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Small Business Innovation Research Program Overview 1
Elissa I. Sobolewski
DHS SBIR Program Director
Department of Homeland Security Small Business Innovation Research
(SBIR) Programs
Gaylord Hotel
National Harbor, MD
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
Small Business Innovation Research Program Overview 2
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CBP
USCG
TSA
FEMA
ICE
FEMA Grants
USCIS NPPD USSS
DHS Percent of Total Budget Authority by Organization,
FY12
~ $56.9B in FY12
across all organizations
Percent of Total Budget Authority by Organization,
FY12
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: FY12 Budget in Brief
http://www.dhs.gov/xlibrary/assets/budget-bib-fy2012.pdf
4 DHS Components
with SBIR Programs
Organization chart available at: http://www.dhs.gov/xlibrary/assets/dhs-orgchart.pdf Last Updated on: April 1, 2012
Small Business Innovation Research Program Overview 3
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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)
Small Business Innovation Research Program Overview 4
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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
Small Business Innovation Research Program Overview 5
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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 - Create a safe, secure and resilient cyber
environment
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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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
New in FY13
New in FY13
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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
Cost plus fixed fee contracts subject to a DCAA audit
DHS issues contracts, not grants, for its SBIR awards
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DHS SBIR Historical Conversion Rates, FY04 –FY12
~ 17% of the 3,019
Phase I submissions
received awards
Then, ~ 38% of Phase I
awards received a Phase
II award
And ~ 22% of Phase II
projects received
Phase III funding
~ $62.9M non-SBIR
investment
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
600 504
190
42
Nu
mb
er o
f P
roje
cts
Small Business Innovation Research Program Overview 7
*Does not include DNDO data
How “Small” is the SBC that Proposes to and
Receives Awards from the DHS S&T SBIR Program? (FY04.2 – FY13.1 data)
0%
5%
10%
15%
20%
25%
30%
35%
40%
1 2-9 10-24 25-49 50-99 100-249 250-500
4%
38%
21%
11% 9%
14%
3% 1%
28%
20%
15%
10%
22%
4%
Per
cen
t of
Ph
ase
I C
om
pa
nie
s
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
14
DHS SBIR Phase I: A National Perspective Data through FY13.1*
AK
3/1
NV
23/3 UT
31/8
ID
8/0
MT
9/2
WY
2/0
ND
2/0
SD
3/0
NE
7/1
KS
7/1
AR
4/0
LA
19/2
SC
10/1
WV 10/1
IA
4/0
WI
14/2
PR 3/0
WA
58/12
OR
22/5
CA
627/119
AZ
55/10 NM
49/7
CO
80/14
TX
154/24
OK
12/4
MO
20/3
MN
44/7
IL
55/7
ME
15/2
NY
118/30 MI
88/12
IN
44/5
PA
73/10 OH
59/1
KY
12/1
TN 22/1
MS
8/0
AL
67/12
GA
42/3
FL 112/16
NC 33/5
VA
293/48
NH 31/6
MA 348/84
RI 8/1
CT 52/9
NJ 82/8
DE 12/0
MD 196/27
DC 5/0
HI
18/3
Total Phase I
Submissions/Awards
3,083/519
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
345 companies in 42 states have received DHS SBIR funding
24 companies filed for patents * 26 patents granted; 15 patents filed but not yet granted
40 commercial products in the market **
* data from 54 of 78 companies responding as of Fall 2010 ** data from the 2013 survey (includes standalone products, active licenses, products with DHS technology incorporated
SBIR Companies: 31 Merger and Acquisition Activities SBIR Company Activity
Access Data Corporation Merged with CT Summation, 2010
New company is AccessData Group, LLC
Acoustech Corporation Acquired by Applied Physical Sciences, 2006
Aculight Corporation Acquired by Lockheed Martin, 2008
AETC, Inc. Acquired by SAIC, 2006
Aguila Technologies, Inc. Acquired by Creative Electron, Inc., 2008
CounterStorm, Inc. Acquired by Trusted Computer Solutions (TCS), 2008
TCS was acquired by Raytheon, 2010
Crucial Security, Inc. Acquired by Harris Corporation, 2009
Dolphin Technology, Inc. Acquired by ITT Corporation, 2007
Endeavor Security, Inc. Acquired by McAfee, 2009
Endeavor Systems, Inc. Acquired by TELESIS Corporation , 2012
Geospatial Systems, Inc. Acquired by Optech Incorporated, 2010
Harris Acoustic Products Corp. Acquired by Ultra Electronics Holdings PLC, 2008
HB Gary, Inc. Acquired by ManTech International Corporation, 2012
Komoku, Inc. Acquired by Microsoft Corporation, 2008
LewTech Company, Inc. Acquired by Logikos, 2010
Lynntech, Inc. Acquired by Astin Partners, 2007
…. continued
Small Business Innovation Research Program Overview 9
SBIR Companies: 31 Merger and Acquisition Activities SBIR Company Activity
Maxion Technologies, Inc. Acquired by Physical Sciences Inc., 2009
MesoSystems Technology, Inc. Acquired by ICx Technologies, 2005
Nomadics, Inc. Acquired by ICx Technologies, 2005
PercepTek, Inc. Acquired by Lockheed Martin, 2007
Picometrix LLC Acquired by Advanced Photonix, Inc., 2005
Radiation Monitoring Devices, Inc. Acquired by Dynasil Corporation, 2008
Rhobotika, LLC Acquired by Neya Systems, LLC , 2012
S5 Wireless, Inc. Acquired by Recon Dynamics LLC, 2010
Seahawk Biosystems Corporation Purchased by Tetracore Inc., 2008
Operates as a subsidiary of Tetracore, Inc.
Solidcore Acquired by McAfee, 2009
SpaceMicro, Inc. Formed a new subsidiary, 2008
New subsidiary is SD Technologies, Inc. (SDTI)
SPADAC, Inc. Acquired by GeoEye Inc., 2010
Merged with Digital Global (DGI), January 2013
Syagen Technology, Inc. Acquired by Morpho Detection, 2011
Tera Research, Inc. Acquired by McAulay-Brown Inc., 2008
Vista Research, Inc Acquired by Raven Industries, 2012
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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
(202) 254-6768
Francis (Frank) Barros DHS S&T Directorate SBIR Program Analyst
(202) 254-6966
S&T Directorate SBIR Program Inquiries
Kevin Gutierrez
DHS DNDO Program Manager
(202) 254-7610
DNDO Program Inquiries
To report SBIR fraud, waste and abuse:
• Email: [email protected]
• 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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Other Opportunities within the S&T Directorate
S&T Directorate Broad Agency Announcements (BAAs),
including the Long Range BAA
LR BAA is DHSS-TLRBAA12-07
covers HSARPA divisions and the First Responder Group
~ 65 technical areas
https://baa2.st.dhs.gov
Safety Act
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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?
Small Business Innovation Research Program Overview 12
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