tle style

 

 

3

SBIR/STTR Program History
 

•	 Created by Roland Tibbetts at the National Science Foundation and

signed as a Federal wide program in 1982 by Ronald Reagan

•	 Created in 1992 by the Small Business Research and Development

Enhancement Act of 1992, STTR seeks to bridge the gap between

basic science and commercialization of resulting innovations.

•	 SBIR programs have awarded over $40 billion to research-intensive

American small businesses

•	 The 450,000 engineers and scientists involved are one of the largest

STEM talent concentrations in the world
 

 

 

 

 

 

Goals of the SBIR/STTR Programs
 

•	 Stimulate technological innovation.

•	 Meet Federal research and development needs.

•	 Foster and encourage participation in innovation and

entrepreneurship by socially and economically disadvantaged

persons.

•	 Increase private-sector commercialization of innovations derived

from Federal research and development (R&D) funding.

•	 Foster technology transfer through cooperative R&D between small

businesses and research institutions.

NASA’s SBIR and STTR programs have awarded over $3.3B to research-intensive American

small businesses to date. Engineers and scientists from over 12,000 Firms in all 50 States,

DC and Puerto Rico have participated. On average each year 1,700 NASA scientists and

engineers support the program performing technical reviews. 
Why Participate in SBIR/STTR? 

 

 

 

 

 

 

 

Why SBC’s Participate in SBIR/STTR?
 

1. Over $2.25 Billion available every year 

2. Funds are NOT A LOAN - no repayment - up to $875K capital

3. Small businesses retain intellectual property rights

4. Can protect from disclosure generated data for up to 4 years

5. Provides seed money to fund high risk projects

6. Develop working relationship & credibility with government R&D

7. Fosters partnerships with large corporations and academia

8. Provides recognition and visibility for your business

9. Participation attracts venture capital and other funding sources

Defense (DoD)	 and Human Services Space Administration (NASA) (NSF) 

(HHS) 

Department of	 Department of Department of Environmental Protection Department of Homeland Department of 

Agriculture Education (DoEd) Transportation (DoT) Agency (EPA) Security (DHS) Commerce (DoC) 

(USDA) 

SBIR + STTR 

Programs Department of Department of Health Department of Energy (DoE) National Aeronautics and National Science Foundation 

SBIR Program only: 

5 
*Others Indicate: DHS, DoC, DoT, EPA, ED, USDA,

DOD, 51.76% 

DOE, 7.34% 

HHS, 17.80% 

NASA, 10.03% 

NSF, 7.09% 

Other*, 5.98% 

6
 
Percentages of Extramural R/R&D 

FY12 FY13 FY14 FY15 FY16 FY17 

SBIR 2.6% 2.7% 2.8% 2.9% 3.0% 3.1% 

STTR 0.35% 0.35% 0.40% 0.40% 0.45% 0.45% 

Combined 2.95% 3.05% 3.20% 3.30% 3.45% 3.65% 

Budget for SBIR/STTR 

By federal law NASA is required to set aside the below percentages of its extramural R/R&D budget for the SBIR and STTR Programs, which increases 

incrementally until 2017 
8 
Space Technology Research 

Grants

Office of the 

Associate Administrator

- -

-

 

 

 ’ 

 

— 

–

 “ 

 

 

 

 

’ 

 

-

 

small, high technology companies and 

research institutions to develop key 

technologies addressing the Agency’s 

needs and developing the Nation’s 

innovation economy.

Space Technology Programs
 

9

Transformative & Crosscutting Technology 

Breakthroughs 

Pioneering Concepts/Developing 

Innovation Community 

Creating Markets & Growing 

Innovation Economy 

Technology 

Demonstration 

Missions bridges the gap between 

early proof of concept tests and the final 

infusion of cost effective, revolutionary 

technologies into successful NASA, 

government and commercial space missions. 

Small Spacecraft 

Technology 

Program develops and 

demonstrates new capabilities 

employing the unique features of small 

spacecraft for science, exploration and 

space operations. 

Game Changing 

Development seeks to identify 

and rapidly mature innovative/high impact 

capabilities and technologies that may lead to 

entirely new approaches for the Agency s 

broad array of future space missions. 

NASA Innovative 

Advanced 

Concepts (NIAC) nurtures 

visionary ideas that could transform future 

NASA missions with the creation of 

breakthroughs radically better or entirely 

new aerospace concepts while engaging 

America’s innovators and entrepreneurs as 

partners in the journey. 

Space Technology 

Research Grants seek to 

accelerate the development of push” 

technologies to support future space science 

and exploration needs through innovative 

efforts with high risk/high payoff while 

developing the next generation of innovators 

through grants and fellowships. 

Center Innovation 

Fund stimulates and encourages 

creativity and innovation within the NASA 

Centers by addressing the technology 

needs of the Agency and the Nation. 

Funds are invested to each NASA Center 

to support emerging technologies and 

creative initiatives that leverage Center 

talent and capabilities. 

Centennial 

Challenges directly engages 

nontraditional sources advancing 

technologies of value to NASA s missions 

and to the aerospace community. The 

program offers challenges set up as 

competitions that award prize money to 

the individuals or teams that achieve a 

specified technology challenge. 

Flight 

Opportunities 

facilitates the progress of space 

technologies toward flight readiness 

status through testing in space relevant 

environments. The program fosters 

development of the commercial 

reusable suborbital transportation 

industry. 

Small Business 

Innovation 

Research (SBIR) 

and Small 

Business 

Technology 

Transfer (STTR) 

Programs provide an opportunity for 

9 
Continues maturation of promising low TRL technologies from CIF, SBIR, etc...

Space Technology Pipeline 

10 

Early Stage 

Mid TRL 

Game 

Changing 

Development 

Technology Demonstration 

Missions 

• NASA Innovative Advanced Concepts

• Space Tech Research Grants

• Center Innovation Fund

Commercial 

Partnerships 

• SBIR /STTR

• Flight Opportunities

• Centennial Challenges

• Regional Economic Development

Low TRL 

High TRL 

Small Spacecraft 

Technologies 
Click to edit Master title style 

11
 
 

 

 

 

 

 

Program Eligibility Criteria
 

Eligibility Criteria 

Is your business organized as a for-profit company? •	 An SBIR/STTR small business (no more than 500 employees) awardee must be a business concern – it

must be organized as a for‐profit concern and meet all of the other requirements for a “business 

concern” in 13 C.F.R. § 121.105. 

Is your principal place of business located in the United States? 

•	 All businesses that apply for the SBIR/STTR program must be for-profit companies located in the US.

Must I own a company to receive an SBIR/STTR award? 

•	 SBIR/STTR awards go only to small, for-profit, firms that meet the above definition of an SBC. This

includes sole proprietorships. 

In addition: 

•	 For SBIR, the primary employment of the principal investigator must be with the small business, and the

proposing firm must perform at least 2/3rds of the R&D work in Phase I and at least 1/2 in Phase II 

•	 For STTR, the proposing firm must perform at least 40% of the work with the collaborating research

institution performing no less than 30%.
 

 

 

 

 

 

 

 

Eligibility Requirements
 

Small Business Innovation Research (SBIR) 

1 

2 

3 

4 

5 

Organized for-profit U.S. business 

At least 51% U.S. owned by 

individuals and independently 

operated 

500 or fewer employees 

PI’s primary employment with small 

business during project 

Intellectual Property Agreement 

Small Business Technology Transfer (STTR) 

1 

2 

3 

4 

Formal Cooperative R&D Effort with 

a U.S. Research Institution 

Minimum 40% by small business, 

30% by U.S. Research Institution 

Small business is Prime, PI can be 

from SBC or Research Institution 

Other SBIR Requirements Apply 

13 
 

 

Structure of the Programs
 

Phase I: Concept 

•	 Award Guideline: $125K

•	 Duration: 6 months (SBIR)

12 months (STTR) 

Phase II: Full Research, R&D to Prototype 

•	 Award Guideline: $750K

•	 Duration: 24 months

• Phase II-E

Phase III: Commercialization/Infusion 

•	 Non-SBIR/STTR funds

•	 Contract from NASA program, other

agency, prime contractor

14 
 

 

 

 

 

SBIR/STTR Integrated Portfolio
 

$$$ 

Phase 3 

Simplified JOFOC or commercial sales/investments, From any Phase 1 or 2, Unlimited Length, Unlimited $ 

• Matching funds program to facilitate infusion or commercialization

CRP 

• Up to 3x Phase 2 amount

Phase 2-X 

• SBIR/STTR matches up to $250K of NASA Program funds

Funding • Two-to-one match

Phase 2-E 

• SBIR/STTR Program matches up to $125K of outside

funds 

• One-to-one match

24 Months, $750K/$1.5M 

$ 

Phase 1 

Phase 2 

6 Months, $125K 

Concept Time/Maturity Infusion/Commercialization 
SBIR Technology Infusion into SCaN
 

Projects 

16 
 

 

 

 

 

Post Phase II Investment Activities
 

[2011-Present]
 

The table below shows data for Post Phase II Activities related to 

SBIR/STTR awards from 2011 to present. 

This data was maintained by individual centers prior to FY16 and has not 

been validated. Starting in FY16, all post phase II activities where NASA 

investments are made will be tracked by the EHB and executed by NSSC. 

Efforts to validate the existing data will be undertaken in FY16. 
 

 

 

 

NASA SBIR/STTR Budget
 

Award Budget FY16: 

SBIR: $161.5M STTR: $24.9M 

•	 SBIR is 3.0% and STTR is .45% of

extramural R&D budget in FY16 (Oct 1)

•	 In FY17, NASA will increase the SBIR

investment to 3.2%

FY 15 Awards At-A-Glance: 

•	 SBIR Awards: 325 Phase I and 119 Phase II; 7 Phase I Selects and 10 Phase II

Selects

•	 STTR Awards: 50 Phase I and 21 Phase II

•	 Phase II-E Awards: 31 SBIR/STTR Phase II-Es were awarded, leveraging $5.36 M

funds from non-SBIR sources

18 
 

Participating Firms
 

FY 15 Phase I SBIR/STTR Awards
 

of firms had <26 

employees of applicants were new 

to the program 

27% 

17% 

60% 

78% 

of firms had <51 of the awards were first 

time winners employees 

19 
SBIR Proposals vs. Awards
 

Phase 1 

Proposals vs. 

Awards for 

SBIR 

1769 1707 

1506 

1290 1229 

452 

260 236 

315 

325 

26% 

15% 16% 

24% 

26% 

0% 

5% 

10% 

15% 

20% 

25% 

30% 

0 

200 

400 

600 

800 

1000 

1200 

1400 

1600 

1800 

2000 

2010 2011 2012 2014 2015 

# of Proposals # of Awards Awards as % of Proposals 

20 
STTR Proposals vs. Awards
 

124 

185 

245 

101 103 

45 

40 33 32 

50 

36% 

22% 

13% 

32% 

49% 

0% 

10% 

20% 

30% 

40% 

50% 

60% 

0 

50 

100 

150 

200 

250 

300 

Phase 1 

Proposals vs. 

Awards for 

STTR 

2010 2011 2012 2014 2015
 

# of Proposals
 # of Awards Awards as % of Proposals 

21 
22

 

 

 

 

 

 

 

 

 

 

 

Understanding NASA’s Needs
 

Know Your Customer
 

•	 Review last year’s solicitation and review the titles and some abstracts of the winning

proposals in your area of interest

•	 Draft Subtopics on the Web read, and comment on the text

•	 Talk to the people in your technical area who write subtopics and review proposals at the

agency where you intend to submit your proposal

•	 Find their technical emphasis, needs, and interest

•	 Solve a sponsors problem

•	 Align your technology/proposal to the sponsor’s final needs

Suggest a Topic 

•	 SBIR/STTR Subtopics are written for small business by researchers and managers

•	 Topics solicit innovative ideas to solve technical challenges

•	 Each topic is carefully reviewed each year

•	 SBIR/STTR Programs seek private sector input in selecting and refining potential topic areas

for future SBIR and STTR solicitations
Space Technology Needs
 

Understanding Space Technology Needs
 

Policies and Strategies :http://www.nasa.gov/directorates/spacetech/about_us/resources/index.html
 
 

 

24 

Understanding Science Needs
 

• In Science – “Decadal Surveys” and NASA-developed implementation documents

–	 Planetary Science

• http://solarsystem.nasa.gov/multimedia/download-detail.cfm?DL_ID=742

–	 Astronomy and Astrophysics

•	 http://science.nasa.gov/astrophysics/special-events/astro2010-astronomy-andastrophysics-decadal-survey/

•	 Heliophysics (Solar and Space Physics)

•	 http://www.nap.edu/catalog.php?record_id=13060

•	 http://www.nasa.gov/mission_pages/sunearth/news/decadal-2012.html

•	 http://science.nasa.gov/media/medialibrary/2010/03/31/Heliophysics_Roadmap_2

009_tagged-quads.pdf

–	 Earth Science

•	 http://science.nasa.gov/earth-science/decadal-surveys/

•	 http://esto.nasa.gov/
Understanding Human Exploration Needs

25 

Understanding Human Exploration 

Needs
 

• In Human Exploration and Operations Mission Directorate 

•	 https://www.nasa.gov/sites/default/files/atoms/files/heomd2015goals.pdf

•	 http://www.nasa.gov/sites/default/files/files/FY2014_NASA_SP_508c.pdf

• In Aeronautics Research

–	 National Aeronautics R&D Plan

•	 http://www.whitehouse.gov/sites/default/files/microsites/ostp/aero-rdplan2010.pdf

–	 Various Detailed NASA Aeronautics Research documents

•	 http://www.aeronautics.nasa.gov/programs.htm
Space Technology
 

Future Thrust Areas
 
 

 

 

 

 

 

 

 

 

 

SBIR & STTR Topic Areas
 

Small Business Innovation Research (SBIR) 

Aeronautics Research Mission Directorate (ARMD) 

•Topic A1 Aviation Safety

•Topic A2 Unmanned Aircraft Systems

•Topic A3 Air Vehicle Technology

•Topic A4 Ground and Flight Test Techniques and Measurement

Human Exploration and Operations Mission Directorate 

(HEOMD) 

•Topic H1 In-Situ Resource Utilization 

•Topic H2 Space Transportation

•Topic H3 Life Support and Habitation Systems

•Topic H4 Extra-Vehicular Activity Technology

•Topic H5 Lightweight Spacecraft Materials and Structures 

•Topic H6 Autonomous & Robotic Systems

•Topic H7 Entry, Descent, and Landing Technologies

•Topic H8 High Efficiency Space Power Systems

•Topic H9 Space Communications and Navigation (SCaN)

•Topic H10 Ground Processing & ISS Utilization

•Topic H11 Radiation Protection

•Topic H12 Human Research and Health Maintenance

•Topic H13 Non-Destructive Evaluation

Science Operations (SMD) 

•Topic S1 Sensors, Detectors and Instruments

•Topic S2 Advanced Telescope Systems

•Topic S3 Spacecraft and Platform Subsystems 

•Topic S4 Robotic Exploration Technologies

•Topic S5 Information Technologies

Space Technology (STMD) 

•Topic Z1 Space Technology for Cross-Cutting Applications Topic

•Topic Z2 Cross Cutting Advanced Manufacturing Processes for Large

Scale Bulk Metallic Glass Systems for Aerospace Applications 

Small Business Technology Transfer (STTR) 

•Topic T1 Launch Propulsion Systems

•Topic T2 In-Space Propulsion Technologies

•Topic T3 Space Power and Energy Storage

•Topic T4 Robotics, Tele-Robotics and Autonomous Systems

•Topic T5 Communication and Navigation

•Topic T6 Human Health, Life Support and Habitation Systems

•Topic T7 Human Exploration Destination Systems

•Topic T8 Science Instruments, Observatories and Sensor Systems

•Topic T9 Entry, Descent and Landing Systems

•Topic T10 Nanotechnology

•Topic T11 Modeling, Simulation, Information Technology and

Processing 

•Topic T12 Materials, Structures, Mechanical Systems and

Manufacturing 

•Topic T13 Ground and Launch Systems Processing

•Topic T14 Thermal Management Systems

•Topic T15 Aeronautics
 

Proposal Evaluation
 

Proposals are evaluated on these factors: 

1. Scientific/Technical Merit and Feasibility
 

2. Experience, Qualifications and Facilities
 

3. Effectiveness of the Proposed Work Plan
 

4. Commercial Potential and Feasibility

5. Price Reasonableness

28 
 

Checklist before Submitting Application
 

 Submit proposal prior to the deadline

 Perform the “Endorse Proposal” step, which

is the final step in the submissions process
 

 Make sure you meet the format requirements

(margin and font size, page limitation) 

 Have the RI register correctly (STTR

Requirement) 

 For STTR proposals the RI needs to endorse the Research Agreement prior to your

proposal being complete and submitted

 RI will need to create an account in the Proposal Submission EHB

 register under your firm using your EIN, State, and PIN so they are attached to your proposal correctly

 choose the RI option at the bottom of the page when entering their name, email, phone etc

29 
 

 

Proposal Submission
 

Click on 2nd link to submit 

Proposal and follow on-screen 

instructions 30 
Contact NASA SBIR/STTR
 

31 
 

 

Submission Process
 

Submission Requirements 

NASA uses electronically supported business processes for the SBIR/STTR 

programs. The firm must have Internet access and an e-mail address. Paper 

submissions are not accepted. 

Link: http://sbir.nasa.gov 

Submission Process 

SBCs must register in the Electronic Handbook (EHB) to begin the submission 

process. The Proposal Submission EHB will guide the firms through the steps for 

submitting an SBIR/STTR proposal. 
 

Types of Post Awards
 

Number of Post Awards by Program Year 

P2: 240 

P2: 172 

P2: 99 

P2: 99 

P2: 140 

P1: 495 

P1: 381 P1: 292 P1: 298 P1: 378 

P1: 407 P1: 381 

P2: 150 

P2: 137 

33 
 

 

 

 

 

 

Required Registrations
 

SBA Company Registry 

•	 All applicants to the program are required to complete their registration at SBA’s Company Registry

prior to submitting an application.
 

Link: https://www.sbir.gov/registration
 

NAICS Registration 

•	 SBIR/STTR firms are required to register under a North American Industry Classification System

(NAICS code), which classifies the economic sector, industry and country of their business.

Registration in SAM requires a NAICS code. To identify your firm’s NAICS code(s), please visit

www.census.gov/eos/www/naics.

SAM Registry 

•	 To participate in the SBIR/STTR program, firms must register in the System for Award Management

(SAM) database prior to proposal submission. For new firms, the registration process may take up to

five business days to complete. Please visit www.sam.gov for more information and to register or

update your registration.
 

SBIR/STTR Homepage
 

Access the PY 2016 

Solicitations 

(Next release date 

November 2017) 

Information for NEW 

firms available under 

“Proposers” 

SBIR/STTR program 

analytics 
Requirements for Contracting
 

36 
SBA Firm Registry
 

37 
 

Proposal Requirements
 

Click on 3.2 for Phase I 

Proposal Requirements 

38 
Reasons for Application Being Rejected
 

39 
Fraud, Waste and Abuse
 

Click on Multimedia Training 

Resources FWA Training 

40