Small Business Partnering on
Research and Innovation with DHS
(SBIR) Programs
WBB Small Business Outreach Event
January 14, 2014
Frank Barros
Program Analyst
SBIR Program Office
Science and Technology Directorate
Small Business Partnering on Research and
Innovation with DHS
What does this mean?
Operative words: DHS, partnering, research,
innovation
Presenter’s Name
June 17, 2003
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The Department of Homeland Security – DHS
Homeland Security prior to 9-11-01: activities spread across
more than 40 federal agencies and an estimated 2000 separate
congressional appropriations accounts.
February 2001: U.S. Commission on National Security/21st
Century (Hart-Rudman Commission) – Phase III Report
recommended creation of a new National Homeland Security
Agency.
March 2001 – H.R. 1158 – National Homeland Security Agency
Act (Max Thornberry, R-TX) – debate but no final action.
Presenter’s Name
June 17, 2003
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DHS (con’t)
September 11, 2001: The attack on the homeland
October 8, 2001: Executive Order 13228 – established two
entities within the White House to determine homeland security
policy.
October 11, 2001: S. 1534 (Lieberman/Specter) – Department
of Homeland Security – more debate, no final action.
June 6, 2002: President Bush proposed creation of a Cabinet
level Department of Homeland Security.
November 25, 2002: PL 107-296: The Department of
Homeland Security with former Pennsylvania Governor Tom
Ridge as its first Secretary.
Presenter’s Name
June 17, 2003
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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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June 17, 2003
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Why?
Why did I tell you this?
Because:
 Everything we do relates to the fulfilment of our mission
 Everything we develop relates to the fulfilment of our mission
 Everything we purchase relates to the fulfilment of our mission
We do not purchase or develop technology for technology’s sake.
We purchase or develop technologies to solve a problem in fulfilling
our mission.
Presenter’s Name
June 17, 2003
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Organization Chart
DHS
Components
with
SBIR Programs
Organization chart available at:
http://www.dhs.gov/xlibrary/assets/dhs-orgchart.pdf
June 17, 2003
Last Updated Presenter’s
on: April 10,Name
2013
7
A Day in the Life of Homeland Security …
AIR
SEA
 Pre-Screen 2 million passengers before they fly into, out
of, within, or over the U.S.
 Screen 1.8 million passengers and their checked baggage
for explosives and prohibited items at 448 airports before
they board aircraft
 Perform 200 inspections of air carriers and airport
infrastructure
 Patrol 3.4 million square miles of U.S. waterways
 Seize 19,040 pounds of drugs at/near U.S. port 448
airports before they board aircraft of entry
 Lead 100+ waterborne patrols near maritime critical
infrastructure and key resources
 Conduct 54 search and rescue cases
Presenter’s Name
June 17, 2003
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… A Day in the Life of Homeland Security
LAND
Canada
Process
one million, travelers
entering the U.S. by air,
sea, and land
 Screen 100% of cargo and
vehicles entering the U.S.
from Canada and Mexico
 Naturalize 3,200 new U.S.
citizens
 Verify the identities of
109,000+ applicants for visas
or border-crossing cards
 Train 350 members of law
enforcement, faith-based,
academic, and private sector
communities to respond to
active shooter scenarios
Mexico
 Seize $500,000 in counterfeit
U.S. currency before it is
introduced into circulation
Presenter’s Name
June 17, 2003
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… A Day in the Life of Homeland Security
LAND
 Train:
 5,880+ federal, state, local, tribal, and territorial
emergency management and response personnel
 2,100+ officers and agents from 90+ federal
agencies, as well as 125+ state, local, rural,
tribal, territorial, and international officers and
agents
 94 stakeholders from critical infrastructure
sectors to identify, mitigate, and respond to
cyber attacks
 Provide $3.7 million in federal disaster grants to
individuals and households, following
presidentially-declared disaster declarations
 Engage the public every day through “If You See
Something, Say Something”
 Provide Secret Service protection for an average of
10
30 U.S. government officials
and their
Presenter’s
Name families
June 17, 2003
… A Day in the Life of Homeland Security
CYBER
 Prevent $6.8 million in potential losses through cyber
crime investigations
 Respond to 70 cybersecurity incidents per month while
issuing warnings for each
 Issue 20+ actionable alerts for public and private sector to
protect their systems
Data on the “A Day in the Life of Homeland Security” slides is approximate and represents daily
averages based on annual Department-wide statistics. “If You See Something Say Something TM”
used with permission by the New York Metropolitan Transportation Authority (MTA).
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June 17, 2003
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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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June 17, 2003
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DHS Percent of Total Budget Authority by
Organization, FY2014 President’s Budget
FEMA Grants
Percent of Total Budget Authority by Organization,
FY14 President’s Budget
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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June 17, 2003
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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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June 17, 2003
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DHS S&T’s Technical Divisions – HSARPA
(Homeland Security Advanced Research Projects Agency)
 Borders and Maritime Security Division - Prevent contraband, criminals and
terrorists from entering the U.S. while permitting the lawful flow of commerce
and visitors
 Chemical/Biological Defense Division - Detect, protect against, respond to,
and recover from potential biological or chemical events
 Cyber Security Division – Secure the Nation’s current and future cyber and
critical infrastructures against persistent threats and dynamic attacks
 Explosives Division - Detect, prevent and mitigate explosives attacks against
people and infrastructure
 Resilient Systems Division – Strengthen resilience to all hazard disasters
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June 17, 2003
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Partnering
End User
Technology
Gap
S&T / DNDO
Technology
Foraging
BAA / LRBAA
2-3 Years
Solution
SBIR
Phase I / Phase II
3 years
End User
Phase III
T&E
long term
5 years
Innovative
Solution-Market
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June 17, 2003
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DHS SBIR – A Three-Phase Program
Phase I:

Scientific and
Technical
Feasibility/Study




Phase II:

Full Research/R&D
Prototype
Demonstration




Phase III:

Commercialization
Stage
(non SBIR funds)




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
New in
FY13
New in
FY13
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
Presenter’s Name
June 17, 2003
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14.1 Solicitation
Closing date: January 22, 2014
H-SB014.1-001 Mobile Footprint Detection
H-SB014.1-002 Mass Delivery of Countermeasure for High Consequences
Diseases in Wildlife
H-SB014.1-003 System Simulation Tools for X-ray based Explosive Detection
Equipment
H-SB014.1-004 Physiological Monitoring and Environmental Scanning
Technology
H-SB014.1-005 Machine to Machine Architecture to Improve First Responder
Communications
H-SB014.1-006 Smart Device Compatible Module for Radiation Identification,
Categorization, and Quantification.
H-SB014.1-007 Miniaturization of Support Infrastructure for Non-Intrusive
Inspection X-Ray Systems
Presenter’s Name
June 17, 2003
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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 in FedBizOpps
 Federal employee review panels, source selection authority
 Firm-fixed price 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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June 17, 2003
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SBIR Solicitation Information and Release Dates
Number of Solicitations per Fiscal Year
Pre-Solicitation/Solicitation Released
Number of Days Pre-Solicitation Posted
S&T Directorate
DNDO
2
1
Late Fall and Early Spring
Spring, depending on funding
15
7
 FedBizOpps:
https://www.fbo.gov
 SBIR website:
https://sbir2.st.dhs.gov
Where Posted
 FedBizOpps:
https://www.fbo.gov
Direct Contract with Topic Authors
Permitted
Yes,
15 days after
pre-solicitation is released
No
Open Question and Answer Period
Via email solicitation release to two
weeks prior to close
Via email after solicitation is
released
30
45
Proposal Submission
Via secure portal at
https://sbir2.st.dhs.gov
Per solicitation
Proposal Reviewers
Federal Employees
Federal Employees & SMEs
Number of Days to Submit Proposal
Always read the solicitations;
Changes happen!
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June 17, 2003
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SBIR Solicitation Topics
S&T Directorate
DNDO
6 – 8,
dependent on funding
Varies,
dependent on funding
Topic Technical Areas
(see https://sbir2.st.dhs.gov for past
solicitation topics)
Borders and maritime security;
Chemical/biological detection;
Cyber security;
Explosives detection;
Resilient systems;
Technologies for first responders
Radiological/nuclear detection
technologies
Materials development and
supporting technology;
Passive techniques;
Active techniques;
Integrated approaches;
Nuclear forensics
Number of Phase I Contract Awards
per Topic, historically
3
Multiple
Number of Phase I Projects
Progressing to Phase II, historically
~1/3
~1/2
Number of Topics per Solicitation
Topics from the community can be submitted at
https://sbir2.st.dhs.gov/portal/public/Menu.action?page=sbir_recommendations
Presenter’s Name
June 17, 2003
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DHS SBIR Historical Conversion Rates,
FY04 –FY13
Phase I submissions
received awards
 Then, ~ 37% of Phase I
awards received a Phase
II award
 And ~ 21% of Phase II
projects received
Phase III funding
 ~ $63M non-SBIR
investment
(government and/or
private sources)
500
Number of Projects
 ~ 16% of the 3,267
600
536
400
204
300
200
42
100
0
Phase I
Phase II
Phase III
Commercialization
DHS SBIR is a highly competitive process;
award recipients are moving towards commercialization.
Presenter’s Name
June 17, 2003
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How “Small” is the SBC that Proposes to and Receives Awards
from the DHS S&T SBIR Program? (FY04.2 – FY13.2 data)
63% Phase I submissions from SBCs
with fewer than 24 employees
Percent of Phase I Companies
40%
37%
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
Number of Employees
100-249 250-500
*Includes STTR data
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June 17, 2003
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DHS SBIR Statistics on Small Business Demographics
(FY04.2 – FY13.2 data)
23%
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
Presenter’s Name
June 17, 2003
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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
MI
98/13
IA
4/0
NE
7/1
KS
8/1
OK
13/4
TX
165/25
AK
4/1
WI
15/2
NY
122/30
PA
76/11
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
FL
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
119/17
PR 3/0
HI
21/3
Total Phase I
Submissions/Awards
3,267/536
*Includes STTR data
 Submissions from
50 states, plus DC
and Puerto Rico
in 42
states
Presenter’s Name  Awards
June 17,
2003
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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)
Presenter’s Name
June 17, 2003
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SBIR Website Portal
https://sbir2.st.dhs.gov
Solicitations
Awards
Recommend a Topic
Mailing List Signup
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June 17, 2003
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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-business-dhs
 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
Presenter’s Name
June 17, 2003
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Successful SBIR Phase I Proposal to DHS
Do Not …
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
X
X
X
X
X
Submit proposals via email (unless
the solicitation states to do so)
Submit duplicate proposals
Ask the Program Office 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
Presenter’s Name
June 17, 2003
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You should be interested in the SBIR Program if ….
(1) You want free money,
 To conduct research leading to a
commercializable product, service,
or process
 Provided via grant or contract
awards (depending on agency
making award)
 not a loan; no repayment
~ $2.4 B in FY2012
across 11 agencies
Presenter’s Name
June 17, 2003
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You should be interested in the SBIR Program if ….
(2) you have an idea or concept for an innovative technology or product
(3) your idea may/may not be feasible… but if it is, it could revolutionize
some aspect of a participating agency’s mission
(4) you want a potential leveraging tool to attract venture capital and
other sources of $$$
(5) you want to spinoff a business venture to take your innovation into
the commercial market
(6) you want to retain intellectual property data rights (FAR 52.227-20)
(7) you want a sole source marketing position with a ready-made
customer base
(8) you want to be recognized as a unique national resource of
technological innovation
Presenter’s Name
June 17, 2003
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SAFETY Act
Support Anti-Terrorism by Fostering Effective Technologies Act of 2002
https://www.safetyact.gov
 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.
Presenter’s Name
June 17, 2003
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Questions?
Presenter’s Name
June 17, 2003
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