National Council of University Research Administrators (NCURA)

Transcription

1 National Council of University Research Administrators (NCURA) Region II Spring Meeting Small Business Technology Transfer (STTR) 1 1

2 SBIR/STTR Programs A 1982 study found that small businesses had 2.5 times as many innovations per employee as large businesses, while large businesses were nearly three times as likely to receive government assistance. As a result, the SBIR Program was established to provide funding to stimulate technological innovation in small businesses to meet federal agency research and development needs. After more than a decade, the STTR program was launched. The major difference is that STTR projects must involve substantial (at least 30%) cooperative research collaboration between the small business and a non-profit research institution. 2

3 Small Business Administration (SBA) SBA Role: The US Small Business Administration plays an important role as the coordinating agency for the STTR and SBIR programs. The SBA helps and directs the eleven SBIR and the five STTR agencies implementation, reviews their progress, and reports annually to Congress on its operation. SBA is also the information link. SBA collects solicitation information from all the participating agencies and publishes it electronically in a Pre-Solicitation Announcement (PSA). The PSA is a single source for the topics and anticipated release and closing dates for each agency's solicitations. For more information on the STTR and SBIR Programs, please contact: US Small Business Administration Office of Technology 409 Third Street, SW Washington, DC (202)

4 Competitive Opportunity for Small Business: STTR is a highly competitive program that reserves a specific percentage of federal R&D funding for awards to small business and nonprofit research institution partners. Small business has long been where innovation and innovators thrive, however, the risk and expense of conducting serious R&D efforts can be beyond the means of many small businesses. Conversely, nonprofit research laboratories are instrumental in developing high-tech innovations; however, innovation frequently is confined to the theoretical, not the practical. STTR combines the strengths of both entities by introducing entrepreneurial skills to hightech research efforts. SBIR funds the critical startup and development stages, the technologies and products are transferred from the laboratory to the marketplace, and it encourages the commercialization of the technology which stimulates the U.S. economy. Since its enactment in 1982, as part of the Small Business Innovation Development Act, SBIR has helped thousands of small businesses to compete for federal research and development awards and their contributions have enhanced the nation's defense, protected our environment, advanced health care, and improved our ability to manage information and manipulate data. 4

5 STTR Qualifications: Small businesses eligibility criteria: American-owned and independently operated For-profit Principal researcher need not be employed by small business Company size limited to 500 employees Nonprofit research institution eligibility criteria: Located in the US Meet one of three definitions: Nonprofit college or university Domestic nonprofit research organization Federally funded R&D center (FFRDC) No size limit for nonprofit research institution SBIR Qualifications: Small businesses eligibility criteria: American-owned and independently operated For-profit Principal researcher employed by business Company size limited to 500 employees 5

6 The STTR System: Each year, five federal departments and agencies are required by STTR to reserve a portion of their R&D funds for award to small business/nonprofit research institution partnerships. Department of Energy Department of Health and Human Services National Science Foundation Department of Defense National Aeronautics and Space Administration The SBIR System: Each year, eleven federal departments and agencies are required by SBIR to reserve a portion of their R&D funds for award to small business. Department of Agriculture Department of Commerce Department of Defense Department of Education Department of Energy Department of Health and Human Services Department of Homeland Security Department of Transportation Environmental Protection Agency National Aeronautics and Space Administration National Science Foundation These agencies designate R&D topics, accept proposals, and have unique programs. 6

7 Three-Phase Program: Following submission of proposals, agencies make STTR awards based on small business/nonprofit research institution qualification, degree of innovation, and future market potential; and SBIR awards based on small business qualification, degree of innovation, technical merit, and future market potential. Small businesses that receive awards then begin a three-phase program. Phase I is the startup phase. Awards of up to $100,000 for approximately one year through STTR to fund the exploration of the scientific, technical, and commercial feasibility of an idea or technology and for approximately 6 months through SBIR to support exploration of the technical merit or feasibility of an idea or technology. Phase II awards of up to $750,000, for as long as two years, to expand Phase I results. During this period, the R&D work is performed and the developer begins to consider commercial potential. Only Phase I award winners are considered for Phase II. Phase III is the period during which Phase II innovation moves from the laboratory into the marketplace. No STTR or SBIR funds support this phase. The small business must find funding in the private sector or other non-sttr/sbir federal agency funding. 7

8 DEPARTMENT of ENERGY (DOE) Each year, the federal agencies that participate in SBIR and STTR set aside 2.5% and 0.3%, respectively, of their extramural R&D budgets. For the DOE in FY 2005, these set-asides correspond to $102 million and $12 million, respectively. Each year (typically around the beginning of October), DOE issues a solicitation inviting small businesses to apply for SBIR/STTR Phase I grants. The solicitation contains technical topics in such research areas as: Energy production (Fossil, Nuclear, Renewable, and Fusion Energy), Energy use (in buildings, vehicles, and industry), Fundamental energy sciences (materials, life, environmental, and computational sciences, and nuclear and high energy physics), Environmental Management, and Nuclear Nonproliferation. 8

9 DOE SBIR and STTR have three distinct phases: Phase I: explores the feasibility of innovative concepts with awards up to $100,000 for about 9 months. Phase II: Only Phase I award winners may compete for Phase II, the principal R&D effort, with awards up to $750,000 over a two-year period. Phase III: There is also a Phase III, in which non-federal capital is used by the small business to pursue commercial applications of the R&D. Also under Phase III, Federal agencies may award non-sbir/sttr-funded, follow-on grants or contracts for products or processes that meet the mission needs of those agencies, or for further R&D. What are the chances of winning? Proposal-to-award ratios are about 5-to-1 for Phase I and 2-to-1 for Phase II. 9

10 DOE How to Get Started? Search Grants.gov for an open funding notice: The SBIR and STTR Phase I funding notice lists all the research topics under which DOE is seeking phase I proposals, and also contains detailed information on the parameters of the SBIR and STTR programs and how to submit a proposal. DOE issues one combined SBIR and STTR funding notice each year. To resolve any questions you may have: If you have a general question about the SBIR or STTR programs, please contact the DOE SBIR/STTR program office at , or to sbir-sttr@science.doe.gov. If you have a technical question about a specific research topic listed in the solicitation, you may: Communicate by with the topic author, whose contact information may be obtained from the solicitation after each subtopic. 10

11 Department of Health and Human Services Participating Organizations National Institutes of Health (NIH), ( Centers for Disease Control and Prevention (CDC), ( Food and Drug Administration (FDA), ( Amount set aside from NIH extramural budget: Since FY 1997: 2.5 percent National Institutes of Health (NIH) Application/proposal receipt dates: Grant applications: April 5, August 5, December 5 each year Contract proposals: First week in November each year In what areas is NIH interested? The National Institutes of Health (NIH) welcomes SBIR and STTR applications from small businesses in any biomedical or behavioral research area that falls within our mission, which is to improve human health. Areas of interest are described in the funding opportunity announcements and solicitations available at the NIH Small Business Funding Opportunities website ( Applicants are encouraged to subscribe to the NIH Guide for Grants and Contracts and to visit the websites of our Institutes and Centers to learn of emerging interests and areas of high priority. 11

12 Department of Health and Human Services Participating Organizations The SBIR/STTR Programs are structured in three phases. Phase I: The objective of Phase I is to establish the technical merit and feasibility and potential for commercialization of the proposed R/R&D efforts and to determine the quality of performance of the small business awardee organization prior to providing further Federal support in Phase II. Support under Phase I normally may not exceed $100,000 for total costs (direct costs, F&A costs, and negotiated fee) for a period normally not to exceed six months for SBIR and one year for STTR. Phase II: The objective of Phase II is to continue the R/R&D efforts initiated in Phase I. Funding is based on the results achieved in Phase I and the scientific and technical merit and commercial potential of the project proposed in Phase II. Only Phase I awardees are eligible for a Phase II award. Support for SBIR and STTR Phase II awards normally may not exceed $750,000 total costs (direct costs, F&A costs, and negotiated fee) for a period normally not to exceed two years. Deviations from the indicated Phase I/Phase II statutory award amount and project period guidelines are acceptable but must be well justified and should be discussed with appropriate NIH staff prior to submission of the application. Phase III: The objective of Phase III, where appropriate, is for the small business concern to pursue with non-sbir/sttr funds the commercialization objectives resulting from the Phase I/II R/R&D activities. In some Federal agencies, Phase III may involve follow-on non-sbir/sttr funded R&D or production contracts for products, processes or services intended for use by the U.S. Government. 12

13 National Science Foundation (NSF) SBIR/STTR PROGRAM DESCRIPTION The primary objective of the NSF SBIR/STTR Program is to increase the incentive and opportunity for small firms to undertake cutting-edge, high risk, high quality scientific, engineering, or science and engineering education research that would have a high potential economic payoff if the research is successful. The STTR program further expands the public and private partnership to include collaborative opportunities for small businesses and non-profit research institutions. The fundamental mission of NSF is to promote discoveries and to advance education across the frontiers of knowledge in science and engineering. NSF encourages and supports a wide range of proposals from the research and education community and also from the private small business sector. These proposals are reviewed under NSF's merit review criteria, which cover both the quality of research (intellectual or technical merit) and its potential impact on society (broader impacts). The Emerging Opportunities (EO) topic encompasses 3 very broad subtopics: Bio & Environmental Technologies (BE) Components & Systems (CS) Software & Services (SS) Successful proposers will conduct Research and Development (R&D) on projects that: Provide evidence of a commercially viable product, process, device, or system, and/or; Meet an important social or economic need. More in-depth program information: 13

14 Under NSF SBIR/STTR current solicitations: NSF AWARD INFORMATION SBIR Phase I proposals may be submitted for funding up to $100,000; STTR Phase I proposals may be submitted for funding up to $150,000. SBIR Phase I projects run for 6 months and STTR Phase I projects for 12 months. The program expects to make approximately 150 fixed amount awards (approximately 125 SBIR Phase I awards plus an additional 25 STTR Phase I awards). Anticipated funding amount for this solicitation is $16,250,000 with approximately $12,500,000 for SBIR Phase I and approximately $3,750,000 for STTR Phase I (pending the availability of funds and quality of proposals). Award notification is typically four to six months from the proposal submission deadline date. All awards will have an effective date of July 1,

15 NSF PROPOSAL PREPARATION AND SUBMISSION INSTRUCTIONS Full Proposal Instructions: Proposals submitted in response to this program solicitation should be prepared and submitted in accordance with the guidelines specified in the NSF Grant Proposal Guide (GPG). The complete text of the GPG is available electronically on the NSF website at: Paper copies of the GPG may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-PUBS (7827) or by from 15

16 DoD's SBIR and STTR Programs The purpose of DoD's SBIR and STTR programs is to harness the innovative talents of our nation's small technology companies for U.S. military and economic strength. SBIR The DoD SBIR program, funded at approximately $1.14 billion in FY 2007, is made up of 12 participating components: Army, Navy, Air Force, Missile Defense Agency (MDA), Defense Advanced Research Projects Agency (DARPA), Chemical Biological Defense (CBD), Special Operations Command (SOCOM), Defense Threat Reduction Agency (DTRA), National Geospatial-Intelligence Agency (NGA), Defense Logistics Agency (DLA), Defense Microelectronics Activity (DMEA), and the Office of Secretary of Defense (OSD). The SBIR program funds early-stage R&D at small technology companies and is designed to: stimulate technological innovation increase private sector commercialization of federal R&D increase small business participation in federally funded R&D foster participation by minority and disadvantaged firms in technological innovation For Further information regarding program eligibility, limitations, and definitions, review the SBIR solicitations. 16

17 STTR The DoD STTR program, funded at approximately $131 million in FY 2007, is made up of 6 participating components: Army, Navy, Air Force, Missile Defense Agency (MDA), Defense Advanced Research Projects Agency (DARPA), and the Office of Secretary of Defense (OSD). To participate in the STTR program: a firm must be a U.S. for-profit small business of 500 or fewer employees; there is no size limit on the research institution research institution must be a U.S. college or university, FFRDC or non-profit research institution work must be performed in the United States the small business must perform a minimum of 40% of the work and the research institution a minimum of 30% of the work in both Phase I and Phase II the small business must manage and control the STTR funding agreement the principal investigator may be employed at the small business or research institution For Further information regarding program eligibility, limitations, and definitions, review the STTR solicitations. 17

18 Three Phased Program Phase I: Up to $100,000 to test the scientific, technical, and commercial merit and feasibility of a particular concept. Phase II: If phase I proves successful, the company may be invited to apply for a two-year phase II award of up to $750,000 to further develop the concept, usually to the prototype stage. Proposals are judged competitively on the basis of scientific, technical, and commercial merit. Phase III: Following completion of phase II, small companies are expected to obtain funding from the private sector and/or non-sbir government sources to develop the concept into a product for sale in private sector and/or military markets. SBIR is the largest source of early-stage technology financing in the U.S. Total Federal SBIR/STTR funding in FY 2007 is $2.315 billion. The DoD accounts for nearly half of the total SBIR/STTR program. DoD NIH NASA NSF DOE Other 54.9% 28.1% 5.0% 5.0% 4.2% 2.8% Why participate in SBIR/STTR? You can receive up to $850,000 of seed capital, develop a working relationship and credibility with government R&D programs, and all data rights remain with your firm. 21% of Phase I awardees are first-time DoD winners. About 15 percent of SBIR and STTR proposals are awarded a phase I contract; approximately 40 percent of phase I projects subsequently are awarded a phase II contract. (In recent solicitations, a much higher percentage of STTR phase I proposals was awarded a phase I contract. 18

19 Getting Started in SBIR and STTR The SBIR and STTR solicitations list all the research topics under which DoD is seeking phase I proposals, and also contain detailed information on the parameters of the SBIR and STTR programs and how to submit a proposal. DoD issues three SBIR solicitations and one STTR solicitation each year, according to the following schedule: All solicitations are available electronically. If you have a general question about the SBIR or STTR programs, please contact the DoD SBIR/STTR Help Desk by telephone 866-SBIRHLP ( ) or by . If you have a technical question about a specific research topic listed in the solicitation, you may ask it in two ways: Talk by telephone with the Topic Author, whose name and phone number will be listed in the solicitation topic. Submit a written question through the SBIR/STTR Interactive Topic Information System (SITIS), in which the questioner and respondent remain anonymous and all questions and answers are posted electronically until the solicitation closes. 19

20 NASA SBIR/STTR Program Introduction This guide provides an overview of both the Small Business Innovation Research (SBIR) and the Small Business Technology Transfer (STTR) programs as implemented by the National Aeronautics and Space Administration (NASA). These programs provide opportunities for Small Business Concerns (SBCs) and Research Institutions (RIs) to participate in Government sponsored research and development (R&D) efforts. NASA issues annual combined Solicitations for the SBIR and STTR programs in July via the NASA SBIR/STTR website: The Solicitation period is open for approximately two months and those selected for award are announced about three months after its closing. The Solicitations provide all the information needed to submit proposals. 20

21 NASA What are the benefits of participating? The SBIR and STTR programs provide opportunities for SBCs and partnering RIs to work with NASA to advance proposed innovations and transition resulting technologies, products and services into NASA mission programs and other markets. Other benefits of an SBIR/STTR contract with NASA include: "Equity-free funding to explore, develop and demonstrate the feasibility of proposed innovations; Non-disclosure of proprietary data provided under the contract for a period of four years; Data and intellectual property rights necessary for commercialization, including ownership of data, copyrights, and inventions resulting from the performance of the contract; and Fulfillment of the Federal procurement competition requirements, enabling follow-on, Phase 3 contracts by NASA, other Federal agencies and prime contractors to the Government without further competition. Participants in the NASA SBIR and STTR programs report other benefits as well: Gaining additional credibility after winning an SBIR/STTR contract in the search for capital, equipment, or services; Obtaining exposure, experience, and contacts within NASA that has led to other contracts or subcontracts; and Receiving the debriefing comments from detailed technical evaluations, which helps the SBC understand the strengths and weaknesses of their proposal. Overall, participating SBCs and RIs are challenged to develop, transition and bring to market their innovative concepts and technologies in ways that create benefits and contribute to the NASA mission, the Nation s prosperity and their commercial growth. 21

22 What are the NASA SBIR and STTR research areas? The SBIR and STTR Solicitations are produced in partnership with NASA s Mission Directorates and centers to focus on the agency s priority mission needs. These needs, updated annually, are organized under topics and subtopics. Proposals eligible for award must address one or more needs within a subtopic. The Solicitations ( include tools employing text search and a technology taxonomy that are available to help find subtopics of interest. The technology taxonomy also allows a SBC or RI to find subtopics whose text may not include specific technical words but which are relevant. SBIR NASA s Mission Directorates and centers manage the topics and subtopics for the Solicitations. Topics and subtopics evolve in keeping with the agency s mission needs and priorities. Each subtopic is normally the responsibility of one NASA center, noted as Lead Center in the Solicitation, with assistance from Participating Centers. All four NASA Mission Directorates participate in the SBIR program: AERONAUTICS RESEARCH MISSION DIRECTORATE EXPLORATION SYSTEMS MISSION DIRECTORATE SCIENCE MISSION DIRECTORATE SPACE OPERATIONS MISSION DIRECTORATE STTR STTR topics and subtopics focus on needs associated with the core competencies of NASA s centers in support of NASA mission programs. Each participating center has two subtopics grouped under a topic titled with the center name. 22

23 NASA How are the programs structured? The structure of the SBIR and STTR programs reflects the Congressional understanding that the innovation process and bringing new products and services to the market takes time and has a high degree of technical and business risk. The programs have three phases: Phase 1 is the opportunity to establish the scientific, technical and commercial merit and feasibility of the proposed innovation in fulfillment of NASA needs. All Phase 1 contracts are selected competitively and require reporting on the work and results accomplished, including the strategy for the development and transition of the proposed innovation. NASA SBIR Phase 1 contracts last up to 6 months with a maximum funding of $100,000. STTR Phase 1 contracts are typically for one year with a maximum funding of $100,000. Phase 2 is focused on the development, demonstration and delivery of the proposed innovation. It continues the most promising Phase 1 projects through a competitive selection based on scientific and technical merit, expected value to NASA, and commercial potential. All Phase 2 contracts require reporting on the work and results accomplished, and whenever possible, the delivery of a prototype unit or software package, or a more complete product or service, for NASA testing and utilization. Both SBIR and STTR Phase 2 contracts are usually for a period of 24 months with a maximum funding of $600,000. Phase 3 is the commercialization of innovative technologies, products and services resulting from Phase 2, including their further development for transition into NASA programs, other Government agencies, or the private sector. Phase 3 contracts are funded from sources other than the SBIR and STTR programs and may be awarded without further competition. 23

24 What are the differences between the SBIR and STTR programs? Key elements of the two programs are summarized below. The annual Solicitations should be reviewed for further information on the requirements of the programs. SBIR STTR Maximum Contract Value Phase 1- $100,000 Phase 2 - $600,000 Phase 1 - $100,000 Phase 2 - $600,000 Phase I Duration Not more than 6 months Not more than 12 Months Primary Employment Primary employment of the PI must be with the SBC at the time of award and during the conduct of the project. Primary employment means PI will average a minimum of 20 hours per week with the SBC, and that more than half of the PI's total employed time is spent with the SBC. PI must be primarily employed with either the SBC or RI, with the equivalent definitions as in SBIR for time and amount. Cooperative Agreement Not Applicable The offeror must submit a written agreement between the SBC and the RI. Allocation of Rights Agreement Not Applicable May be requested by the Contracting Officer after the SBC is selected for contract award. Work Distribution SBC may perform up to 100% of the work. Not less than 40% of the work is to be performed by the SBC and not less than 30% is to be performed by the RI. Subcontractors/ Consultants Must not exceed one third of the research and/or analytical work for Phase 1 and one half for Phase 2. Minimum of 40% of the work is to be performed by the SBC and not less than 30% is to be performed by the RI. Up to 30% of the work may go to a subcontractor. Historical Award Percentage Phase 1: About 13% of proposal submissions Phase 2: About 40% of the successfully completed Phase 1 projects Phase 1: About 20% of proposal submissions Phase 2: About 40% of the successfully completed Phase 1 projects 24

25 Where can I obtain more information? The NASA SBIR/STTR website ( contains Solicitations and schedules, along with a wealth of related information. The SBIR/STTR Firm s Library ( provides specific help in meeting proposal and contract requirements. The Firm s Library offers templates and samples of all potential Phase 1 and Phase 2 deliverables from proposal submissions through the life of the contract. NASA TechSource ( provides searchable information on current and recently completed SBIR and STTR Phase 2 projects funded by NASA. The NASA Innovative Partnerships Program ( provides additional online technology resources for exploring other NASA research, technology, expertise and R&D capabilities. Other sources of assistance available? Since the inception of the SBIR and STTR program a wide range of public and private sector programs and services have emerged to assist SBCs in all phases of the programs. The National Science Foundation sponsors an extensive website for the overall SBIR/STTR community ( 25

26 So what is the NTTC doing for NASA? Categorizing performance-based needs by technological area Determining synergies within an Agency or across other Agencies Identifying/Determining technology portfolios to meet performance-based needs: SBIR/STTR Agency Research Staff R&D Private sector products/r&d Conducting technology and market/commercialization assessments (secondary and primary research) to confirm the technology s viability Qualifying technology projects and developers Preparing results according to pre-determined format Presenting results to relevant Points Of Contact (POCs) in pre-determined format Providing support and follow-up services Tracking for and publishing successes Compiling Lessons Learned and Formulating Best Practices 26

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29 NASA & DoD SBIR-STTR Technologies NAVIGATION Phase II Awards (current through 11/26/07) NASA Technology Taxonomy Avionics and Astrionics Attitude Determination & Control Flight Landata, Inc. (NASA) Avionics & Astrionics Guidance, Navigation & Control Advanced Optical Systems, Inc. (NASA) Applied Technology Associates (DoD) Applied Technology Associates (DoD) Intelligent Automation, Inc. (NASA) Microcosm, Inc. (DoD) Microcosm, Inc. (NASA) Milli Sensor Systems & Actuators (NASA) New Jersey Microsystems, Inc. (NASA) Payload Systems, Inc. (NASA) Payload Systems, Inc. (NASA) Payload Systems, Inc. (NASA) Princeton Satellite Systems (NASA) Princeton Satellite Systems (NASA) Scientific Systems Company, Inc. (NASA) SySense Inc. (DoD) Communications Laser Michigan Aerospace Corporation (NASA) Communications RF Soneticom, Inc. (NASA) Electronics Highly-Reconfigurable EM Photonics (NASA) Electronics Ultra-High Density/Low Power Evigia Systems, Inc. (NASA) United Silicon Carbide, Inc. (NASA) Extravehicular Activity -Tools Physical Optics Corporation (DoD) Trident Systems, Inc. (DoD) Information Software Tools for Distributed Analysis & Simulation Geospatial Research Innovation Design (NASA) Robotics Integrated Robotic Concepts and Systems Mobile Intelligence Corporation (DoD) Robotics Perception/Sensing Rapid Imaging Software, Inc. (NASA) Sensors & Sources High Energy EPIR Technologies, Inc. (NASA) Sensors & Sources Optical Advanced Fuel Research, Inc. (NASA) Advanced Scientific Concepts, Inc. (NASA) apeak, Inc. (NASA) Nanohmics, Inc. (NASA) Radiation Monitoring Devices, Inc. (NASA) Radiation Monitoring Devices, Inc. (NASA) SiWave, Inc. (NASA) SiWave, Inc. (NASA) Star Vision Technologies, Inc. (NASA) TelAztec LLC (DoD) Visidyne, Inc. (NASA) Voxtel, Inc. (NASA) NASA and DoD SBIR-STTR Phase I Awards 2007, 2006, and 2005 Articles and Publications from NTRS US Patents and US Patent Applications Non-US Navigation R&D and Non-US Patent Applications Academia (Centers of Excellence) CURRENT STATUS OF TECHNOLOGY: (compiled with company input) Current TRL: 4/5 TRL 6: one year from start of contract Technical Objectives: 1) Planar compact gimbaled platform performs. 2) High-performance hyperspectral instrument. 3) High-performance stereo-vision-capable multispectral instrument. NASA SBIR/STTR Technologies A GIMBAL-STABILIZED COMPACT HYPERSPECTRAL IMAGING SYSTEM Flight Landata, Inc. 250 Clark Street North Andover, MA Xiuhong Sun (978) Subtopic Title: Passive Optics and Stepping Motors for Spaceborne and Airborne Platforms IDENTIFICATION AND SIGNIFICANCE: The system fully integrates multi-sensor spectral imaging, stereovision, GPS and inertial measurement, gimbal-stabilization, and gimbal-pointing-and-tracking capabilities into a compact lightweight package. GCHIS has a fast data rate for high resolution and large area coverage. It is highly resistant to air turbulence and can handle diverse flight profiles. Click image to enlarge proposal summary NON-PROPRIETARY DATA Gimbal-Stabilized Compact Hyperspectral Imaging System AGENCY APPLICATIONS: (compiled with company input) International Earth remote sensing program for airborne agricultural/environmental applications. Deployment with UAV/Airship for field-expedient or persistent launch range surveillance/intrusion data collection. Mapping Moon/Mars surface resources for identifying outpost/science sites and traversable terrains. Mapping surface topography and roughness for identifying safe landing sites for human, robotic, pre-provisioning missions, and to guide pinpoint accurate landing algorithms. COMPANY DATA: Company founded in employees; annual sales of $10M. References

30 S6.01 Passive Optics and Stepping Motors for Spaceborne and Airborne Platforms Lead Center: LaRC Participating Center(s): GSFC Passive optical remote sensing generally requires that deployed devices have large apertures and large throughput. NASA is interested primarily in instrument technologies suitable for aircraft or space flight platforms, and these inherently also prefer low mass, low power, fast measurement times, and a high degree of robustness to survive vibrations in flight or at launch. Wavelengths of interest range from ultraviolet through the far infrared. Development of techniques, components and instrument concepts that can be developed for use in actual deployed devices and systems within the next few years is highly encouraged. Technologies and components that are not clearly suitable for use in high throughput remote sensing instruments are not applicable to this subtopic. The technology areas of primary interest are described below: Technology leading to significant improvements in capability, availability, or cost of large format (> 2.5 cm diameter), very narrow band (<5 cm -1 full-width at half-maximum [FWHM]), polarization insensitive, high throughput infrared (6-15 µm) optical filters. These filters must be able to operate in vacuum at cryogenic temperatures. High performance four-band two-dimensional (2D) arrays (128x128 elements or more) in the µm wavelength range with high quantum efficiencies (60%-80% or higher) in all spectral bands, low noise, and ambient temperature operation. Detector arrays with unusual 3-dimensional geometries. Of particular interest is the development of a photon counting system with multiple cylindrical detecting elements (detecting surface on the outside edge) formed into a stack connected through one end to the cable leading to the readout electronics. The stack should be 2 to 5 cm in length with at least 12, and up to 48, individual elements. The diameter of the stack/elements should be minimized and on the order of 0.5 cm or less. Each detector element should have a clear field of view for most of the 360 degrees perpendicular to the stack. Exact details for the sensitivity are negotiable at this early stage, but applications are for fluorescence type measurements. High performance 2-color array detectors (128x128 or higher) covering the 3-15 micron spectral range with high efficiencies, low noise and operating at relatively high temperatures (>150K desired, 80K minimum). Improved cryogenic stepping motors with high running torques at 80K. The motors must operate in vacuum and at temperatures at or below 80K. It is desired that these motors have minimal size and power requirements, and especially important that they use minimal current. Typical torque values desired are in the range of ozinches. Proposed motors should have at least 200 steps per revolution of the axis. 30

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40 Technological Area CDs: Methodology and Next Steps The NTTC is developing a structured portfolio of SBIR/STTR technologies dating back to 2002 relevant to NASA s interest in small spacecraft, inflatable structures, and wireless communication. NASA Needs: NASA s 2007 SBIR solicitations. Technology searches: Keywords and phrases are devised to cover every aspect of each subtopic. Search domains: SBIR/STTR databases for NASA and DoD NASA Technical Report Server (NTRS) US patents and applications (USPTO) World patent applications (WIPO) Search results: Selected for relevance to solicitation and categorized by the SBIR/STTR Taxonomy. CD Presentation: Phase II projects from 2002: Quad charts were prepared for each NASA or DoD Phase II project. SBC update: Contacted to determine TRL/current project status, resources necessary to move beyond Phase II, company challenges, additional applications for the technology and commercial development. Each quad chart contains links to the SBIR abstract summary, the company website, the relevant SBIR solicitation, and in some cases an image or demonstration of the actual technology. Phase I projects from 2005: Relevant NASA and DoD projects listed by year. NTRS from 2002: Relevant entries in the NASA Technical Report Server, most recent listed first. Patents from 2002: Selected US patents and applications and World Intellectual Property Organization (WIPO) applications listed, with assignees, most recent listed first. Portfolio Development: Utilize the Senior Scientists and Engineers (SSE) organization to create portfolios of similar, complimentary, and/or enabling technologies and expertise. Assessments: Determine technical and economic viability of portfolios. Partnership Development: Facilitate partnership development activities

41 NTTC/NASA Small Business Innovative Partnerships (SBIP) Program Enhancing the quality of the NASA SBIR/STTR program investment and promoting infusion of SBIR technologies to meet NASA needs Current Significant Products/Accomplishments: KITS searching expertise/portfolio management Technology Portfolio CDs (Compiled with SBC Input) Technology Integration Manager (TIM) Assistance SBIP Program Website Publications (Innovation) Targeted Events (NSMMS) Determine inter/intra-agency synergies Other Agencies (DoD, SBA, USASMDC) Core Capabilities/Value: Technology and Market Assessments Partnership Development Computer Information Systems - Knowledge Integration Tool Sets (KITS) - Categorizing performance-based needs - Technological/expertise portfolios Public Affairs - Writing, graphic design, marketing - Outreach/Inreach - Publications, events, websites SBC Support expertise Future Significant Products/Accomplishments: Technology Portfolio CDs KITS searching expertise/portfolio management KITS Commercialization Technology Integration/Infusion Manager (TIM) Assistance Webcasts and/or Podcasts Webinars Technology Applications Reviews Focus Groups/Workshops Investment/partnership/commercialization opportunities Determine inter/intra-agency synergies Publications (Infusion in Innovation, Venture Briefs) Website Development Success Stories NASA Applications: NASA in general NASA program managers NASA small business concerns New potential NASA small business concerns Government stakeholders General Public Non-NASA Applications: Other federal agencies Prime contractors Other small business concerns Academia Private (commercial) sector Investment community Government stakeholders General Public 41

42 The National Technology Transfer Center 316 Washington Ave Wheeling, WV NTTC (6882) Contact: Darwin Molnar (304)