2014_04-11 Department of Homeland Security (DHS)

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

2

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

3

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

4

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.

6

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

8

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

9

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.

14

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

16

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

20

 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)

21

https://sbir2.st.dhs.gov

Solicitations

Awards

Recommend a Topic

Mailing List Signup

22

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

24

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

25

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?

27

28