Presentation Template

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NASA Far West RTTC and the NASA SBIR/STTR
Program Introduction and Keys to Success
Presented atGovCom San Diego, CA November 18,
2003 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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NASA Mechanisms of Commercialization

• Licensing of NASA-owned intellectual property
• Collaborative arrangements and partnerships
• Space Act Agreements
• Reimbursable or non-reimbursable
• Joint Sponsored Research Agreements
• Cooperative agreements and grants
• MOU/MOA
• SBIR/STTR

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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.
• Ten federal agencies solicit proposals for
  innovative research in areas of interest to the
  agencies.
• Eligible small businesses compete for SBIR
  awards
• Approximately 1.6 billion in funding is
  available each year

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Objectives of the SBIR 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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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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Agency SBIR Funding Levels
Total of all agencies is approximately 1.6
Billion! DoD 879 Million (FY03)--SBIR/STTR DHHS
566.6 Million (FY03)--SBIR/STTR NASA 115
Million (FY03)--SBIR/STTR DoE 99 Million
(FY03)--SBIR/STTR NSF 90 Million
(FY03)--SBIR/STTR 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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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 SBIR funds available for Phase III
• Small business procures other development
  funds, product orders, intellectual property
  licenses, commercial partners, etc.

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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 Set-aside is only
0.15 of the agencies extramural RD budgets
(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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Whats in it for the Small Business?

• A source of funds to conduct research and
  development that a small firm might not otherwise
  be able to afford
• No debt, loss of equity or control of the
  company incurred by the small business
• Tacit endorsement by the federal government of
  the small firms research qualifications (looks
  good on the resume)
• A chance to become a supplier of specialized
  products or services to the private sector or
  back to a government agency (technology infusion)
• An opportunity to grow the small business
  through strategic alliances with larger corporate
  partners
• Note SBIR works best for those companies that
  integrate SBIR funds into a strategic plan for
  growth through new product or service development

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Before You Dive In to NASA SBIR

• NASA accepts phase I proposals only during one
  ten-week period each year, usually from July to
  September
• Success is not just about getting phase I and
  phase II funding
• To succeed in SBIR requires following through
  all the way to commercialization (phase III)
• A small business must have a commercialization
  mindset going into phase I to succeed ultimately
  in SBIR
• Do not propose SBIR efforts that distract you
  from your companys strategic goals

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2002 NASA Phase 1 SBIR Selection Statistics

• 2,238 proposals received from 948 small
  businesses
• 5 administratively rejected
• 31 withdrawn by small business
• 2,202 proposals evaluated (98)
• 919 recommended for funding by NASA Centers
  (41)
• 271 awards made (12)

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Prepare High Quality SBIR Proposals

• Read and follow the solicitation carefully
• Know your customer
• Know the evaluation criteria
• Get help from other resources

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Prepare High Quality SBIR Proposals

• Read and Follow the Solicitation Carefully
• Get solicitation from http//sbir.nasa.gov
• The solicitation provides all necessary forms
  and instructions for preparation, assembly and
  submission of a proposal
• Resist the urge to organize your proposal in a
  free-form, stream-of-consciousness fashion
• Use the section numbering scheme prescribed in
  the solicitation
• The solicitation tells precisely what to cover
  in each section so cover it. If a section is not
  applicable, say so.
• Submit on time and meet administrative screening
  requirements

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Prepare High Quality SBIR Proposals

• Know Your Customer
• Use the solicitation to identify topics to which
  you believe you can be responsive
• Use RTTC, NASA SBIR Manager to identify NASA
  authors of relevant SBIR topics (NASA calls them
  Sub-Topic Managers)
• Establish a relationship with the Sub-Topic
  Manager. He or she may be your customer if you
  win an award.
• Sub-Topic Managers and SBIR Managers can help
  you understand NASAs real, sometimes unstated,
  needs and priorities.
• Tailor your SBIR proposal accordingly
• Timing is important Sub-Topic Managers are not
  available to advise you during the ten-week
  period each year when NASA is accepting
  proposals. Plan ahead.

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Prepare High Quality SBIR Proposals

• Know The Evaluation Criteria
• The solicitation tells you what the evaluation
  criteria are
• For phase I proposals
• Scientific/technical merit and feasibility
• Experience, qualifications and facilities
• Effectiveness of proposed work plan
• Commercial merit and feasibility
• Increase the odds of winning by making your
  proposal shine in each of these areas
• Look outside the company to acquire necessary
  resources to address deficiencies

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Prepare High Quality SBIR Proposals

• Know and Use SBIR Program Resources
• NASA Far West RTTC
• NASA SBIR Managers
• Rosa Tonarelli, NASA Ames
• NASA SBIR website (http//sbir.nasa.gov)
• NASA SBIR Solicitation
• Participation guide
• Previous Award Winners
• Successes
• Key NASA Contacts
• NASA SBIR Support contractor
• REI Systems

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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 . . .