Transcript Presentation Template

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
A
E N G I N E E R I N G
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
T E C H N O L O G Y
T R A N S F E R
http://www.usc.edu/go/ttc
C E N T E R
C E N T E R
NASA Commercial Technology Network
Northeast
RTTC
Midwest
RTTC
MidAtlantic
RTTC
Far West
RTTC
Mid-Continent
RTTC
Southeast
RTTC
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
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.
• 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
Objectives of the SBIR 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
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
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)
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.
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 R&D
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
What’s 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
firm’s 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
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 company’s strategic goals
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%)
Prepare High Quality SBIR Proposals
• Read and follow the solicitation carefully
• Know your customer
• Know the evaluation criteria
• Get help from other resources
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 freeform, 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
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 SubTopic 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 NASA’s 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.
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
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
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
• [email protected]
For Further Information . . .
NASA SBIR Website
http://sbir.nasa.gov