Department of Homeland Security Small Business Innovation Research (SBIR) Programs presented to attendees at the
2014 Kentucky SBIR/STTR Annual Conference organized by
Kentucky Science and Engineering Foundation (KSEF) and the
Kentucky Science and Technology Corporation (KSTC) held at the
Embassy Suites Hotel, Lexington, KY Elissa I. Sobolewski DHS SBIR Program Director April 11, 2014
Points for Discussion Brief Overview of DHS Overview of the DHS SBIR Programs Other DHS S&T Directorate Opportunities Broad Agency Announcements (BAAs) for Research and Development Activities Safety Act
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Homeland Security Missions Preventing Terrorism and Enhancing Security Securing and Managing Our Borders Enforcing and Administering Our Immigration Laws Safeguarding and Securing Cyberspace Ensuring Resilience to Disasters Providing Essential Support to National and Economic Security
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DHS Percent of Total Budget Authority by Organization, FY2014 President’s Budget Percent of Total Budget Authority by Organization, FY14 President’s Budget
FEMA Grants
S&T NPPD USSS DNDO USCIS All others
ICE CBP
FEMA
USCG TSA
~ $59.959B in FY2014 across all organizations
Customs and Border Protection (CBP)
21%
U.S. Coast Guard (USCG)
18%
Transportation Security Administration (TSA)
14%
Federal Emergency Management Agency (FEMA)
11%
Immigration and Customs Enforcement (ICE)
10%
FEMA Grants
7%
U.S. Citizenship and Immigration Services (USCIS)
5%
National Protection and Programs Directorate (NPPD)
4%
U.S. Secret Service (USSS)
3%
Science and Technology Directorate (S&T)
2%
Domestic Nuclear Detection Office (DNDO)
1%
Department Operations (Dept. Ops)
2%
Federal Law Enforcement Training Center (FLETC); Office of Inspector General (OIG); and Office of Health Affairs (OHA)
1%
Analysis and Operations (A&O)
1%
Source: Budget-in-Brief Fiscal Year 2014 http://www.dhs.gov
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DHS Components with SBIR Programs
Organization chart available at: 5 http://www.dhs.gov/xlibrary/assets/dhs-orgchart.pdf Last Updated on: April 10, 2013
Domestic Nuclear Detection Office Jointly staffed office established on 15 April 2005 with the signing of NSPD 43 / HSPD 14. Established to improve the Nation’s capability to detect and report unauthorized attempts to import, possess, store, develop, or transport nuclear or radiological material for use against the Nation, and to further enhance this capability over time.
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Transformational & Applied Research Directorate Mission: develop break-through technologies that will have a dramatic impact on capabilities to detect nuclear threats through an aggressive and expedited research and development (R&D) program Objectives: Address gaps in the Global Nuclear Detection Architecture (GNDA) Improve performance, cost, and operational burden of detectors and systems Include industry, national laboratories and academia Coordinate with intra/interagency R&D organizations Transition successful technologies to system development, acquisition, and deployment or commercialization Organization: Exploratory Research Program (ERP) Small Business Innovative Research (SBIR) Academic Research Initiative (ARI) Advanced Technology Demonstration (ATD) 7
DHS S&T Directorate Mission Strengthen America’s security and resilience by providing knowledge products and innovative technology solutions for the Homeland Security Enterprise
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DHS S&T Directorate’s First Responders Group Support to the Homeland Security Enterprise and First Responders Group (FRG) – Engages first responders to better understand their needs – Develops innovative solutions to address their most pressing challenges, from small- to large-scale emergencies – Helps practitioners identify requirements for transition to use
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HSARPA Technical Divisions Borders and Maritime Security Division (BMD) - Prevent contraband, criminals and terrorists from entering the United States while permitting the lawful flow of commerce and visitors Chemical/Biological Defense Division (CBD) – Detect and protect against, respond to, and recover from potential biological or chemical events Cyber Security Division (CSD) - Create a safe, secure and resilient cyber environment Explosives Division (EXD) - Detect, prevent and mitigate explosives attacks against people and infrastructure Resilient Systems Division (RSD) - Identify and analyze threats, enhance societal resilience, and integrate human capabilities in technology development. Strengthen situational awareness, emergency response capabilities, and critical infrastructure protection 10
DHS SBIR – A Three-Phase Program Phase I: Scientific and Technical Feasibility/Study
Phase II: Full Research/R&D Prototype Demonstration
Funded with SBIR funds, 33% may be outsourced Not to exceed 6 months in duration Up to an additional $5,000 per year may be proposed for Technical Assistance $100,000 for S&T Directorate’s SBIR $150,000 for DNDO’s SBIR
Funded with SBIR funds, 50% may be outsourced Generally 24 months in duration Up to an additional $5,000 per year may be proposed for Technical Assistance $750K for base effort for S&T Directorate’s SBIR Potential for additional $250,000 for Phase IIB $1,000,000 for DNDO’s SBIR
Funded with private or non-SBIR government sources Commercialization No dollar or time limits Size standards do not apply Stage (non SBIR funds) For work that derives from, furthers the Phase I/Phase II effort, or brings to conclusion 11 Can be sole-sourced; competition determined in Phase I
Phase III:
DHS SBIR: Treated as a Federal Procurement Subject to the Federal Acquisition Regulations (FARs) Topics are determined by the government Announcements and solicitations published in FedBizOpps Federal employee review panels, source selection authority Firm-fixed price contracts for Phase I and sometimes Phase II contracts Cost plus fixed fee Phase II contracts subject to a DCAA audit DHS issues contracts, not grants, for its SBIR awards 12
SBIR Solicitation Information and Release Dates Two solicitations per year, generally in the early December and April timeframes Pre-solicitation posted for 15 days prior to proposal submission Posted on FedBizOpps and linked on the SBIR Program website Direct contact permitted with topic authors during presolicitation period Questions during the proposal submission phase must be sent to stsbir.proposals@hq.dhs.gov 30 day proposal submission period Reviewers are federal employees; subject matter experts used as advisors on a case-by-case basis Topics from the community can be submitted at 13 https://sbir2.st.dhs.gov/portal/public/Menu.action?page=sbir_recommendations
SBIR FY14.2 Solicitation is On the Street!  HSHQDC-14-R-00035 was pre-released on April 1, 2014  Solicitation includes six topics: Topic Number H-SB014.2001
Topic Title
Decontamination Technologies for Biological Agents
H-SB014.2002
Automatic Detection and Patching of Vulnerabilities in Embedded Systems
H-SB014.2003
Development of Cost-Effective Iterative Reconstruction Computing Platforms for Computed Tomography (CT)based Explosive Detection Equipment
Objective
Demonstrate a novel technology platform that is non-destructive to common environmental surfaces but capable of destroying a range of biological agents. Develop innovative techniques to automatically detect and automatically patch vulnerabilities in networked, embedded systems. Develop a cost-effective reconstruction computing platform to perform iterative reconstruction for computed tomography (CT)based explosive detection systems.
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SBIR FY14.2 Solicitation is On the Street! (con’t) Topic Number H-SB014.2004
H-SB014.2005
H-SB014.2006
Topic Title
Radiant Laser Exposure Monitoring for Nominal Hazard Zone (NHZ) Evaluation
Status Indicator for Downed Power Lines
Field Detection and Analysis Device for Fire Gases and Particulates
Objective Develop a portable monitoring system that directly measures laser exposure relative to Maximum Permissible Exposure (MPE) limits for the evaluation of established Normal Hazard Zones (NHZs) for eye safety considerations. Develop an indicator, visual or otherwise, for electric power distribution cables that allow nearby personnel to determine whether a downed power line is energized or not, creating a safer environment and facilitating a more rapid recovery following an event. Develop a hand-held or "man portable" device that will detect and quantify levels of toxic gases, vapors, and particulates commonly found in the post-fire environment. 15
FY14.2 Solicitation Timeline KEY DATES Event
Date
Pre-solicitation issued
April 1, 2014
Direct contact with topic points of contact permitted Solicitation released Phase I proposal submission period Last day to submit questions Last day Q&A posted on FedBizOpps Deadline for receipt of proposals
April 1, 2014 – April 16, 2014 April 17, 2014 April 17, 2014 – May 21, 2014 May 7, 2014 no later than 2:00 pm ET May 14, 2014 May 21, 2014, 2:00 pm ET
Proposals must be submitted via the DHS SBIR portal at: https://sbir2.st.dhs.gov/portal
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DHS SBIR Historical Conversion Rates, FY04 –FY13 ~ 16% of the 3,267 Phase I submissions received awards Then, ~ 39% of Phase I awards received a Phase II award And ~ 36% of Phase II projects received Phase III funding ~ $131M (includes DHS internal R&D funds; funding from other government agencies; product sales and private investments)
Number of Projects
600
536
500 400 208
300 200
74
100 0 Phase I
Phase II
Phase III Commercialization
DHS SBIR is a highly competitive process; award recipients are moving towards commercialization. 17
How “Small” is the SBC that Proposes to and Receives Awards from the DHS S&T SBIR Program? (FY04.2 – FY13.2 data)
37%
40% Percent of Phase I Companies
63% Phase I submissions from SBCs with fewer than 24 employees 49% Phase I awards to SBCs with fewer than 24 employees
35% 28%
30% 25%
23%
22% 20%
20%
15%
15%
11%
10% 8%
10% 5%
15%
4%
3% 3% 1%
0% 1
2-9
10-24
25-49
50-99
100-249 250-500
Number of Employees *Includes STTR data
DHS SBIR Statistics on Small Business Demographics (FY04.2 – FY13.2 data)
23%
Percentage
25% 20%
17% 14%
15%
11%
10%
10%
4%
5% 0% Women Owned SB
Socially & Economically Disadvantaged SB
Proposals Submitted
HUBZone Certified SB
Proposals Awarded 19
DHS SBIR Phase I: A National Perspective Data through FY13.2*
WA 60/12 ND 2/0
MT 9/2
OR 26/6
ID 8/0 WY 2/0
CA 668/121
NV 25/4
UT 32/8
AZ 58/12
ME 15/2
CO 81/15
NM 50/7
MN 46/7
SD 3/0
NY 122/30
MI 98/13
PA 76/11
IA 4/0
NE 7/1 KS 8/1 OK 13/4 TX 165/25
AK 4/1
WI 15/2
IN OH IL 58/7 45/5 63/2 WV VA 11/1 MO KY 304/50 20/3 13/1 NC 33/5 TN 22/1 AR SC 4/0 10/1 MS AL GA 8/0 71/12 43/3 LA 19/2
VT 10/1 NH 33/6 MA 375/87 RI 8/1 CT 55/9 NJ 86/8 DE 16/0 MD 215/27 DC 5/0
FL 119/17
HI 21/3
Total Phase I Submissions/Awards 3,267/536 *Includes STTR data
PR 3/0
Submissions from 50 states, plus DC and Puerto Rico
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Awards in 42 states
Evidence that DHS SBIR-funded Technology has Helped Enable U.S. Small Businesses to be Successful and Profitable
370 small businesses in 42 states have received DHS SBIR funding
85 patents filed
31 patents issued 28 patents pending
40+ commercial products in the market *
30+ mergers and acquisitions
* data from a 2013 survey (includes standalone products, active licenses, products with DHS technology incorporated)
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https://sbir2.st.dhs.gov
Solicitations
Awards
Recommend a Topic
Mailing List Signup
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Useful Web Sites and DHS SBIR Points of Contact Useful Web Sites https://sbir2.st.dhs.gov
https://baa2.st.dhs.gov http://www.dhs.gov http://www.dhs.gov/do-businessdhs https://www.fbo.gov http://www.sbir.gov To report SBIR fraud, waste and abuse: • Email: dhsoighotline@hq.dhs.gov • Anonymous Hotline: 1-800-323-8603 • Fax: 202-254-4292 • Mail: DHS Office of Inspector General/Mail Stop 2600, Attn: Office of Investigations-Hotline, 245 Murray Drive SW, Building 410 Washington, DC 20528
Elissa (Lisa) Sobolewski DHS SBIR Program Director elissa.sobolewski@hq.dhs.gov (202) 254-6768 Francis (Frank) Barros DHS S&T Directorate SBIR Program Analyst
francis.barros@hq.dhs.gov (202) 254-6966 S&T Directorate SBIR Program Inquiries STSBIR.PROGRAM@hq.dhs.gov Kevin Gutierrez DHS DNDO Program Manager kevin.gutierrez@hq.dhs.gov (202) 254-7610 DNDO Program Inquiries dndo.info@hq.dhs.gov 23
Successful SBIR Phase I Proposal to DHS DO… Read the solicitations and follow all the
instructions Ensure your proposal aligns with and responds to the scope of the topic description Obtain DUNs, CAGE, and SBA registration numbers prior to proposal submission Register in System for Award Management (SAM), SBIR.gov, and the S&T SBIR portal prior to proposal submission Follow the procedures for requesting clarifications/questions on research topics Clearly articulate the proposed innovation Provide a detailed and well-organized work plan Provide qualifications for key personnel, including the PI Pay attention to the requirements of the Commercialization Strategy section
Do Not … X X X
X X
Submit proposals via email Submit duplicate proposals Ask the Program Office or topic author for guidance regarding whether or not your company should submit a proposal Request an extension Wait until the deadline to submit your proposal
MOST IMPORTANT DO’s!!! Register early! Read, read, read the solicitation and topic description(s) Read, read, and re-read your proposal submission prior to submission 24
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Other Opportunities within the S&T Directorate S&T Directorate Broad Agency Announcements (BAAs), https://baa2.st.dhs.gov Solicitation Number DHSS-TLRAA14-02
Title DHS S&T Long Range Broad Agency Announcement
Close Date December 31, 2018
covers the HSARPA divisions and the First Responder Group 45+ technical areas seeking solutions BAA 13-015: D13PS00547
Sustainable, Low-Cost Approaches to Environmental Monitoring
May 9, 2014 Visit FedConnect for latest
BAA 14-001
Chemical Attribution Signature Studies for Chemical Threat Agents
April 30, 2014 4:30 p.m. ET
BAA 13-012 HSHQDC-13-RB0012
First Responder Group BAA
June 5, 2017 or as otherwise specified
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SAFETY Act
https://www.safetyact.gov
Support Anti-Terrorism by Fostering Effective Technologies Act of 2002 Enables the development and deployment of qualified anti-terrorism technologies Provides important legal liability protections for manufacturers and sellers of effective technologies Removes barriers to industry investments in new and unique technologies Creates market incentives for industry to invest in measures to enhance our homeland security The SAFETY Act liability protections apply to a vast range of technologies, including:
Products
Services
Software and other forms of intellectual property (IP)
Protecting You, Protecting U.S. 26
Questions?
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