Elissa I. Sobolewski DHS SBIR Program Director April 11, 2014

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

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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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CBP

USCG

TSA

FEMA

ICE

FEMA Grants USCIS

NPPD USSS

DHS Percent of Total Budget Authority by Organization, FY2014 President’s Budget

~ $59.959B in FY2014 across all organizations

Percent of Total Budget Authority by Organization, FY14 President’s Budget

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%

All others

S&T DNDO

Source: Budget-in-Brief Fiscal Year 2014 http://www.dhs.gov

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SBIR Programs

Organization chart available at: http://www.dhs.gov/xlibrary/assets/dhs-orgchart.pdf Last Updated on: April 10, 2013

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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)

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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

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DHS SBIR – A Three-Phase Program Phase I: Scientific and Technical Feasibility/Study

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

Phase II: Full Research/R&D Prototype Demonstration

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

Phase III: Commercialization Stage (non SBIR funds)

Funded with private or non-SBIR government sources No dollar or time limits Size standards do not apply For work that derives from, furthers the Phase I/Phase II

effort, or brings to conclusion Can be sole-sourced; competition determined in Phase I

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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

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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 pre-

solicitation 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 https://sbir2.st.dhs.gov/portal/public/Menu.action?page=sbir_recommendations

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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 Topic Title

Objective

H-SB014.2-001 Decontamination Technologies

for Biological Agents

Demonstrate a novel technology platform that is non-destructive to common environmental surfaces but capable of destroying a range of biological agents.

H-SB014.2-

002

Automatic Detection and Patching of Vulnerabilities in Embedded Systems

Develop innovative techniques to automatically detect and automatically patch vulnerabilities in networked, embedded systems.

H-SB014.2-003

Development of Cost-Effective Iterative Reconstruction Computing Platforms for Computed Tomography (CT)-based Explosive Detection Equipment

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

Topic Title

Objective

H-SB014.2-

004 Radiant Laser Exposure Monitoring for Nominal Hazard Zone (NHZ) Evaluation

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.

H-SB014.2-

005 Status Indicator for Downed Power Lines

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.

H-SB014.2-

006 Field Detection and Analysis Device for Fire Gases and Particulates

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.

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FY14.2 Solicitation Timeline

KEY DATES

Event Date

Pre-solicitation issued April 1, 2014

Direct contact with topic points of contact permitted

April 1, 2014 – April 16, 2014

Solicitation released April 17, 2014

Phase I proposal submission period April 17, 2014 – May 21, 2014

Last day to submit questions May 7, 2014 no later than 2:00 pm ET

Last day Q&A posted on FedBizOpps May 14, 2014

Deadline for receipt of proposals 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)

DHS SBIR is a highly competitive process; award recipients are moving towards commercialization.

Phase I Phase II Phase III Commercialization

0

100

200

300

400

500

600536

208

74 Num

ber o

f Pro

ject

s

0%

5%

10%

15%

20%

25%

30%

35%

40%

1 2-9 10-24 25-49 50-99 100-249 250-500

4%

37%

22%

11% 8%

15%

3% 1%

28%

20%

15%

10%

23%

3%

Perc

ent o

f Pha

se I

Com

pani

es

Number of Employees

63% Phase I submissions from SBCs with fewer than 24 employees 49% Phase I awards to SBCs with fewer than 24 employees

How “Small” is the SBC that Proposes to and Receives Awards from the DHS S&T SBIR Program?

(FY04.2 – FY13.2 data)

*Includes STTR data

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DHS SBIR Statistics on Small Business Demographics

(FY04.2 – FY13.2 data)

Per

cent

age

0%

5%

10%

15%

20%

25%

Women Owned SB Socially &Economically

Disadvantaged SB

HUBZone CertifiedSB

23%

14%

10%

17%

11%

4%

Proposals Submitted Proposals Awarded

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DHS SBIR Phase I: A National Perspective

Data through FY13.2*

AK 4/1

NV 25/4 UT

32/8

ID 8/0

MT 9/2

WY 2/0

ND 2/0

SD 3/0

NE 7/1

KS 8/1

AR 4/0

LA 19/2

SC 10/1

WV 11/1

IA 4/0

WI 15/2

PR 3/0

WA 60/12

OR 26/6

CA 668/121

AZ 58/12 NM

50/7

CO 81/15

TX 165/25

OK 13/4

MO 20/3

MN 46/7

IL 58/7

ME 15/2

NY 122/30 MI

98/13

IN 45/5

PA 76/11 OH

63/2 KY

13/1

TN 22/1

MS 8/0

AL 71/12

GA 43/3

FL 119/17

NC 33/5

VA 304/50

NH 33/6 MA 375/87 RI 8/1 CT 55/9 NJ 86/8 DE 16/0 MD 215/27 DC 5/0

HI 21/3

Total Phase I Submissions/Awards

3,267/536

VT 10/1

*Includes STTR data

Submissions from 50 states, plus DC and Puerto Rico Awards in 42 states

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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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Solicitations

https://sbir2.st.dhs.gov

Awards

Recommend a Topic

Mailing List Signup

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Useful Web Sites https://sbir2.st.dhs.gov https://baa2.st.dhs.gov http://www.dhs.gov http://www.dhs.gov/do-business-

dhs https://www.fbo.gov http://www.sbir.gov

Useful Web Sites and DHS SBIR Points of Contact 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

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

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Successful SBIR Phase I Proposal to DHS

Do Not … X Submit proposals via email X Submit duplicate proposals X Ask the Program Office or topic

author for guidance regarding whether or not your company should submit a proposal

X Request an extension X Wait until the deadline to submit

your proposal

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

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

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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

Title Close Date

DHSS-TLRAA14-02 DHS S&T Long Range Broad Agency Announcement covers the HSARPA divisions and the

First Responder Group

45+ technical areas seeking solutions

December 31, 2018

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-R-B0012

First Responder Group BAA June 5, 2017 or as otherwise specified

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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)

SAFETY Act Support Anti-Terrorism by Fostering Effective Technologies Act of 2002

Protecting You, Protecting U.S.

https://www.safetyact.gov

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Questions?

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