Challenges in Managing the SBIR Program

Strategic ViewMission Directorate PerspectiveInfusion Challenge

Carl G. Ray,

Jim Stegeman,

Kimberly HinesUsed with permission

Implementation of SBIR/STTR at NASAInnovative Partnerships Program (IPP)

TechnologyInfusion

– SBIR– STTR– IPP Seed Fund

InnovationIncubator

– Centennial Challenges

– New Business Models

– Innovation Transfusion

PartnershipDevelopment

– Intellectual Property management

– Technology Transfer

– New Innovative Partnerships

WHY SBIR????

Congress designated 4 major goals

• Stimulate technological innovation

• Use small business to meet federal R&D needs

• Foster and encourage participation by minorities and disadvantaged persons in technological innovation

• Increase private-sector commercialization innovations derived from federal R&D

• DOD SBIR/STTR• HHS SBIR/STTR• NASA SBIR/STTR• DOE SBIR/STTR• NSF SBIR/STTR• HLS SBIR• USDA SBIR• DOC SBIR• EPA SBIR• DOT SBIR• ED SBIR

SBIR/STTR Participating Agencies

TOTAL ~ $2.3 B FY 2009

Strategic Management Approach

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People Process and Products

IPP Technology for Mission Directorates

Innovative Partnerships Program

Mission Directorates• Programs• Projects

MD Technology Needs CommunicationIPP “Landscape” Development

Technology Infusion• Bridging the “Valley

of Death”• Narrow the gap and

reduce risk• Begin building

bridges early

• SBIR/STTR• Centennial Challenges• Seed Fund• Partnerships

Executed at the Field Centers

Executed at the Field Centers

SBIR/STTR: 3-Phase Program

• PHASE I• Feasibility study • $100K award• 6 months duration (SBIR) • 12 months duration (STTR)

• PHASE II• Technology Development• 2-Year Award • Up to $750K (SBIR/STTR)

• PHASE III• Technology Infusion/Commercialization Stage.• Use of non-SBIR Funds.• Ability to award sole-source contracts without JOFOC based on specific

SBIR authority – NASA and NASA primes.

SBIR is 2.5% of extramural R&D, STTR is 0.3% of extramural R&D.

SBIR/STTR Pre-Solicitation Development & SolicitationRelease Process Management 2009/2010 Milestones

Oct Nov Dec Jan Feb Mar Apr May Jun Jul

Solicitation PreparationPMO Review and HQ Concurrence

Preparation of Website

Final Publication Solicitation Review Official Solicitation Released

Subtopics Development (Support sub-process)Subtopic Write-ups from Centers

Solicitations Development Workshop

Revise Topics and Subtopics

Preliminary release for commentCenters’ Coordination

Mission Directorates’ Approvals

Aug Sep

* Starts with strategic assessment of 2009/10 SBIR/STTR Budget estimate, IPP Landscape Development and Topic/Subtopic portfolio

Mission Driven

Exploration Systems Aeronautics Research

Science Space Operations

SBIR/STTR = Small Business Innovation for NASA and the Nation

Partnership with Mission Directorates Drives SBIR/STTR Investment

SBIR/STTR Program AnnualTECHNOLOGY DEVELOPMENT & INFUSION PROCESS FLOW

CONTRACT AWARDTECHNOLOGY

DEVELOPMENT &COMMERCIAL

APPROACH

AGENCY MISSIONSIPP “LANDSCAPE”

Development

COMMERCIALIZATION OVERSIGHT ACTIVITIES

Independent Survey

&Internal Assessment

Program PerformanceCoordination

InterfacesProcess Path

MD Technology Needs& Strategic Planning

SOLICITATIONPHASE I

EVALUATIONS AND SELECTIONSFEASABILITY CONTRACTS

PHASE IIEVALUATIONS AND SELECTIONS

Commercial Industry

MissionPrograms

Awardees

SBIR/STTR Program

Mission Directorates

Independent Survey

& Internal Assessment

Small Business& Research Institutions

Phase III

SBIR/STTR TOPICS /SUBTOPICS

Development

Contract PerformanceSBC Execution

COTR Oversight

InfusionMaturation & Integration

Aero

Exploration

Science

Space Operations

ARC

DFR

C

GR

C

GSFC

JPL

JSC

KSC

LARC

MSFC

SSCDraft; Need confirmation

Multi-Center Structure

Basic Research

Mission Operations

System Test, Launch & Mission Operations

System/ Subsystem Development

Technology Demonstration

Technology Development

Research to Prove Feasibility

Basic/Applied Research

Technology Development

&Demonstration

SBIR/STTR,Industry, Federal

Mission Programs, Industry

Mission Programs, Industry,VCs,

TRL 9TRL 9

TRL 8TRL 8

TRL 7TRL 7

TRL 6TRL 6

TRL 5TRL 5

TRL 4TRL 4

TRL 3TRL 3

TRL 2TRL 2

TRL 1 TRL 1

Technology Research

&Developmen

t

SystemDevelopment

Mission Programs, IndustryFunding Sources: Federal,

Industry

TechnologyTransition

Commercial Products, Services, Systems

Requirements / GFE

Phase 3: Follow-on development, investment and use

Phase III CHALLENGE

►Phase II results infused into NASA programs or commercial market

►Phase III work may be for products, production, services, or additional R&D

►Funded from a source other than the SBIR Program Office

►Private-sector investment, in various forms, is also a vehicle for the Phase III process.

►Granted based on the merits of the Phase I or II results without further need for competition

►Viewed as “success stories”►Contract can be Fixed Price or Cost-Type

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SBIR/STTR Taxonomy

• Avionics and Astrionics• Biotechnology• Communications• Cryogenics• Education• Electronics• Extravehicular Activity• Information• Manufacturing• Materials• Microgravity• Power and Energy• Propulsion• Robotics• Sensors and Sources• Structures• Thermal• Verification and Validation

Assets

• Resources• NTTC• other

• Innovation Mag• Newsletter

• SBIR Tools• EHB

• searches• taxonomy

• objective• description

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Technology Infusion Challenge

• Establish and Maintain Quality Technology Portfolio• Assess solution space (needs and available/emerging Technologies )• Formulate strategic solutions and plans (using Capability Vision and Knowledge of barriers)• Obtain adoption and deploy solutions

Capability Needs

Technology Projections

Technology Roadmaps

Technology Access

Opportunities

Technology Infusion and Deployment

Operational Systems Solutions

Identified Gaps

Technology Portfolio Management

Capability Vision

Technology Portfolio Planning

SBIR Mission Directorate Perspective

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SOMD Technology Areas2009 Phase I

O4.05 Space Based Range Technologies

Topic O5 – Low-Cost and Reliable Access to Space (LCRATS)

O1.01 Coding, Modulation, and Compression

O1.02 Antenna TechnologyO2.02 Ground Test Facility Technologies

O1.08 Lunar Surface Communication Networks and Orbit Access Links

O2.01 Automated Collection and Transfer of Launch Range Data (Surveillance, Intrusion, Weather)

O3.01 Human Interface Systems and Technologies

O3.03 Enabling Research for ISS

O3.02 Vehicle Integration and Ground Processing

O1.03 Reconfigurable/Reprogrammable Communications Systems

O1.04 Miniaturized Digital EVA Radio

O1.05 Transformational Communications Technology

O1.06 Long Range Optical Telecommunications

O1.07 Long Range Space RF Telecommunications

O1.9 Software for Space Communications Infrastructure Operations

O4.01 Metric Tracking of Launch Vehicles

O4.03 Lunar Surface Navigation

O4.02 On-orbit PNT (Positioning, Navigation, and Timing) Sensors and Components

O4.04 Flight Dynamics Technologies and Software

Topic O1 – Space Communications Topic O2 – Space Transportation

Topic O3 – Processing & Operations

Topic O4 – Navigation

SOMD Solicitation Development Approach

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Center Chief Technologist

SOMD Program Offices

Internal (Center) Gap AnalysisCenter-Level Prioritization of

Technology Areas

Draft Technology Areas

Center ManagementConcurrence

SOMD MDR Concurrence

SBIR TIMs

SOMD MD Offices

SOMD MDR

SOMD Topic & Subtopic Managers

Responsibilities• Topic / subtopic managers develop technology area descriptions based

on MD, program, and center needs• TIMs engage center programs, line organizations, and topic / subtopic

managers• Centers establish commitment to these technology areas (e.g., ensure

appropriate subtopic manager(s), reviewers, and COTRs are available)

Solicitation StrategyAnalysis of Topic contents

Review technology portfolio, which provides a snapshot of the products being developed or that have been developed.

Ask and answer the following questions:

• Is the topic generating the interest we envision?• Is the topic generating products we can use?• How do these products fit into Agency plans? What is the pull? Or

are we pushing technology?• Are more products needed to provide trade space input?

• Yes - Keep the same product call? (i.e., keep the same content)• No - why? Satisfied with current products? Industry has

something we can buy?

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Space Operations Mission DirectorateSBIR Technology Coordination and Integration

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Space Communicationsand Navigation

SBIR – TMP Technology Integration

• Objective• Leverage SBIR awards and process as much as

possible within the SCaN Technology Development Program (TDP)

• Approach• Merge the SBIR process with the SCaN TDP

process• Recommend 2 full SBIR cycles for trial period (~4

yrs)

SOMD/SCaN Technology Development Process

SBIR Phase IProcess

SCaN Technology Development Process• Selection• Development

SBIR Phase II Process

Technology ManagementTeam (TMT)

Technology ManagementTeam (TMT)

ADD ADD ADD

Existing SCaN TechnologyDevelopments

Existing SCaN TechnologyDevelopments

Year1 3-42- 3

Navigation

Navigation

SOMD – SBIR Technology

Planned Capability

Enhanced Capability

Tech 1

Tech 2

Tech N

Enhanced Capability

Enhanced Capability

……

Lessons Learned, Issues, or Comments

• Collaboration opportunities are plentiful• Coordination with AFRL, Missile Defense Agency, Navy SPAWAR reported earlier

• SPAWAR invited NASA input towards their new SBIR solicitation

• US Army now included in SOMD SBIR content alignment discussions

• Content alignment collaboration with DoD underway

• Reformulation of SOMD SBIR content underway for 2010:• All SOMD areas: Space Communications, Space Transportation, Processing and Operations,

and Navigation

• Significant effort planned with a systems engineering approach towards technology needs; current recommendations included extensive discussions during topic reviews

• Working with SCaN and other SOMD areas

• Clustering of awards around central technology theme being evaluated• Expect to “jumpstart” capability in an area

• Building upon previous NASA and DARPA investments in XNAV technologies

Infusion Challenge

• What technology “infusion” is…• Used in a trade space• Phase III contracts• Used in NASA projects or missions

• What is in it for you, a program or project manager!• Access to current technology developments• Streamlined procurement process

Technology Infusion Managers’ Infusion Approach

• Collaborate with COTR’s to maintain technology awareness

• Facilitate the Phase I-II process without losing sight of the end goal

• Communicate with Programs and Projects to status technology capabilities and maturity

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Infusion Cycle

• Solicitation Development• Engage Mission Directorates on behalf of

researchers enabling subtopic formulation and participation

• Facilitate review and ranking process at centers• Advise Mission Directorate concerning highly

regarded proposals

• Maintain local technology portfolio31

SBIR Technology Infusion ExamplesM

ars

Phoe

nix

Land

er

Lithium ion batteries supplied by YardneyTechnical Products, Inc.

SpaceDev (formerly Starsys) contributed to the design of the Microscopy Electrochemistry and Conductivity Analyzer (MECA)

Icy Soil Acquisition Device supplied by Honeybee Robotics, Inc.

SBIR Technology Infusion ExamplesSp

ace

Shut

tle a

nd IS

S

Sources for Phase III Contracts

• Technologies developed under a Phase I or Phase II SBIR or STTR contract from NASA

• Technologies developed under a Phase I or Phase II SBIR or STTR contract from another government agency

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Resources for Programs and Projects

• Technology Infusion Managers• Advocacy and assist with Phase III contracts• Contract kick-off, midterm and final technical

reviews• SBIR Technology Search

• NASA’s SBIR Electronic Handbook• SBA Tech-Net• NTTC

• http://www.sbipp.com/technologyportfolios/

What Program and Project Managers Can Do

• Provide subject matter experts for SBIR proposal reviews.

• Provide subject matter experts for technical reviews throughout technology development.

• Consider SBIR Technologies in:• Project formulation• Trade spaces (i.e. key decision points)• Acquisition planning

Outreach & Publications

sbir.nasa.gov