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 A E N G I N E E R I N G R E G I O N A L T E C H N O L O G Y T E C H N O L O G Y T R A N S F E R T R A N S F E R C E N T E R C E N T E R
N A S A
http://www.usc.edu/go/ttc
NASA Commercial Technology Network
Northeast RTTC Midwest RTTC
Far West RTTC Southeast RTTC
MidAtlantic RTTC Mid-Continent RTTC
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 Technology concept and/or application formulated Basic principles observed and reported
Source: John C. Mankins ASTRA 2004
Agency SBIR Funding Levels
Total of all agencies is more than $2 Billion! (2.5% of Agency External R&D Budgets)
DoD DHHS/NIH NASA DoE NSF HSARPA USDA DoED DoC EPA DoT $1.11 Billion (FY04)--SBIR/STTR $600 Million (FY04)--BIR/STTR $115 Million (FY04)--SBIR/STTR $105 Million (FY04)--SBIR/STTR $103.6 Million (FY03)--SBIR/STTR $19.6 Million (FY04) – new agency $15.7 Million (FY02) $8.7 Million (FY02) $7.7 Million (FY03) $6 Million (FY02) $5.3 Million (FY03)
Objectives of the Program
• Stimulate technological innovation • Use small business to meet federal R&D needs • Increase private sector commercialization derived from federal R&D • Encourage participation by disadvantaged and minority persons in technological innovation
SBIR in a Nutshell
• SBIR is a federal set-aside funding program for small businesses • SBIR funds innovative, high-risk, early-stage technology R&D 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
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 R&D 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
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.
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
Firm Size Distribution*
*FY01 Phase I DOD Award Winners
NASA’s Technical Interests
Contained in the annual SBIR/STTR solicitation Aligned with NASA’s Strategic Enterprises • Exploration Systems (new in 2004) • Aeronautics • Biological and Physical Research • Earth Science • Space Science
What’s 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 firm’s 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
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
So. Cal NASA SBIR Winners 1997-2002
No. Cal NASA SBIR Winners 1997-2002
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@usc.edu
For Further Information . . . NASA SBIR Website http://sbir.nasa.gov