ray hines stegeman
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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
5
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
13
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
15
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
18
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
19
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?
20
Space Operations Mission DirectorateSBIR Technology Coordination and Integration
21
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
30
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
34
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