NIAC -- Post Phase 2 Funding Opportunities

NASA’s Small Business Innovation Research (SBIR) &Small Business Technology Transfer (STTR) Programs

Paul MexcurProgram Manager

NIAC PostNIAC Post Phase 2 FundingPhase 2 Funding

• NIAC -- advanced concepts

• Phase 2 deliverable -- identification of criticaltechnologies

• Where do you find funding to develop the technology?

• SBIR/STTR -- technology research and development

• Largest funding opportunity within NASA for technology R&D - over 500 contracts per year

• Phase 2 deliverable -- prototype

From Conceptualization to Technology Utilization Enabling NASA’s Future

NASA Technology

Needs

NASA Technology

Needs

SBIR/STTRSBIR/STTR Mission DirTechnologyPrograms

Mission DirTechnologyPrograms

NASAPrograms &

Projects

NASAPrograms &

Projects

CommercialMarket

CommercialMarket

Visualization ofNASA’s FutureVisualization ofNASA’s Future

•EarlyTechnologyFeasibilitydemos

•EarlyTechnologyFeasibilitydemos

•MissionDirectorateFocusedTechnologyMaturation

•MissionDirectorateFocusedTechnologyMaturation

Technology Road MapsTechnology Road Maps

•Over 500New contractEach year

•Over 500New contractEach year

•LeverageEarly stageTechnologiesFor specificAgencyNeeds

•LeverageEarly stageTechnologiesFor specificAgencyNeeds

•Over 1000 USSmall BusinessesParticipatingEach year

•Over 1000 USSmall BusinessesParticipatingEach year

•Ability to issuePhase 3ContractsWithout futureCompetition

•Ability to issuePhase 3ContractsWithout futureCompetition

•UtilizingAdvancedTechnologiesFor specificMission needs

•UtilizingAdvancedTechnologiesFor specificMission needs

•High need toMatureTechnology toMitigateMission risk

•High need toMatureTechnology toMitigateMission risk

•Utilization ofTechnology forLargeCommercialMarket

•Utilization ofTechnology forLargeCommercialMarket

•Need toProduce largeQuantities atLow cost

•Need toProduce largeQuantities atLow cost

NIAC -AdvancedConcepts

NIAC -AdvancedConcepts

SBIR and STTR Technology Readiness Levels

System Test, Launch & Operations

System/ Subsystem Development

Technology Demonstration

Technology Development

Research to Prove Feasibility

Basic Technology Research

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 1TRL 1

Flight Projects

Basic Research

Research and

Technology Base

“Technology Push”

Capability-Focused

TechnologyDevelopment

and Demo Programs

“Applications Pull”

e.g. SBIR, STTR

Advanced Development

Programs“SystemSpecific”

Program DescriptionsProgram Descriptions

Small Business Innovation Research (SBIR)Set-aside program for small businessconcerns to engage in federal R&D --with potential for commercialization.

Small Business Technology Transfer (STTR)Set-aside program to facilitatecooperative R&D between small businessconcerns and U.S. research institutions --with potential for commercialization.

2.50%

0.30%

Universities and Large Businesses ParticipationUniversities and Large Businesses Participation

Small Business Innovation Research (SBIR)1/3 of phase 1 and 1/2 of phase 2 may be

subcontracted

Small Business Technology Transfer (STTR)Must have a written cooperative

agreement with a Research Institutions– Minimum 40% by Small Business– Minimum 30% by Research Institution– Must have an allocation of Intellectual Property Rights

Agreement for follow-on R&D and Commercialization

Congressional Objectives

Small Business Innovation Development Act of 1982

• 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

SBIR / STTR Participating AgenciesSBIR / STTR Participating Agencies

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

TOTAL ~ TOTAL ~ $2.5B$2.5BFY 2005FY 2005

SBIR/STTR: 3-Phase ProgramPHASE I

Feasibility Study $70K & 6-month (SBIR) $100K &12-month (STTR)

PHASE IIFull Research/R&D$600K and 2-year Award

(SBIR/STTR)

PHASE IIICommercialization StageUse of non-SBIR/STTR Funds

US Businessman Gregory Olsen Becomes Third Space Tourist The SBIR program provided the initial funding to allow Dr. Olsen to start Sensors Unlimited in 1991. The company was sold in 2000 for $700M to Finisar Corporation From: SBIR Program Diversity and Assessment challenges: Report of a Symposium Gregory Olsen answered first, saying that the SBIR had led him into intensive interaction with the university community. ÒI think thatÕs one of the great things about SBIR.Ó He said that he had often been asked for the names of people at a university to collaborate with. He had advised people not to Òforce it,Ó but simply to get to know the professor or student working on equipment or an area of common interest, and get to know them. ÒIÕm not sure thereÕs anything more you need to do.Ó David Goldston pursued this topic further, asking Dr. Olsen how SBIR helped to facilitate interactions with university people. ÒWas it just in having money that you could bring to a professorÕs project,Ó he asked, Òor did the program bring a Ôgood housekeeping seal of approvalÕ?Ó Gregory Olsen said it had been Òall of the above.Ó He had worked with Dr. Steven Forrest at Princeton University, whose field is optoelectronics. Dr. Forrest had arrived at Princeton around the same time Dr. Olsen started Sensors Unlimited. Dr. Forrest had equipment useful to both efforts, but no engineers to install it.

NASA Awards toNASA Awards to Sensors UnlimitedSensors Unlimited

NASA SBIR Awards Report for Sensors Unlimited Inc 3490 US Rt 1 Bldg 12 Princeton ,NJ ------------------------------------------------------------------------Total number of awards for your search criteria is 22 .

ProgramYear Phase Proposal# Contract# Center Project Title 1991 1 08.13-4661 NAS7 1181 JPL Monolithic, Ingaas-Fet Detector Array For Near-Infrared Imaging1991 2 08.13-4661 NAS7 1253 JPL Monolithic, Ingaas-Fet Detector Array For Near-Infrared Imaging1992 1 08.11-0610 NAS7 1232 JPL An Infrared Focal Plane Array With User-Selectable Spectral Response1992 1 08.18-0610 NAS7 1208 JPL High-Power, Single-Mode Diode Lasers For 2 - 5 Um1992 1 08.21-0610 NAS7 1230 JPL Rugged, Compact, Near-Infrared Reflectance Spectrometer1992 2 08.11-0610 NAS7 1304 JPL Infrared, Focal-Plane-Array With User-Selectable Spectral Responses1993 1 08.21-0610 NAS1 20160 LaRC Room-Temperature, Resonant-Cavity, Tunable Photodetectors Using Iii-V Materials For 2 To 5 Microns1993 1 08.14-0610 NAS5 38045 GSFC Charge-Coupled-Devive Camera With Large Dynamic Range1993 2 08.21-0610 NAS1 20425 LaRC Room-Temperature, Resonant-Cavity, Tunable Photodetectors Using Iii-V Materials For 2 To 5 Microns1994 1 08.01-0610 NAS7 1358 JPL 0.5-2.5 Micron Infrared Detectors Based On Ternary Indium-Gallium-Arsenic Substrates1994 1 09.04-0610 NAS7 1359 JPL Strained Layer 2.0-2.7 Micron Diode Lasers On Ternary Substrates1995 1 08.03-0610 NAS5 33268 GSFC A Monolithic, Active Pixel Ingaas Near Infrared Focal Plane Array1995 2 08.03-0610 NAS5 97020 GSFC A Monolithic, Active Pixel Ingaas Near Infrared Focal Plane Array1996 1 12.01-0610 NAS5 97109 GSFC Thallium-Based Photodiode Arrays And Cameras For 1.0-12.0 Um1996 1 13.02-0610 NAS8 97207 JPL A 640 X 480 Element Room-Temperature Focal Plane Array For 0.5 - 2.5 Um Imaging1996 1 13.08-0610A NAS5 97110 GSFC High-Power, Tunable 828, 935 And 1064 Nm Distributed Feedback Lasers1996 2 13.02-0610 NAS8 98082 MSFC A 640 X 480 Element Room-Temperature Focal Plane Array For 0.5 - 2.5 Um Imaging1996 2 13.08-0610A NAS5 98064 GSFC High-Power, Tunable 828, 935 And 1064 Nm Distributed Feedback Lasers1997 1 23.01-0610A NAS8 98183 JPL A Solar-Blind Silicon Carbide Ultraviolet Avalanche Photodetector1997 2 23.01-0610A NAS3 99132 GRC A Solar-Blind Silicon Carbide Ultraviolet Avalanche Photodetector1998 1 13.02-0610 NAS13 99010 SSC An Indium Gallium Arsenide - Based Hyperspectral Imager For 0.4 - 2.5 5m2000 1 21.03-8128 NAS5 01042 GSFC A High-Performance, Room Temperature Camera With 2.5 5m Response

Jet Propulsion Laboratory - 1996 Phase IIFocal Plane Array For Visible AndNear Infrared Imaging

Sensors Unlimited, Inc. Princeton, NJ

INNOVATIONA 640 x 512 element focal plane array for visible and near

infrared imaging at room temperature Focal Plan Array for Visible and Near Infrared Imaging

ACCOMPLISHMENTS* Developed innovative manufacturing process that increased response range for visible light* Achieved highest density of pixels and performance for InGaAs arrays * Developed CMOS readout electronics for array

COMMERCIALIZATION* Arrays and cameras using technology have found markets in telecommunications, food processing industry, military applications, etc.* Commercial sales have reached $1 million annually and growing

GOVERNMENT/SCIENCE APPLICATIONS* Multispectral cameras for future planetary exploration

Goddard Flight Space Center - 1995 Phase II

Monolithic, Active Pixel InGaAs Near Infrared Focal Plane Array

Sensors Unlimited,Inc. Princeton, NJ

INNOVATIONDeveloped an InGaAs/InP active pixel sensor wherein monolithic circuit

functionality is integrated at every pixelInGaAs/InP Focal Plane Array

ACCOMPLISHMENTS• Technology incorporated into hybrid focal plane array (FPA) consisting of an InGaAs photodiode array operable in the 0.9 µm

to 1.7 µm spectrum at room temperature.• Contains a single stage thermoelectric cooler with an integrated thermistor allowing the user to reduce the temperature for

"high sensitivity" applications, such as low light level detection, or to stabilize the FPA in a varying ambient temperature. * Easy to operate because the clock drivers and analog gain are all on one chip.

COMMERCIALIZATION* Commercial sales of NIR imaging applications have exceeded $1 million for the past three years.• Imaging systems with 640 x 512 pixels on 25 µm pitch are currently available and 1280 x 1040 on 12.5 µm have been

demonstrated. Cameras with cut-off wavelengths beyond 2 µm have also been produced.•Technology used in many industrial and commercial applications such as night vision, fiber optics inspection, eye-safe

covert surveillance, spectroscopy, laser beam profiling, laser and light detection and ranging (Ladar, Lidar), machine vision,and many other applications where near infrared detection is required.

GOVERNMENT/SCIENCE APPLICATIONS•Technology was utilized in the LEISA Atmospheric Corrector (LAC) instrument, which was flown on NASA’s Earth Observing-1

(EO-1) mission. Rockwell Scientific Corporation built the LAC system and they report that the system is fully operational inmeasuring the spectral region that is sensitive to atmospheric variations.

Solicitation DatesSolicitation Dates

NASA Issued Concurrent

SBIR & STTR Solicitations

on July 7, 2005Closing Date:Closing Date:September 7, September 7,

20052005

Solicitations Support the Strategic Technology Solicitations Support the Strategic Technology Needs of an AgencyNeeds of an Agency

Exploration SystemsExploration Systems Aeronautics ResearchAeronautics Research

Space OperationsSpace OperationsScienceScience

Research TopicsResearch TopicsExploration Systems:Exploration Systems:•• Communications, Computing & Electronic Imaging• Advanced Materials and Structural Concepts• Power Propulsion and Chemical Systems• Advanced Studies Concepts and Tools• Software Intelligent Systems and Modeling • Advanced Space Operations• High Energy Space Systems • Advanced Space Platform Systems • Lunar and Planetary Surface Operations • Partnerships and Market Driven Research • Human Health and Performance• Life Support and Habitation• Human Systems Integration • Prometheus Technologies

Aeronautics Research:Aeronautics Research:Aviation Safety and SecurityAviation Safety and SecurityVehicle SystemsVehicle SystemsAirspace SystemsAirspace Systems

Research TopicsResearch TopicsScience:Science:Advanced telescopes and observatories Robotic access to planetary surfacesAutonomous systems and robotics Scientific instruments/sensorsAdvanced modeling, simulation, analysisNanotechnology

Space Operations:Space Operations:Software Defined Radio TechnologySpectrum Efficient Coding and Modulation TechniquesData Compression TechnologySpace-based Range Technology Employing GPS and

Relay Satellites for Launch Support Antenna Technology; Antenna Array Techniques for

Transmission of Commands to Research SpacecraftSpace-borne Optical Communication Technology

Budget, Award Type and AmountBudget, Award Type and Amount

SBIR STTR

2005 Budget $107.5M $12.9M

Phase 1Contracts

$70K6 months

$100K1 year

Phase 2Contracts

$600K 2 years

$600K 2 years

Proposal Evaluation ProcessProposal Evaluation Process

• Evaluations are performed by NASA scientists and engineers to determine the merit of a proposal

• A proposal that is recommended for award will be ranked relative to all other recommended proposals

• All firms will receive a debriefing automatically via email

• Evaluation factors:1. Scientific/Technical Merit and Feasibility2. Experience, Qualifications and Facilities3. Effectiveness of the Proposed Work Plan4. Commercial Potential

2004 Phase 1 Selection Statistics2004 Phase 1 Selection Statistics

• SBIR:• 2,170 proposals were receivedfrom 910 firms located in 49states and D.C.

• 828 proposals recommended• 290 selections were made (13%)

• STTR:• 119 proposals were receivedfrom 100 firms located in28 states

• 66 proposals recommended• 40 selections were made (33%)

• Approximately 40% of the phase 1contracts are selected for phase 2

NASA’s SBIR/STTR HomepageNASA’s SBIR/STTR Homepage

NASA’s SBIR/STTR SolicitationNASA’s SBIR/STTR Solicitation

SBIR Technologies on Mars Exploration Rovers

Yardney Technical Products of Pawtucket, Connecticutdeveloped lithium ion batterieswith specific energy of >100Wh/kg and energy density of 240 Wh/l and long cycle life. Subsequently, they won a large Air Force/NASA contract to develop batteries for space applications. They are supplying the batteries for the 2003 Mars Rovers.

Maxwell Technologies of San Diego, California fabricated and tested an ASCII chip with single event latch up protection technology. Innovation enables the use of commercial chip technology in space missions, providing higher performance at a lower cost. Supplying A to D converter for Mars 03 Rovers.

Starsys Research of Boulder, Coloradodeveloped several paraffin based heat switches that function autonomously. Heat switches control radiator for electronics package on Mars 2003 Rovers.

NASA SBIR Contributions to the Deep Impact Mission

Scimeasure Analytical SystemsThe highest quality images from a ground observatory were made possible by wave front sensor cameras from Scimeasure Analytical Systems. These cameras are keyto the adaptive optics at the Palomar Observatory where astronomers continue to track the consequences of the impact on comet Tempel 1.

Barr AssociatesProvided optical filters for filter wheels and a dichroic beam splitter located in mission instruments on the flyby spacecraft. These instruments gathered images that will be used to analyze the results of the material ejected by the impact and the crater created by the impact.

High Resolution InstrumentComposite Optics Provided three telescope structures constructed from light weight, thermally stable composite materials. The structures were for the medium and high resolution imaging instruments on the flyby spacecraft and the telescope (not shown) on the impactor.Medium Resolution Instrument

Miniature Cryogenic Turboalternator(for Hubble Space Telescope)

INNOVATION

Developed miniature, high speed, vibration free turboalternator

ACCOMPLISHMENTS

• Creare, Inc of Hanover, NH developed high speed shaft in cryogenic gas bearings; high precision, and automated miniature rotor fabrication techniques.

• Demonstrated operations at 50° Kelvin.

• Successful installation and operation of a 75°Kelvin cooler on Hubble Space Telescope NICMOS instrument.

General Aviation & NASA’s SBIR & STTR Programs

- The GA revitalization effort, embodied in the AGATE (Advanced General Aviation Transport Experiments) consortium, has strategically leveraged the SBIR and STTR programs to support its efforts.

- The AGATE program is a consortium of over 70 members from industry, universities, NASA, the Federal Aviation Administration, and other government agencies.

- AGATE’s goals are to help revitalize the ailing aviation industry by developing affordable new technologies and advocating new standards and certification methods for next-generation single-pilot, near all-weather, light aircraft.

Photodynamic Therapy

INNOVATION

Using technology derived for NASA’s Space Shuttle plant growth experiments, tiny,pinhead-sized light-emitting diodes (LEDs)have been developed for cancer treatment and wound healing.

ACCOMPLISHMENTS

• In its work in cancer treatment, Quantum Devices of Barnveld, Wisconsin, uses its LEDprobe to activate photosensitizers - light sensitive, tumor treating drugs. The LED activation process allows the drugs to destroy cancerous cells and leave the surrounding, healthy tissue virtually untouched.

• The surgical probe may also emit longer waves of red light to stimulate a new drug called Benzoporphyrin Derivative (BPD). Surgery with the improved probe and medicine are very promising.

WebsiteWebsite