Presentation Template

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NASA Far West RTTC and the NASA SBIR/STTR
Program Introduction and Keys to Success
Presented at CALED Annual Conference San Diego,
CA April 7, 2004 by Ken Dozier Executive
Director, NASA Far West RTTC
U S C E N G I N E E R I
N G T E C H N O L O G Y
T R A N S F E R C E N
T E R A N A S A R E G
I O N A L T E C H N O L
O G Y T R A N S F E R
C E N T E R h t t p / / w w w . u s
c . e d u / g o / t t c
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NASA Commercial Technology Network

Northeast RTTC
Midwest RTTC
Mid- Atlantic RTTC
Far West RTTC
Southeast RTTC
Mid-Continent RTTC
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Technology Readiness Levels (TRLs)
Actual system flight proven through successful
mission operations Actual system completed and
flight qualified through test and demo (Ground
or Flight) System prototype demonstration in a
space Environment System/subsystem model or
prototype demo. in a relevant environment (Ground
or Space) Component and/or breadboard validation
in relevant environment Component and/or
breadboard validation in laboratory
environment Analytical and experimental critical
function and/or characteristic proof-of-concept T
echnology concept and/or application
formulated Basic principles observed and
reported
Source John C. Mankins ASTRA 2004
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Agency SBIR Funding Levels
Total of all agencies is more than 2 Billion!
(2.5 of Agency External RD Budgets) DoD 1.11
Billion (FY04)--SBIR/STTR DHHS/NIH 600 Million
(FY04)--BIR/STTR NASA 115 Million
(FY04)--SBIR/STTR DoE 105 Million
(FY04)--SBIR/STTR NSF 103.6 Million
(FY03)--SBIR/STTR HSARPA 19.6 Million (FY04)
new agency USDA 15.7 Million (FY02) DoED 8.7
Million (FY02) DoC 7.7 Million (FY03) EPA 6
Million (FY02) DoT 5.3 Million (FY03)
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Objectives of the Program

• Stimulate technological innovation
• Use small business to meet federal RD needs
• Increase private sector commercialization
  derived from federal RD
• Encourage participation by disadvantaged and
  minority persons in technological innovation

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SBIR in a Nutshell

• SBIR is a federal set-aside funding program for
  small businesses
• SBIR funds innovative, high-risk, early-stage
  technology RD projects that have potential for
  commercial success.
• 11 federal agencies solicit proposals for
  innovative research in areas of interest to the
  agencies.
• Eligible small businesses compete for SBIR
  awards
• More than 2 billion in funding available in
  2004

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STTR Companion Program to SBIR
STTR is the Small Business Technology Transfer
Program Three-phase approach, just like SBIR Five
federal agencies participate DOD, NIH, NASA,
NSF, DOE Set-aside is only 0.3 of the agencies
extramural RD budgets, beginning in 2004
(compared to 2.5 for SBIR) A small business must
form a partnership with a nonprofit research
institution to be funded under STTR The small
business is the prime contractor Goal is to
facilitate commercialization of technology
developed by a nonprofit research institution
through the entrepreneurship of a small business
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The Three Phases of NASA SBIR

• Phase I Feasibility Study
• Up to 70,000
• Six month effort funded by contract
• Phase II Prototype Development
  
• Up to 600,000
• Up to two year effort funded by contract
• Phase III Commercialization
  
• No designated SBIR funds available for Phase
  III
• Small business procures other development
  funds, product orders, intellectual property
  licenses, commercial partners, etc.

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Who Participates in SBIR

• Firms are typically very small and new to the
  program
• About 1/3 are first-time Phase I awardees.
• Small high-tech companies from all 50 states

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NASAs Technical Interests

• Contained in the annual SBIR/STTR solicitation
• Aligned with NASAs Strategic Enterprises
• Exploration Systems (new in 2004)
• Aeronautics
• Biological and Physical Research
• Earth Science
• Space Science

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Whats in it for the Small Business?

• A new source of funds to conduct research and
  development
• No debt, loss of equity or control of the
  company incurred by the small business
• Implied endorsement by the federal government of
  the small firms research qualifications (looks
  good on the resume)
• A designation as a sole-source supplier of
  specialized products or services to a government
  agency (technology infusion)
• Captures the attention of larger corporate
  partners
• Note SBIR is intended to drive the development
  of new small business products and services

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2003 NASA Phase 1 SBIR Selection Statistics

• 2,690 proposals received from 1,098 small
  businesses
• 3 administratively rejected
• 27 withdrawn by small business
• 2,660 proposals evaluated (99)
• 310 awards made (12)
• Typically 125-150 move on to Phase II

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So. Cal NASA SBIR Winners 1997-2002
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No. Cal NASA SBIR Winners 1997-2002
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For Further Information . . .

• NASA Far West Regional Technology Transfer
  Center
• http//www.usc.edu/go/TTC/NASA/SBIR/index.html
• 213-743-2353
• 800-642-2872
• nasa_at_usc.edu

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NASA SBIR Websitehttp//sbir.nasa.gov
For Further Information . . .