these technology areas (e.g., ensure
appropriate subtopic manager(s), reviewers, and COTRs are available)
SOMD MD
Offices
Center Chief SOMD Program
Technologist Offices
SOMD MDR
SOMD Topic & Internal (Center) Gap Analysis
SBIR TIMs Center-Level Prioritization of
Subtopic Managers
Technology Areas
Draft Technology Center Management SOMD MDR
Areas Concurrence Concurrence
19

20. Solicitation Strategy
Analysis of Topic contents
Review technology portfolio, which provides a snapshot of the products
being developed or that have been developed.
Ask and answer the following questions:
• Is the topic generating the interest we envision?
• Is the topic generating products we can use?
• How do these products fit into Agency plans? What is the pull? Or
are we pushing technology?
• Are more products needed to provide trade space input?
• Yes - Keep the same product call? (i.e., keep the same content)
• No - why? Satisfied with current products? Industry has
something we can buy?
20

21. Space Operations Mission Directorate
SBIR Technology Coordination and Integration
21

22. Space Communications
and Navigation

23. SBIR – TMP Technology Integration
• Objective
• Leverage SBIR awards and process as much as
possible within the SCaN Technology Development
Program (TDP)
• Approach
• Merge the SBIR process with the SCaN TDP
process
• Recommend 2 full SBIR cycles for trial period (~4
yrs)

24. SOMD/SCaN Technology Development Process
ADD ADD ADD
SBIR SBIR SCaN Technology
Phase I Phase II
Process Process Development
Process
• Selection
• Development
Technology Technology
Management Management
Team (TMT) Team (TMT)
Existing SCaN Existing SCaN
Technology Technology
Developments Developments
1 2- 3 3-4 Year

25. Navigation

26. Navigation

27. SOMD – SBIR Technology
Planned Capability
Tech 1
Enhanced Capability
Tech 2
Enhanced Capability
……
Tech N
Enhanced Capability

28. Lessons Learned, Issues, or
Comments
• Collaboration opportunities are plentiful
• Coordination with AFRL, Missile Defense Agency, Navy SPAWAR reported earlier
• SPAWAR invited NASA input towards their new SBIR solicitation
• US Army now included in SOMD SBIR content alignment discussions
• Content alignment collaboration with DoD underway
• Reformulation of SOMD SBIR content underway for 2010:
• All SOMD areas: Space Communications, Space Transportation, Processing and Operations,
and Navigation
• Significant effort planned with a systems engineering approach towards technology needs;
current recommendations included extensive discussions during topic reviews
• Working with SCaN and other SOMD areas
• Clustering of awards around central technology theme being evaluated
• Expect to “jumpstart” capability in an area
• Building upon previous NASA and DARPA investments in XNAV technologies

29. Infusion Challenge
• What technology “infusion” is…
• Used in a trade space
• Phase III contracts
• Used in NASA projects or missions
• What is in it for you, a program or project
manager!
• Access to current technology developments
• Streamlined procurement process

30. Technology Infusion Managers’
Infusion Approach
• Collaborate with COTR’s to maintain
technology awareness
• Facilitate the Phase I-II process without losing
sight of the end goal
• Communicate with Programs and Projects to
status technology capabilities and maturity
30

31. Infusion Cycle
• Solicitation Development
• Engage Mission Directorates on behalf of
researchers enabling subtopic formulation
and participation
• Facilitate review and ranking process at
centers
• Advise Mission Directorate concerning highly
regarded proposals
• Maintain local technology portfolio
31

32. SBIR Technology Infusion Examples
Icy Soil
Acquisition
Device
supplied by
Honeybee
Robotics,
Mars Phoenix Lander
Inc.
Lithium ion SpaceDev (formerly
batteries Starsys) contributed to the
supplied by design of the Microscopy
Yardney Electrochemistry and
Technical Conductivity Analyzer
Products, Inc. (MECA)

33. SBIR Technology Infusion Examples
Space Shuttle and ISS

34. Sources for Phase III Contracts
• Technologies developed under a Phase I or
Phase II SBIR or STTR contract from NASA
• Technologies developed under a Phase I or
Phase II SBIR or STTR contract from another
government agency
34

35. Resources for Programs and Projects
• Technology Infusion Managers
• Advocacy and assist with Phase III contracts
• Contract kick-off, midterm and final technical
reviews
• SBIR Technology Search
• NASA’s SBIR Electronic Handbook
• SBA Tech-Net
• NTTC
• http://www.sbipp.com/technologyportfolios/

36. What Program and
Project Managers Can Do
• Provide subject matter experts for SBIR
proposal reviews.
• Provide subject matter experts for technical
reviews throughout technology development.
• Consider SBIR Technologies in:
• Project formulation
• Trade spaces (i.e. key decision points)
• Acquisition planning

37. Outreach & Publications
sbir.nasa.gov