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Participation Guide

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 SBIR and STTR programs, including key information on participation, points of contact, and resources for learning more.

NASA annually issues 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 detailed information on the proposal submission process.

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Overview

The NASA SBIR and STTR programs fund the research and development 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 missions, other Government agencies, and non-Government markets. The overall focus of the NASA SBIR and STTR programs is technological innovation, which 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 in 1982, amended in 2000 (P.L. 106-554) and 2001 (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;
  • Strengthen the role of SBCs in meeting Federal research and development needs;
  • Increase the commercial application of these research results; and
  • 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.

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SBIR and STTR Differences

An SBIR contract is awarded to a small business concern. An STTR contract is awarded to a small business concern working in partnership with a research institute.

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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 into products and services for 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 for Phase 3 contracts by NASA, other Federal agencies, and prime contractors of the Government without further competition.

Participants in the NASA SBIR and STTR programs report other benefits as well:

  • Gaining additional credibility in the search for capital, equipment, or services after winning an SBIR/STTR contract;
  • 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 contribute to the NASA mission, the Nation’s prosperity, and commercial growth.

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Eligibility

The recipient of an SBIR or STTR funding award, in accordance with SBA directives, must qualify as a Small Business Concern, which is defined as:

  • 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.

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Program Structure

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 maximum funding of $125,000. The duration of STTR Phase 1 contracts is typically 12 months with a maximum funding of $125,000.

Phase 2 is focused on the development, demonstration, and delivery of the proposed innovation. The most promising Phase 1 projects are awarded Phase 2 contracts 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, results accomplished, (whenever possible) the delivery of a prototype unit or software package, or a more complete product or service for NASA testing and utilization. The duration of both SBIR and STTR Phase 2 contracts is usually a period of 24 months with maximum funding of $750,000.

Phase 2 Enhancement (2-E) is an incentive for cost share to extend the R&D efforts of the current Phase 2 contract. Under this option, NASA may match with SBIR/STTR funds up to $250,000 of non-SBIR/non-STTR investment(s) from a NASA project, NASA contractor, or third party commercial investor to extend an existing Phase 2 project to perform additional research. The total cumulative award for the Phase 2 contract plus the Phase 2-E match will not exceed $1,000,000.00 of SBIR/STTR funding. The non-SBIR contribution is not limited since it is regulated under the guidelines for Phase 3 award.

Phase 3 is the commercialization of innovative technologies, products and services resulting from a Phase 2 contract.  This includes further development of technologies 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.

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Award Selection

NASA’s SBIR and STTR programs are highly competitive. Historically, 20% of SBIR Phase 1 proposal submissions receive awards and 25% of STTR Phase 1 proposals receive awards. About 40% of the completed Phase 1 projects receive funding for Phase 2 development. NASA funded 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 NASA SBIR and STTR Solicitations. All proposals are screened for compliance with the submission requirements, including relevance to NASA needs described in the Solicitations. Proposals are 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; and
  • Commercial potential and feasibility, including emphasis on the transition of innovative technology, product and services into NASA mission programs.

Proposals recommended for award are ranked in order of priority by the by each of the respective Mission Directorates. 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.

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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

AERONAUTICS RESEARCH MISSION DIRECTORATE
http://www.aerospace.nasa.gov

The Aeronautics Research Mission Directorate utilizes a balanced research and development portfolio to explore early-stage innovative ideas, develop new air vehicle technologies and air traffic operational procedures, and demonstrate the potential of promising new vehicles, operations, and safety technology in relevant environments.  Our goals are to expand aviation system capacity, enable fuel-efficient flight planning, reduce the overall environmental footprint of airplanes today and in the future, reduce delays on the ground and in the sky, and improve the ability to operate in all weather conditions while maintaining the current high aviation safety standards.

 

EXPLORATION SYSTEMS MISSION DIRECTORATE
http://www.exploration.nasa.gov

The Exploration Systems Mission Directorate develops new capabilities, supporting research, and technology that enable sustained and affordable human and robotic exploration and 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 enabling a broad set of future exploration capabilities.

 

SCIENCE MISSION DIRECTORATE
http://science.hq.nasa.gov

The Science Mission Directorate (SMD) sponsors research that both enables, and is enabled by, NASA's exploration activities. The directorate seeks to understand the origins, evolution, and destiny of the universe and to understand the nature of the strange phenomena that shape it. SMD also seeks to understand: the nature of life in the universe and what kinds of life may exist beyond Earth; the solar system, both scientifically and in preparation for human exploration; and the Sun and Earth, changes in the Earth-Sun system, and the consequences of the Earth-Sun relationship for life on Earth.

 

SPACE OPERATIONS MISSION DIRECTORATE
http://www.hq.nasa.gov/osf

The Space Operations Mission Directorate provides the Agency with leadership and management of NASA space operations related to human exploration in and beyond low-Earth orbit. Space Operations also oversees low-level requirements development, policy, and programmatic oversight. Current exploration activities in low-Earth orbit are the Space Shuttle and International Space Station programs. The directorate is similarly responsible for Agency leadership and management of NASA space operations related to Launch Services, Space Transportation, and Space Communications in support of both human and robotic exploration programs.
 
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.

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Phase I Proposal Preparation

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 proposed innovation relative to the state of the art; (2) address the scientific, technical and commercial merit and feasibility of the proposed innovation, and its relevance and significance to one or more NASA needs within a subtopic of the Solicitation; and (3) provide a preliminary strategy that addresses key technical, market, and 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 & Significance of the Proposed Innovation
Part 3:        Technical Objectives
Part 4:        Work Plan
Part 5:        Related R/R&D
Part 6:        Key Personnel & Bibliography of Directly Related Work
Part 7:        Relationship with Future R/R&D
Part 8:        Company Information & Facilities
Part 9:        Subcontracts & Consultants
Part 10:      Potential Post Applications (Commercialization)
Part 11:      Similar Proposals & 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 enhances NASA’s use of project results. Each proposal submitted must address one or more NASA need 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) proposal 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 feasibility of the proposed innovation; (3) the relevance and significance to one or more NASA need; and (4) the strategy for development and transition of the proposed innovation into products and services for NASA mission programs and other potential customers.

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Additional Information

The NASA SBIR/STTR website (http://sbir.nasa.gov) contains Solicitations and schedules, along with a wealth of related information. Documents and other 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 (https://sbir.gsfc.nasa.gov/sbir/firm_library/index.html) provides specific 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: proposals, 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 (https://sbir.gsfc.nasa.gov/sbir/search/fundedTechSearch.jsp) provides searchable information on current and recently completed SBIR and STTR Phase 2 projects funded by NASA.

The NASA SBIR/STTR Archive (http://sbir.gsfc.nasa.gov/SBIR/awdarch.htm) 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.

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Sources of Assistance

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 (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.

Additional sources of assistance available to participants in the NASA SBIR/STTR programs include:

The National Technology Transfer Center (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 commercialization services are available to participants in the NASA SBIR/STTR programs.

NASA’s agreement and joint effort with the NTTC is 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.

The organizations mentioned above as well as the following individuals may be contacted for assistance concerning participation in the NASA SBIR/STTR programs.

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NASA SBIR/STTR Help Desk

NASA SBIR/STTR Support Office
REI Systems, Inc.
4041 Powder Mill Road, Suite 311
Calverton, MD 20705
Telephone: 301-937-0888
Fax:301-937-0204
email: sbir@reisys.com

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Program Management Office

Program Executive:
Dr. Richard B. Leshner
Office of the Chief Technologist/NASA Headquarters
300 E Street, SW
Washington, DC 20546-0001
Telephone: 202-358-4920
email: Richard.B.Leshner@nasa.gov

Program Manager
Dr. Gary C. Jahns
Ames Research Center/MS 239-11
Moffett Field, CA 94035-1000
Telephone: 650-604-6595
email: Gary.C.Jahns@nasa.gov

Business Manager
Mr. Carlos Torrez
Ames Research Center/MS 202A-3
Moffett Field, CA 94035-1000
Telephone: 650-604-5797
email: Carlos.Torrez@nasa.gov

Technology Infusion Manager
Dr. Ryszard Pisarski
Ames Research Center/MS 202A-3
Moffett Field, CA 94035-1000
Telephone: 650-604-0149
email: Ryszard.L.Pisarski@nasa.gov

Procurement
Ms. Cassandra Williams
NASA Shared Services Center/Bldg 5100/202-125
Stennis Space Center, MS 39529-6000
Telephone: 228-813-6271
email: Cassandra.Williams-1@nasa.gov

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Center SBIR/STTR Program Contacts

SBIR Mission Directorate Administrative Centers

SBIR Technology Infusion Points of Contact
 

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Curator: Samidha Manu
NASA Official: Richard B. Leshner

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