|
Introduction
This guide provides an overview of both the Small Business
Innovation Research (SBIR) and the Small Business Technology
Transfer (STTR) programs as implemented by the National Aeronautics
and Space Administration (NASA). These programs provide opportunities
for Small Business Concerns (SBCs) and Research Institutions
(RIs) to participate in Government sponsored research and development
(R&D) efforts. This guide describes NASA’s operation
of these programs, including key information on participation,
points of contact, and resources for learning more about NASA’s
SBIR and STTR programs.
NASA issues annual combined Solicitations for the SBIR and
STTR programs in July via the NASA SBIR/STTR website: http://sbir.nasa.gov.
The Solicitation period is open for approximately two months
and those selected for award are announced about three months
after its closing. The Solicitations provide all the information
needed to submit proposals.
Return to top
What are
the SBIR and STTR programs?
The NASA SBIR and STTR programs fund the research,
development, and demonstration of innovative technologies that
fulfill NASA needs as described in the annual Solicitations
and have significant potential for successful commercialization.
Commercialization encompasses the transition of technology
into products and services for NASA mission programs, other
Government agencies and non-Government markets. Technological
innovation – the overall focus of the NASA SBIR and STTR
programs – is vital to the performance of the NASA mission
and to the Nation’s prosperity and security.
The SBIR and STTR programs were established by public law,
as amended, in 1982 (P.L. 106-554) and 1992 (P.L. 107-50).
Both programs seek to increase opportunities for SBCs to participate
in Government R&D, to improve overall United States competitiveness,
and to increase national employment. STTR has the additional
intent of developing collaboration between SBCs and non-profit
RIs.
Federal agencies with extramural R&D budgets exceeding
$100 million are required to administer an SBIR program. Agencies
with extramural R&D budgets exceeding $1 billion are also
required to administer an STTR program. Each agency administers
its own program within directives issued by the Small Business
Administration (SBA). The law has established SBIR funding
at 2.5% and STTR funding at 0.3% of each participating agency's
extramural R&D budget. NASA’s annual funding for
SBIR and STTR programs is approximately $125 million per year.
The statutory purposes of the SBIR/STTR programs are to stimulate
technological innovation in the private sector; to strengthen
the role of SBCs in meeting Federal research and development
needs; to increase the commercial application of these research
results; and to encourage participation of socially and economically
disadvantaged persons and women-owned small businesses.
In addition to the statutes governing the SBIR and STTR programs,
Executive Order 13329 (issued February 24, 2004) directs Federal
agencies administering the SBIR and STTR programs to advance
technological innovation in manufacturing through related
R&D. Accordingly, the NASA SBIR and STTR Solicitations
include agency needs related to manufacturing in compliance
with this Executive Order.
Return to top
Who
is eligible?
The recipient of an SBIR or STTR funding award, in accordance
with SBA directives, must qualify as a Small Business Concern
(SBC), which is
- Legally established and organized for profit with the
place of business located in the U.S.;
- Operated primarily in the U.S. or makes a significant contribution
to the U.S. economy;
- Majority owned and controlled by U.S. citizens or permanent resident
aliens; and,
- 500 employees or less, including any affiliates.
For the SBIR program, the Principal Investigator (PI)
must be primarily employed by the SBC (equivalent to at
least 50% of the PI’s work time), and precluding
full time employment with another organization. The STTR
program permits employment of the PI by either the SBC
or the RI.
Return to top
What are the benefits
of participating?
The SBIR and STTR programs provide opportunities for SBCs
and partnering RIs to work with NASA to advance proposed
innovations and transition resulting technologies, products
and services into NASA mission programs and other markets.
Other benefits of an SBIR/STTR contract with NASA include:
- "Equity-free” funding to explore, develop
and demonstrate the feasibility of proposed innovations;
- Non-disclosure of proprietary data provided under
the contract for a period of four years;
- Data and intellectual property rights necessary for
commercialization, including ownership of data, copyrights,
and inventions resulting from the performance of the contract;
and
- Fulfillment of the Federal procurement competition
requirements, enabling the award of follow-on, Phase 3 contracts
by NASA, other Federal agencies and prime contractors to
the Government without further competition.
Participants in the NASA SBIR and STTR programs report other
benefits as well:
- Gaining additional credibility after winning an SBIR/STTR
contract in the search for capital, equipment, or services;
- Obtaining exposure, experience, and contacts within
NASA that has led to other contracts or subcontracts; and
- Receiving
the debriefing comments from detailed technical evaluations,
which helps the SBC understand the strengths and weaknesses
of their proposal.
Overall, participating SBCs and RIs are challenged to develop,
transition and bring to market their innovative concepts
and technologies in ways that create benefits and contribute
to the NASA mission, the Nation’s prosperity and their
commercial growth.
Return to top
How
are the programs structured?
The structure of the SBIR and STTR programs reflects the
Congressional understanding that the innovation process
and bringing new products and services to the market takes
time and has a high degree of technical and business risk.
The programs have three phases:
Phase 1 is the opportunity to establish
the scientific, technical and commercial merit and feasibility
of the proposed innovation in fulfillment of NASA needs.
All Phase 1 contracts are selected competitively and
require reporting on the work and results accomplished,
including the strategy for the development and transition
of the proposed innovation. NASA SBIR Phase 1 contracts
last up to 6 months with a maximum funding of $100,000.
STTR Phase 1 contracts are typically for one year with
a maximum funding of $100,000.
Phase 2 is focused on the development,
demonstration and delivery of the proposed innovation.
It continues the most promising Phase 1 projects through
a competitive selection based on scientific and technical
merit, expected value to NASA, and commercial potential.
All Phase 2 contracts require reporting on the work
and results accomplished, and whenever possible, the
delivery of a prototype unit or software package, or
a more complete product or service, for NASA testing
and utilization. Both SBIR and STTR Phase 2 contracts
are usually for a period of 24 months with a maximum
funding of $600,000.
Phase 3 is the commercialization of
innovative technologies, products and services resulting
from Phase 2, including their further development for
transition into NASA programs, other Government agencies,
or the private sector. Phase 3 contracts are funded
from sources other than the SBIR and STTR programs
and may be awarded without further competition.
Return to top
How are
proposals selected for award?
NASA's SBIR and STTR programs are highly competitive. Historically,
13% of SBIR Phase 1 proposal submissions receive awards, while
20% of STTR Phase 1 proposals receive awards. About 40% of
the completed Phase 1 projects receive funding for Phase 2
development. NASA funding awards for SBIR and STTR projects
are issued as contracts between NASA and the SBC.
All proposals must be submitted in response to the annual
SBIR and STTR Solicitations. All proposals are screened
for compliance with the proposal submission requirements,
including relevance to NASA needs described in the Solicitations.
All proposals are evaluated and selected through a competitive
procurement process in which each proposal is evaluated
by NASA scientists and engineers based on factors described
in the Solicitations. These factors are:
- Scientific/Technical Merit and Feasibility;
- Experience, Qualifications and Facilities;
- Effectiveness of the Proposed Work Plan;
- Commercial Potential and Feasibility, including emphasis
upon the transition of innovative technology, product and
services into NASA mission programs.
Proposals recommended for award are ranked in priority
order by the cognizant NASA center. The SBIR/STTR Source
Selection Official at NASA Headquarters selects proposals
for contract negotiations.
The Request for Proposal for Phase 2 is included within
the Phase 1 contract. If the SBC chooses to compete for
Phase 2 funding, the proposal is due at the end of the
Phase 1 contract performance period. A Phase 2 proposal
is accepted only from the SBC conducting the Phase 1
project.
Return to top
What
are the differences between the SBIR and STTR programs?
Key elements of the two programs are summarized below.
The annual Solicitations should be reviewed for further
information on the requirements of the programs.
|
SBIR |
STTR |
| Maximum
Contract Value |
Phase 1 - $100,000
Phase 2 - $600,000 |
Phase 1 - $100,000
Phase 2 - $600,000 |
| Phase
I Duration |
Not more than 6 months |
Not more than 12 Months |
| Primary
Employment |
Primary employment of
the PI must be with the SBC at the time of award
and during the conduct of the project. Primary employment
means PI will average a minimum of 20 hours per week
with the SBC, and that more than half of the PI's
total employed time is spent with the SBC. |
PI must be primarily
employed with either the SBC or RI, with the equivalent
definitions as in SBIR for time and amount. |
| Cooperative
Agreement |
Not Applicable |
The offeror must submit
a written agreement between the SBC and the RI. |
| Allocation
of Rights Agreement |
Not Applicable |
May be requested by
the Contracting Officer after the SBC is selected
for contract award. |
| Work
Distribution |
SBC may perform up to
100% of the work. |
Not less than 40% of
the work is to be performed by the SBC and not less
than 30% is to be performed by the RI. |
| Subcontractors/
Consultants |
Must
not exceed one third of the research and/or analytical
work for Phase 1 and one half for Phase 2. |
Minimum of 40% of the
work is to be performed by the SBC and not less than
30% is to be performed by the RI. Up to 30% of the
work may go to a subcontractor. |
| Historical
Award Percentage |
Phase 1: About
13% of proposal submissions
Phase 2: About 40% of the successfully completed
Phase 1 projects |
Phase 1: About
20% of proposal submissions
Phase 2: About 40% of the successfully completed
Phase 1 projects |
Return to top
What
are the SBIR and STTR research areas?
The SBIR and STTR Solicitations are produced in partnership
with NASA’s Mission Directorates and centers to
focus on the agency’s priority mission needs. These
needs, updated annually, are organized under topics and
subtopics. Proposals eligible for award must address
one or more needs within a subtopic.
The Solicitations (http://sbir.nasa.gov) include tools
employing text search and a technology taxonomy that
are available to help find subtopics of interest. The
technology taxonomy also allows a SBC or RI to find subtopics
whose text may not include specific technical words but
which are relevant.
SBIR
NASA’s Mission Directorates and centers manage the
topics and subtopics for the Solicitations. Topics and
subtopics evolve in keeping with the agency’s mission
needs and priorities. Each subtopic is normally the responsibility
of one NASA center, noted as “Lead Center” in
the Solicitation, with assistance from “Participating
Centers.”
All four NASA Mission Directorates participate in the
SBIR program:
AERONAUTICS RESEARCH MISSION DIRECTORATE
http://www.aerospace.nasa.gov
NASA is the nation’s leading Government
organization for aeronautical research. This world class
capability is built on a tradition of expertise in core
disciplines. The Aeronautics Research Mission Directorate
brings to realization NASA’s dedication to the
mastery of core competencies in subsonic, supersonic,
and hyper-sonic flight. This Directorate will develop
system-level, multi-disciplinary capabili-ties to meet
the needs of both civilian and military communities.
EXPLORATION SYSTEMS MISSION DIRECTORATE
http://www.exploration.nasa.gov
The Exploration Systems Mission Directorate
develops capabilities and supporting research and technology
that enable sustained and affordable human and robotic
exploration and that ensure the health and performance
of crews during long-duration space exploration.
This Directorate will develop the robotic precursor
missions, human transportation elements, and life support
systems for the near-term goal of lunar exploration.
SCIENCE MISSION DIRECTORATE
http://science.hq.nasa.gov
The Science Mission Directorate develops
and operates an overall program of science and exploration.
Objectives include the following: (1) study planet Earth
from space to advance scientific understanding and meet
societal needs; (2) understand the Sun and its effects
on Earth and the Solar System; (3) advance sci-entific
knowledge of the origin and history of the solar system,
the potential for life elsewhere, and the hazards and
resources present as humans explore space; and (4) discover
the origin, structure, evolution, and destiny of the
uni-verse, and search for Earth-like planets.
SPACE OPERATIONS MISSION DIRECTORATE
http://www.hq.nasa.gov/osf
The Space Operations Mission Directorate evolves and
innovates the operational capabilities for the agency
and synergistically guides the development of certain
operational systems, such as communications. The Directorate
provides the foundation for NASA’s space programs — space
travel for human and robotic missions, inspace laboratories,
and the means to return data to Earth. It pro-vides space
access with a high standard of safety, reliability, and
affordability. The focus of the Directorate’s SBIR
activity is to provide affordable communications for
exploration, science and space access services.
Return to top
STTR
STTR topics and subtopics focus on needs
associated with the core competencies of NASA’s
centers in support of NASA mission programs. Each participating
center has two subtopics grouped under a topic titled
with the center name.
Return to top
Where can I
obtain more information?
The NASA SBIR/STTR website (http://sbir.nasa.gov)
contains Solicitations and schedules, along with a wealth
of related information. Documents and information available
include prior award lists, technical abstracts, program
statistics, procurement information, and links to state
and private assistance organizations.
The SBIR/STTR Firm’s Library (http://sbir.nasa.gov/samples)
provides spe-cific help in meeting proposal and contract
requirements. The Firm’s Library offers templates
and samples of all potential Phase 1 and Phase 2 deliverables
from proposal submissions through the life of the contract.
Samples include pro-posals, forms for proposals and contract
negotiations, cooperative agreements (STTR), briefing
charts, and reports. In addition, templates and samples
for items such as business plans, briefing charts, and
success story documentation are available.
NASA TechSource (http://sbir.nasa.gov/technologies)
provides searchable information on current and recently
completed SBIR and STTR Phase 2 projects funded by NASA.
The NASA SBIR/STTR Archive of proposal abstracts of
previous NASA Phase 1 and 2 awards, accessible via the
NASA SBIR/STTR website, is also available to assist the
formulation of proposals.
The NASA Innovative Partnerships Program (http://www.ip.nasa.gov)
provides additional online technology resources for
exploring other NASA research, technology, expertise
and R&D capabilities.
Return to top
How do
I prepare a Phase 1 proposal?
Basic requirements differ in certain important details
among the agencies that operate SBIR/STTR programs. Thus
a careful review of the NASA SBIR-STTR Solicitations is
necessary to comply with the instructions and requirements
for an acceptable and competitive proposal to NASA. Tools
for submission of proposals, contract management, and
samples of required documents are provided on the SBIR/STTR
website under the link entitled Handbooks. Proposal submission
tools are only available during the open Solicitation period.
Highlights of the Phase 1 proposal instructions from
the Solicitations are provided below.
A competitive Phase 1 proposal will clearly and concisely
(1) describe the pro-posed innovation relative to the
state of the art; (2) address the scientific, technical
and commercial merit and feasibility of the proposed
innovation and its rele-vance and significance to one
or more NASA needs within a subtopic of the Solicitations;
and (3) provide a preliminary strategy that addresses
key technical, market, business factors pertinent to
the successful development, demonstration of the proposed
innovation, and its transition into products and services
for NASA mission programs and other potential customers.
Phase 1 proposals are limited to 25 pages and must include
the following items in the specified order:
- Cover Sheet (Form A);
- Proposal Summary (Form B);
- Budget Summary (Form C);
- Technical Content;
- Technology Taxonomy and Briefing Chart (not included
in the 25-page limit. The Briefing Chart must not contain
proprietary data).
The technical content must contain the 11 parts listed
below, in order, and must not exceed 22 pages for SBIR
and 21 pages for STTR including all graphics and the
Table of Contents. Each form counts as one page each.
The space allocated to each part will depend on the project
chosen and the SBC's approach:
Part 1: Table of Contents
Part 2: Identification and Significance
of the Proposed Innovation
Part 3: Technical Objectives
Part 4: Work Plan
Part 5: Related R/R&D
Part 6: Key Personnel and Bibliography of Directly Related
Work
Part 7: Relationship with Future R/R&D
Part 8: Company Information and Facilities
Part 9: Subcontracts and Consultants
Part 10: Potential Post Applications (Commercialization)
Part 11: Similar Proposals and Awards
In addition, proposals to the STTR program require the
electronic submission of the cooperative agreement between
the SBC and the RI. A model agreement is provided in
the Solicitations, or offerors can create their own agreement.
This agreement counts as one page toward the 25 page
limit.
A non-proprietary one page briefing chart is requested
to assist in the ranking and advocacy of proposals prior
to selection. This chart is not counted against the 25-page
limit. Its submission, along with classifying the proposed
innovation within the technology taxonomy, also enhances
NASA’s use of project results.
Each proposal submitted must address one or more NASA
needs within just one subtopic. An SBC may submit more
than one proposal to the same subtopic; however, the
SBC should not submit the same (or substantially equivalent)
pro-posal to more than one subtopic. NASA will not accept
more than 10 proposals to either program from any one
company. The acceptance of awards for essentially equivalent
work being performed at any other agency of the Federal
Government is not allowed and is considered fraudulent
and subject to criminal prosecution.
All Phase 1 contracts require the delivery of reports
that present (1) the work and results accomplished; (2)
the scientific, technical and commercial merit and fea-sibility
of the proposed innovation; (3) the relevance and significance
to one or more NASA needs; and (4) the strategy for development
and transition of the proposed innovation into products
and services for NASA mission programs and other potential
customers.
The negotiated Phase 1 contract contains the Request
for Proposal for the Phase 2 follow on project. Submission
of a Phase 2 proposal is voluntary.
Return to top
What sources
of assistance are available?
Since the inception of the SBIR and STTR program a wide
range of public and private sector programs and services
have emerged to assist SBCs in all phases of the programs.
The SBA (http://www.sba.gov/sbir) provides information
on the SBIR and STTR programs across the federal government
as well as other programs and services that provide assistance
for the development of small businesses and their participation
in the SBIR and STTR programs.
The National Science Foundation sponsors an extensive
website for the overall SBIR/STTR community (http://sbirworld.com).
The following organizations and individuals may be contacted
for assistance concerning participation in the NASA SBIR/STTR
programs.
NASA SBIR/STTR Help Desk
REI Systems, Inc.
NASA SBIR-STTR Support Office
4041 Powder Mill Road, Suite 311
Calverton, MD 20705-3106
Telephone: 301-937-0888
email: sbir@reisys.com
NASA SBIR/STTR Program Management Office
The Innovative Partnership Program within the Office
of the NASA Associate Administrator at NASA Headquarters
provides overall management for the NASA SBIR/STTR
programs. The NASA SBIR/STTR Program Management Office,
which operates the programs in conjunction with NASA
Mission Directorates and centers, is hosted at the
NASA Ames Research Center.
Program Executive and Selection Official:
Mr. Carl G. Ray
Innovative Partnerships Program/NASA Headquarters
300 E Street, SW
Washington, DC 20546-0001
Telephone: 202-358-4652
email: Carl.G.Ray@nasa.gov
Program Manager:
Dr. Gary C. Jahns
MS 202A-3/Ames Research Center
Moffett Field, CA 94035-1000
Telephone: 650-604-6595
email: Gary.C.Jahns@nasa.gov
Procurement:
Mr. John A. Cecconi
Bldg 5100/202-125
NASA Shared Services Center
Stennis Space Center,
MS 39529-6000
Telephone: 228-318-6810
Email: john.a.cecconi@nasa.gov
Electronic Handbook Manager:
Dr. Barry. E. Jacobs
Code 690.1/Goddard Space Flight Center
Greenbelt, MD 20771-0001
Telephone: 301-286-5661
email: Barry.E.Jacobs@nasa.gov
Return to top
NASA Center SBIR and STTR Program Managers
The prime contacts at each NASA center are the SBIR/STTR
Program Managers listed below. Those interested in submitting
proposals may communicate with NASA mission program personnel
and researchers to learn about the needs and objectives
of mission programs except when a Solicitation is active
(between the date of issue and the deadline for receipt
of proposals).
Ames
Research Center (ARC):
Dr. Ryszard Pisarski
MS 202A-3/Ames Research Center
Moffett Field, CA 94035-1000
Telephone: 650-604-0149
email: Ryszard.L.Pisarski@nasa.gov
Dryden
Flight Research Center (DFRC):
Mr. Laguduva Kubendran
MS 2004/Dryden Flight Research Center
Edwards, CA 93523-0273
Telephone: 661-276-2989
email: Laguduva.R.Kubendran@nasa.gov
Glenn
Research Center (GRC):
Ms. Gynelle C. Steele
MS 4-8/Glenn Research Center
Cleveland, OH 44135-3127
Telephone: 216-433-8258
email: Gynelle.C.Steele@nasa.gov
Goddard
Space Flight Center (GSFC):
Dr. E. James Chern
Code 504/Goddard Space Flight Center
Greenbelt, MD 20771-0001
Telephone: 301-286-5836
email: Engmin.J.Chern@nasa.gov
Jet Propulsion
Laboratory (JPL):
Dr. Andrew Gray
MS 249-103/Jet Propulsion Laboratory
Pasadena, CA 91109-8099
Telephone: 818-354-4906
email: Andrew.A.Gray@jpl.nasa.gov
Johnson
Space Center (JSC):
Mr. Kevin Lee
Code EB/Johnson Space Center
Houston, TX 77058-3607
Telephone: 281-483-5013
email: Kevin.W.Lee@nasa.gov
Kennedy
Space Center (KSC):
Ms. Joni Richards
Code KT-A2/Kennedy Space Center
Kennedy Space Center, FL 32899-0001
Telephone: 321-867-2225
email: Joni.M.Richards@nasa.gov
Langley
Research Center (LaRC):
Mr. Robert L. Yang
MS 211/Langley Research Center
Hampton, VA 23681-2199
Telephone: 757-864-8020
email: Robert.L.Yang@nasa.gov
Marshall
Space Flight Center (MSFC):
Ms. Lynn Garrison (SBIR)
MS ED03/Marshall Space Flight Center
Huntsville, AL 35812
Telephone: 256-544-6719
email: Virginia.B.Garrison@nasa.gov
Ms. Helen C. Stinson (STTR)
MS ED03/Marshall Space Flight Center
Huntsville, AL 35812
Telephone: 256-544-7239
email: Helen.C.Stinson@nasa.gov
Stennis
Space Center (SSC):
Mr. James Bryant
Code TA00/Stennis Space Center
Stennis Space Center, MS 39529-6000
Telephone: 228-688-3964
email: James.R.Bryant@nasa.gov
Return to top
Additional Sources of Assistance
Additional sources of assistance available to participants
in the NASA SBIR/STTR programs include the following organizations:
The National Technology Transfer Center
(http://www.nttc.edu) works
with NASA and other agencies to provide services and capabilities
for the transfer and commercialization of federally funded
R&D. The NTTC’s technology com-mercialization services
are available to participants in the NASA SBIR/STTR programs.
Technology Tree Group, Inc. (http://www.technology-tree.com),
a development company focused on technology commercialization,
works with NASA SBIR firms and investment sources to commercialize
technologies funded by NASA.
NASA’s agreements and joint efforts with the NTTC
and Technology Tree are part of an emerging alliance of business
incubators, early-stage investors and technology commercialization
organizations working with the NASA SBIR/STTR community.
This initiative – the NASA Alliance for Small Business
Opportunity – is designed to assist the commercialization
of innovative technologies in ways that contribute to business
growth, NASA mission performance and the Nation’s prosperity.
Return to top
|
![[Solicitation]](https://webarchive.library.unt.edu/eot2008/20080916021949im_/http://sbir.gsfc.nasa.gov/SBIR/images/topnav/solicit.gif){kind=small}
![[Awards]](https://webarchive.library.unt.edu/eot2008/20080916021949im_/http://sbir.gsfc.nasa.gov/SBIR/images/topnav/awards.gif){kind=small}
![[Program Information]](https://webarchive.library.unt.edu/eot2008/20080916021949im_/http://sbir.gsfc.nasa.gov/SBIR/images/topnav/programinfo.gif){kind=small}
![[Procurement Information]](https://webarchive.library.unt.edu/eot2008/20080916021949im_/http://sbir.gsfc.nasa.gov/SBIR/images/topnav/procurinfo.gif){kind=small}
![[Electronic Handbooks]](https://webarchive.library.unt.edu/eot2008/20080916021949im_/http://sbir.gsfc.nasa.gov/SBIR/images/topnav/handbooks.gif){kind=small}
![[Program Schedule]](https://webarchive.library.unt.edu/eot2008/20080916021949im_/http://sbir.gsfc.nasa.gov/SBIR/images/topnav/schedule.gif){kind=small}
![[Success Stories]](https://webarchive.library.unt.edu/eot2008/20080916021949im_/http://sbir.gsfc.nasa.gov/SBIR/images/topnav/success.gif){kind=small}
