FUNDING OPPORTUNITIESFOR NIAC FELLOWS

Sharon M. GarrisonNASA NIAC Coordinator

March 8, 2006Sharon.m.garrison@nasa.gov

301.286.3107

Begin NOW

Begin seeking funding opportunities by theend of your Phase I for Post Phase Fundingby 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.

What Should You Do?

By the end of Phase I, get connected withNASA through your own contacts, BobCassanova’s assistance or SharonGarrison’s assistance.

– Ask for help!!!!

– Be: aggressive,

persistent

persuasive,

and a credible partner.

What Else Should You Do?

• Network with Fellows during and afterNIAC meetings.

• Make contact with successful NIACFellows.

• Read Bradley Edwards and RobertHoyt’s keynote speaker presentations.

What Else Should I Do?

• Seek out post Phase II (or even PostPhase I) funding sources.

• Enabling concepts for your advancedconcept development can be fundedthrough NASA sources, the SBIR/STTRprogram, and private sources.

Overview of

NASA’s SBIR and STTR Programs

W. Paul Mexcur

NASA SBIR/STTR Program Manager

Research OpportunitiesResearch Opportunities

ReservedReserved for Small Business for Small Business

SMALL BUSINESS INNOVATION SMALL BUSINESS INNOVATION

RESEARCH (SBIR) PROGRAMRESEARCH (SBIR) PROGRAM

SMALL BUSINESS TECHNOLOGY SMALL BUSINESS TECHNOLOGY

TRANSFER (STTR) PROGRAMTRANSFER (STTR) PROGRAM

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 businessconcerns and U.S. research institutions --with potential for commercialization.

Program DescriptionsProgram Descriptions

2.50%

0.30%

SBIR/STTR: 3-Phase Program

PHASE I

Feasibility Study

$100K and 6-month (SBIR)

or 12-month (STTR) Award

PHASE II Full Research/R&D $750K and 2-year Award (SBIR/STTR)

PHASE III Commercialization Stage Use of non-SBIR/STTR Funds

Typical Phase I ProcessTypical Phase I Process

• Agencies describe R&D topics

in solicitations.

Evaluation

Ph I award

SolicitationTopics

ProposalSubmission

• 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.

Ab

ou

t 6-9

mo

nth

s

WHY STTR ?WHY STTR ?Small Business Research and Development

Enhancement Act of 1992

Stimulate and foster scientific andtechnological innovation throughcooperative research and developmentcarried out between small business concernsand research institutions

Foster technology transfer between smallbusiness concerns and research institutions

Applicant is Small Business Concern

Formal Cooperative R&D 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 R&D center

Intellectual Property Agreement

Allocation of Rights in IP and Rights to Carry out

Follow-on R&D and Commercialization

STTR PROGRAMSTTR PROGRAM

ELIGIBILITY CHECKPOINTSELIGIBILITY CHECKPOINTS

Principal InvestigatorPrincipal 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

SBIR AND STTR PROGRAMS

CRITICAL DIFFERENCESCRITICAL DIFFERENCES

Some important facts toremember

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

Utilize Your State Resources Utilize Your State Resources ……....

STATE CONTACTS

http://www.sbirworld.com/statecontacts.asp?mnuState=1

NASA SBIR/STTR 2006 BudgetNASA SBIR/STTR 2006 Budget

SBIR - Phase I Contracts: $70K (6 months)STTR - Phase I Contracts: $100K (12 months)SBIR/STTR - Phase II Contracts: $600K (2 years)

SBIR $105MSTTR $13M

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)

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

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

SBIR Research TopicsSBIR Research TopicsExploration Systems: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:Aeronautics Research:

Aviation Safety and Security Aviation Safety and Security

Vehicle Systems Vehicle Systems

Airspace Systems Airspace Systems

Science:Science:

Robotic Exploration of the Moon and Mars Robotic Exploration of the Moon and Mars

Robotic Exploration Throughout the SolarRobotic Exploration Throughout the Solar

SystemSystem

Astronomical Observatories to Seek Earth-Astronomical Observatories to Seek Earth-

like like Extrasolar Extrasolar Planets and EnvironmentsPlanets and Environments

Exploration of the Universe Beyond ourExploration of the Universe Beyond our

Solar SystemSolar System

Sun-Solar System ConnectionSun-Solar System Connection

Earth-Sun System Instrument and SensorEarth-Sun System Instrument and Sensor

TechnologyTechnology

Earth-Sun System Data ApplicationsEarth-Sun System Data Applications

Science Spacecraft Systems TechnologyScience Spacecraft Systems Technology

AAdvanced modeling, simulation, and

Analysis for Science

Space Operations:Space Operations: Space Communications

Space Transportation

SBIR Research TopicsSBIR Research Topics

Dryden

Ames

JetPropulsionLaboratory

Johnson

Stennis

Kennedy

Marshall

Goddard

Headquarters

Langley

Glenn

All Ten NASA Centers ParticipateAll Ten NASA Centers Participate In the In the SBIR ProgramSBIR Program

STTR Research TopicsSTTR Research Topics

Each STTR topic supports 2 of the current highest prioritytechnology needs of a NASA Center

• Ames Research Center:Information Technologies for System Health Management, Autonomy,

and Scientific ExplorationSpace Radiation Dosimetry and Countermeasures

• Dryden Flight Research Center:Flight Dynamics System CharacteristicsAdvanced Concepts for Flight Research

• Glenn Research Center:Aerospace CommunicationsSpace Power and Propulsion

• Goddard Space Flight Center:Earth Science Sensors and InstrumentsSpace Science Sensors and Instruments

STTR Research TopicsSTTR Research Topics

• Johnson Space Center:Advanced Crew Support TechnologyRobotics and Virtual Digital Human Technologies

• Kennedy Space Center:Self-Healing Repair TechnologiesBatteryless, Wireless Remote Sensors

• Langley Research Center:Personal Air Transportation Technologies for Flight DemonstrationNon-destructive Evaluation and Structural Health Monitoring

• Marshall Space Flight Center:Aerospace Manufacturing TechnologyAdvanced High Fidelity Design and Analysis Tools for Space Propulsion

• Stennis Space Center:Rocket Propulsion Testing SystemsIntegrated Life-cycle Asset Mapping, Management, and Tracking

SBIR is a Three Phase Program

• Phase I is a 6 month, $70K effort to determine thefeasibility of the proposed innovation– Phase I contracts are based on proposals

received in response to the program s annualsolicitation

• 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 commercializationactivity based on the Phase II result

Nature of SBIR Contracts

• SBIR contracts are fixed price contracts to becompleted on a best effort basis

• Contractors own resulting intellectual property(data, copyrights, patents, etc.)

• Government has royalty-free rights forgovernment use of intellectual property

• Government protects data from publicdissemination for four years after contract ends

SBIR Program Eligibility CheckpointsSBIR 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

SBIRElectronicHandbook

Selection Process

• All proposals are submitted

electronically via the internet

• http://sbir.nasa.gov

• Proposals are screened for administrativecompleteness and turned over to the managingNASA Center for technical review

SBIRElectronicHandbook

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)

Proposal Evaluation ProcessProposal Evaluation Process

• Evaluations are performed by NASA scientists and engineersto determine the merit of a proposal

• A proposal that is recommended for award will be rankedrelative to all other recommended proposals

• All firms will receive a debriefing automatically via email

• Evaluation factors:1. Scientific/Technical Merit and Feasibility2. Experience, Qualifications and Facilities3. Effectiveness of the Proposed Work Plan4. Commercial Potential

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

Selection Process

Ranking Criteria:

1. Value to NASA

2. Reasonable Chance of Success

3. Probability that Company Can SuccessfullyCommercialize Technology (Phase III)

2005 Phase 1 Selection Statistics

SBIR:– 2,184 proposals from 898 firms located in 49 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

SBIR 2004 Phase 2 Selections

• 290 SBIR 2004 Phase 1 Selectionsannounced November 19, 2004

• 273 Phase 2 proposals submitted(94%)

• 232 Phase 2 proposalsrecommended by NASA Centers(84%)

• 140 selections announced 10/05/05(48%)– 124 Firms, located in 34 states– $84M total contract value of selections

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

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 thesubtopic that is closest to your interests and have them put youin 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 solicitationmay be classified “nonresponsive” and rejected. However, thesubtopics are usually broadly written.

Questions

• What should my proposal look like ?

A sample proposal is available at sbir.nasa.govProcurement info – Contract Admin & Closeout – NASA

SBIR/STTR Firms Library

• Should I consider using consultants andsubcontractors?

Yes, but remember limitations (1/3 of research work), and

no NASA Personnel

• Can I submit the same proposal to differentsubtopics if it applies?

No, you risk having all proposals disqualified

SBIR/STTR Program ScheduleSBIR/STTR Program Schedule

2006 Program Solicitation Opening Date: 07/07/2006 Closing Date: 09/07/2006 Selections: Nov. 2006

http://sbir.nasa.gov

• NASA manages its SBIR and STTR programs viathe 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 SBIRwebsite http://sbir.nasa.gov

• NASA is the prime customer for SBIR and STTRdeveloped technologies

Emphasis is placed on Phase 3 contracting

NASA has issued many multi-milliondollar Phase 3 follow-on contracts

WhatWhat s New and Unique?s New and Unique?

NASA SBIR/STTR HomepageNASA SBIR/STTR Homepagehttp://sbir.nasa.gov