This presentation provides an overview of the NASA mission and overviews of both the Innovative Partnerships Program (IPP) and Small Business Innovation Research (SBIR) programs and how they relate to each other and to the NASA mission. Examples are provided concerning NASA technology needs and how the SBIR program has not only enabled technology development to meet those needs, but has also facilitated the infusion of that technology into the NASA mission

Comstock, Douglas

Stegeman, James D.

NASA Technical Reports Server

SBIR/STTR Programs 
 
James D. Stegeman 
Space Operations Mission Directorate 
NASA Glenn Research Center 
 
National SBIR Conference 
November 14, 2008 Hartford, CT 
 
This presentation provides an overview of the NASA mission and overviews of both the 
IPP and SBIR programs and how they relate to each other and to the NASA mission.  
Examples are provided concerning NASA technology needs and how the SBIR program 
has not only enabled technology development to meet those needs, but has also facilitated 
the infusion of that technology into the NASA mission. 
 
https://ntrs.nasa.gov/search.jsp?R=20090004864 2019-08-30T06:00:26+00:00Z
National Aeronautics and Space Administration
SBIR/STTR Programs 
November 2008
James D. Stegeman
Space Operations Mission Directorate
NASA Glenn Research Center 
National SBIR Conference
November 14, 2008   Hartford, CT
NASA Explores For Answers That Power Our Future
Inspiration
NASA powers inspiration that encourages future 
generations to explore, learn, and build a better future.
Innovation
NASA powers innovation that creates new jobs, new 
markets, and new technologies.
Discovery
NASA powers discovery that enables us to learn more about 
ourselves, our world, and how to manage and protect it.
Inspiration + Innovation + Discovery = Future
NASA’s Strategic Goals
• Fly the space shuttle as safely as possible until its retirement, 
not later than 2010.
• Complete the International Space Station in a manner consistent 
with our international partner commitments and the needs of 
human exploration.
• Develop a balanced overall program of science, exploration, and 
aeronautics consistent with the redirection of the human 
spaceflight program to focus on exploration.
• Bring a new Crew Exploration Vehicle into service as soon as 
possible after shuttle retirement.
• Encourage the pursuit of appropriate partnerships with the 
emerging commercial space sector.
• Establish a lunar return program having the maximum possible 
utility for later missions to Mars and other destinations. 
Global Partnerships
Scientific Knowledge
Exploration Preparation
Human Civilization
Economic Expansion
Public Engagement
Global Exploration Strategy
Global Exploration Strategy
Space Operations Mission Directorate Science Mission Directorate
Aeronautics Mission Directorate Explorations Systems Mission Directorate
NASA Organization
Aeronautics Research
Agency Capability Roadmap
Space Operations
Space Shuttle:
Return to Flight
Space
Communications
Space
Transportation
ISS:
Completion
Exploration Systems
Science
Planetary
Science Astrophysics
Management
& Policy
Heliophysics Earth Science Fundamental Aeronautics
• Subsonics: Fixed Wing
• Subsonics: Rotary Wing
• Supersonics
• Hypersonics
Aviation Safety
• Integrated Vehicle Health Mgmt.
• Integrated Intelligent Flight Deck
• Integrated Resilient Aircraft Control
• Aircraft Aging & Durability
Aeronautics TestAirspace Systems
• NGATS: Airspace
• NGATS: Airportal
Protect and maintain key 
research and test facilities
Crosscutting
Multifunctional 
Intelligence
High performanceweight
Extreme 
Temperature 
Resistance
Extreme
Radiation 
Resistance
Meteorite
Impact 
&
Dust
Resistance
Ultra-sensitive 
Signal capture
• Lunar Surface:
-233 °C to 123 °C
• Mars Surface:
-87 °C to -5 °C
• Mission to Europa:
1-5 Mrads
• Highly electrostatic
• Ultrafine
• Human Habitats
• Launch $
• Aeronautics Applications
• Human Habitats
• Scientific Productivity
• Human “Amplifiers”
• IVHM
• Voyager:
Signal From 9.3 x 109 mi
Sensors In Extreme Environments
Innovative Partnerships Program
Matching Technology Needs with Technology Capabilities
IPP’s Dynamic Innovation Process
Innovative Partnerships Program Elements
Technology
Infusion
• Small Business 
Innovation 
Research (SBIR)
• Small Business 
Technology 
Transfer 
Research (STTR)
• IPP Seed Fund
Innovation
Incubator
• Centennial 
Challenges
• New 
Business 
Models
• Innovation 
Transfusion
Partnership
Development
• Intellectual 
Property 
Management
• Technology 
Transfer
• New 
Innovative 
Partnerships 
IPP Technology for Mission Directorates
Innovative 
Partnerships Program
Mission Directorates
• Programs
• Projects
Technology Needs
• Communication
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
Technology Demonstration is critical to Infusion
TRL 9 Actual system “flight proven” through 
successful mission operations.
TRL 8 Actual system completed and “flight 
qualified” through test and 
demonstration (ground or space).
TRL 7 System prototype demonstration in a 
space environment.
TRL 6 System/subsystem model or prototype 
demonstration in a relevant 
environment (ground or space).
TRL 5 Component and/or breadboard 
validation in relevant environment.
TRL 4 Component and/or breadboard 
validation in laboratory environment.
TRL 3 Analytical and experimental critical 
function and/or characteristic proof-of 
concept.
TRL 2 Technology concept and/or application 
formulated.
TRL 1 Basic principles observed and reported.
• As a rule of thumb, projects like 
technology to be TRL-6 by PDR
• Technology Demonstration in 
relevant environments is critical
SBIR Technology Infusion Examples
ASCII chip for 
memory modules 
and analog-to-
digital converters.
Lithium-ion 
batteries for 
battery 
packs.
Heat switches
to control 
radiator for 
electronics 
package.
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Technologies and Firms are Searchable
https://sbir.gsfc.nasa.gov/sbir/search/fundedTechSearch.jsp
NASA Centers
Dryden
Ames
Jet
Propulsion
Laboratory
Johnson
Stennis
Kennedy
Marshall
Goddard
Langley
Glenn
Headquarters
Ames Research Center: Research of new technologies
Dryden Flight Research Center: Flight research
Glenn Research Center: Aeropropulsion and communications technologies
Goddard Space Flight Center: Earth, the solar system, and universe observations
Jet Propulsion Laboratory: Robotic exploration of the solar system
Johnson Space Center: Human space exploration
Kennedy Space Center: Prepare and launch missions around the Earth and beyond
Langley Research Center : Aviation and space research
Marshall Space Flight Center: Space transportation and propulsion technologies
Stennis Space Center: Rocket propulsion testing and remote sensing technology
Field Center Missions
NASA SBIR/STTR Program
STTR:
SBIR: Phase I $100K (SBA $100K) / 6 months
SBC offeror: min. 67% work
subcontract:  max. 33% 
Phase II $600K (matching for additional $150K) / 2 years
SBC offeror: min. 50% work
subcontract: max. 50% 
Phase I $100K (SBA $100K) / 1 year
SBC offeror: min. 40% work 
Research Institute: 30% - 60% 
LBC: max. 30%
Phase II $600K (matching for additional $150K) / 2 years
SBC offeror: min. 40% work
Research Institute: 30% - 60%
LBC: max. 30% SBC - Small Business Concern
LBC - Large Business Concern
NASA SBIR/STTR Program
NASA SBIR STTR
2007 Budget $106.6M $12.8M
Phase 1
Contracts
$100K
6 months: 
259
$100K
1 year: 25
Phase 2
Contracts
$600K/$750K 
2 years: 130
$600K/$750K 
2 years: 18
http://sbir.nasa.gov/
2008 Program Solicitation
Opening Date: 07/07/2008
Closing Date: 09/04/2008
Selections: Nov. 2008
SBIR/STTR Program Schedule
http://sbir.nasa.gov
Inherent Challenges of Space Systems
• Surviving Launch Conditions: high g-load, vibration, 
payload fairing, deployment
• Functioning in Extreme Environments: radiation, 
temperature, gravity, vacuum
• Limiting Power Availability
• High Degree of Autonomy and Reliability
• Long Range Communication and Navigation
Proposal Review & Selection Criteria
Proposal Review
? Factor 1: scientific/technical merit and feasibility (50%)
? Factor 2: experience, qualifications and facilities (25%)
? Factor 3: effectiveness of the proposed work plan (25%)
? Factor 4: commercial merit and feasibility (adjectival)
Proposal Ranking and Selection
? NASA Project/Mission Alignment
? Value, Priority and Infusion Potentials
? Champion/Advocate
Who’s Who in NASA Program
Program Management:
Program Executive - Source Selection Official (Headquarters)
Agency Program Management Office (Ames Research Center)
Field Center Program Offices
Technical:
Mission Directorate Representatives
Topic Managers/Subtopic Managers
Technical Reviewers
Resource Management:
Resource analysts
Procurement:
Contracting Officer (NSSC - NASA Shared Service Center)
Tech Monitor, Contracting Officer’s Technical Representative (COTR)
? SBIR contracts are fixed price contracts to be 
completed on a best effort basis.
? Contractors own resulting intellectual property (data, 
copyrights, patents, etc.).
? Government has royalty-free rights for government 
use of intellectual property.
? Government protects data from public dissemination 
for four years after contract ends.
? NASA is a potential customer.
Nature of NASA SBIR Contracts
Program Focus
Goal: infusion to NASA missions, programs and projects
? Identify potential project(s) for infusion early.
? Achieve TRL 6: systems/subsystem model or prototype 
demonstration in a relevant environment (ground or 
space). 
? Work closely with technical monitor (COTR) and his/her 
colleagues.
? Be proactive and responsive to various opportunities.
Secrets of Success
? Familiar with Federal and NASA SBIR/STTR program.
? Learn NASA missions and enabling technology needs.
Proposals should show an understanding of one or more relevant space science needs, and 
present a feasible plan to fully develop a technology and infuse it into a NASA program.
? Have niche capabilities: unique competitive edge.  Also, 
know state-of-the-art and competing technologies.
? Be strategic: treat Phase I, Phase II and NASA infusion
as a package.
Research should be conducted to demonstrate feasibility during Phase 1 and show a path 
towards a Phase 2 prototype demonstration.
? Build relationships: champions and networking.
Approaches
? Review prior year solicitation: http://sbir.nasa.gov/.
? Search and identify specific technical areas (subtopics) 
and lead center(s) of your interest.
? Request subject matter expert contact information from 
respective field center program POCs.
? E-mail/Call technical POCs and initiate dialogues.
? Learn technology needs and priorities.
? Visit and make presentations, if necessary.
? SBIR and STTR are not taxes.  They are set asides.
? Extramural R&D:
100% = 2.5% SBIR + 0.3% STTR + 97.2%
? External Contractors = Primes + Small Businesses
? Prime = Internal + Small Businesses
? Opportunities = SBIR + STTR + Agency Projects 
+ Primes + Other Agencies
Simple Math 
Ames Research Center (ARC)
Dr. Rich Pisarski, 650-604-5582, Ryszard.L.Pisarski@nasa.gov
Kim Hines, 650-604-5582, Kimberly.K.Hines@nasa.gov
Dryden Flight Research Center (DFRC)
Ron Young, 661-276-3872, Ron.Young@nasa.gov
Glenn Research Center (GRC)
Gynelle Steele, 216-433-8258,Gynelle.C.Steele@nasa.gov
Jim Stegeman, 216-433-3389,James.D.Stegeman@nasa.gov
Goddard Space Flight Center (GSFC)
Dr. Jim Chern, 301-286-5836, Jim.Chern@nasa.gov
Jet Propulsion Laboratory (JPL)
Dr. Andrew Gray, 818-354-4906, Andrew.A.Gray@jpl.nasa.gov
Dr. Carol Lewis, 818-354-3767, Carol.R.Lewis@jpl.nasa.gov
SBIR/STTR Center Points of Contact
Johnson Space Center (JSC)
Kathy Packard, 281-244-5378, Kathryn.B.Packard@nasa.gov
Kennedy Space Center (KSC)
Joni Richards, 321-867-2225, Joni.M.Richards@nasa.gov
Langley Research Center (LaRC)
Bob Yang, 757-864-8020, Robert.L.Yang@nasa.gov
Kimberly Graupner, 757-864-8618, Kimberly.E.Graupner@nasa.gov
Marshall Space Flight Center (MSFC)
Lynn Garrison, 256-544-6719, Virginia.B.Garrison@nasa.gov
Stennis Space Center (SSC)
Ray Bryant, 228-688-3964, Ray.Bryant-1@nasa.gov
SBIR/STTR Center Points of Contact
Questions? 
Additional Information
IPP Seed Fund
• An annual process for selecting innovative partnerships to address 
technology barriers via cost-shared, joint-development projects.
• Enhances NASA’s ability to meet the priority technology gaps of all 
four of NASA’s Mission Directorates.
• The IPP Office at NASA HQ issues an annual Seed Fund call to all
NASA Centers – they downselect and send to HQ for final selections.
• The Seed Fund operates through a collaboration of Center IPP 
Offices, NASA co-PI, and external co-PI.
• Proposals are evaluated against the following criteria:
• Relevance/Value to NASA Mission Directorates.
• Scientific/Technical merit and feasibility.
• Leveraging of resources.
• In the last two years, an investment of $15.9 million by IPP facilitated 
the generation of 67 partnerships and was leveraged by a factor of 
four, providing a total of $62.2 million for the advancement of critical 
technologies and capabilities for the Agency.
02
4
6
8
10
12
14
16
18
TRL - 1 TRL - 2 TRL - 3 TRL - 4 TRL - 5 TRL - 6 TRL - 7 TRL - 8 TRL - 9
Seed Fund TRL Advancement
0
1
2
3
4
5
6
7
8
9
10
TRL - 1 TRL - 2 TRL - 3 TRL - 4 TRL - 5 TRL - 6 TRL - 7 TRL - 8 TRL - 9
TRL Pre Seed Fund
TRL Post Seed Fund
TRL Pre Seed Fund
TRL Post Seed Fund
FY06 Seed Fund Portfolio
FY07 Seed Fund Portfolio
Demonstration Highlights
Inflatable
Human Habitat
(Human Lunar)
Inflatable
Decelerator
(AFL MARS and COTS)
ISHM - Test
Stand and J2X 
Engine 
(Aries 1 Upper Stage)
Cryostable
Low-cost Mirror
(Deep Space Missions)
4D Flight 
Mgmt
(NGATS)
Cryo-tracker
Flight
Qualification
(Atlas/Centaur Launches)
Technology
Demos
Li-Ion Battery
for PLSS
(Human EVA)
Antarctic Habitat Demonstrator
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How Do Prizes Benefit NASA?
? Increased Participation 
by New Sources of 
Innovation
? Leveraging of Tax-
Payers’ Dollars
? Innovative Technology 
Development to Meet 
NASA’s Needs
? Increased Awareness 
of Science and 
Technology
?Hands-on Training for 
Future Workforce
Funded Centennial Challenge Competitions
Personal Air Vehicle Challengel i  i l  ll
Regolith Excavation Challengelit  ti  ll
Lunar Lander Challenge  llMoonROx Challenge ll
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500
500
400
400
2009
400
400
300
500
350
2008
750
300
300
250
250
250
2007
250
2,000
200
200
2006
600
600
500
2010
$2MTether 
$2MBeam Power
$2MLunar Lander
$750
K
Regolith 
Excavation
$1MMoonROx
550$2MPersonal Air 
Vehicle
$1MAstronaut 
Glove
2011TotalCompetition
And The Winner Is...
...Peter Homer
FAST
Objectives: 
• Advancing technology maturity to 
enhance technology infusion.
• Providing regular opportunities for 
access to unique environment .
• Demonstrating use of commercial 
services.
Facilitated Access to the Space environment for Technology 
development and training
Innovation Transfusion
Issue: There is significant potential for NASA to learn and benefit from innovative 
technologies, processes and practices occurring outside the Agency; some 
potential currently realized on ad hoc basis.
Goal: Create strategic connections between innovative external organizations and 
NASA for increased Agency benefit from external creativity.
Innovation
Ambassadors
Technical training 
program for up to 1 
year at an external 
organization
Agency
Dissemination
Use existing mechanisms 
to communicate 
innovations
Innovation
Scouts
Workshops with NASA 
to external 
organizations focusing 
on specific innovations
Project Components
• Partnership with another 
agency to develop a new 
airborne spectrometer (MaRS)
• MaRS uses Offner and push 
broom design for improved 
performance metrics 
(radiometric precision, 
uniformity, simplicity, reliability)
• Partner provides $10M in 
funding to increase technology   
from TRL 3 to 7
• 24 month build
• Demonstrated in 2006
NASA Investment       Tech Transfer/Partnerships        Benefits to NASA
Airborne Compact Imager
• NASA funded airborne whisk 
broom spectrometer
• Built in 1989 and operated 
through present
Airborne AVIRIS Imager
• NASA selects advanced push 
broom, compact spectrometer 
(Moon Mineralology Mapper) for 
joint NASA/ISRO experiment
• Based on MaRS design
• 24 month build
• Launch in 2008
Airborne Compact Imager
Spectral Imaging Partnerships
Outreach & Publications
http://www.techbriefs.com/
Electronics & Computers
Semiconductors & ICs
Mechanics
Information Sciences
Materials Software
Manufacturing & Prototyping
Machinery & Automation
Physical Sciences
Bio-Medical Test & Measurement
http://www.sti.nasa.gov/tto/
http://www.sti.nasa.gov/spinoff/
searchrecord
http://ipp.nasa.gov/innovation/
index.html
Visit us at
ipp.nasa.gov
i it  t
i . .
NASA @ Home & NASA City
http://www.nasa.gov/city


What Can IPP Provide?
• Funding or Leveraged Resources
• NASA SBIR/STTR funds several hundred small 
businesses 
• IPP Seed Fund seeks partnerships to leverage resources 
with the private sector and other Federal labs
• Centennial Challenges offers millions in purses
• Technology and Software
• Access through licensing or other partnerships
• Facilities
• Access to NASA’s facilities through partnerships
• Expertise
• Access to NASA’s technical expertise through partnerships
• Facilitation to enable partnerships
• Advocacy as a change agent to try new things
Interested in partnering with NASA?
ARC Lisa Lockyer Lisa.L.Lockyer@nasa.gov (650) 604-0149
DFRC Gregory Poteat greg.poteat@dfrc.nasa.gov (661) 276-3872
GRC Kathy Needham Kathleen.K.Needham@nasa.gov (216) 433-2802
GSFC Nona Cheeks Nona.K.Cheeks@nasa.gov (301) 286-8504
JPL Ken Wolfenbarger james.k.wolfenbarger@nasa.gov (818) 354-3821
JSC Michele Brekke michele.a.brekke@nasa.gov (281) 483-4614
KSC Dave Makufka David.R.Makufka@nasa.gov (321) 867-6227
LaRC Marty Waszak m.r.waszak@nasa.gov (757) 864-4015
MSFC Jim Dowdy Jim.Dowdy@nasa.gov (256) 544-7604
SSC Ramona Travis Ramona.E.Travis@nasa.gov (228) 688-1660
Center Name Email Phone
Contact the relevant IPP Center Chief(s):
National Aeronautics and Space Administration
www.nasa.gov


SBIR/STTR Programs

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