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Doug maughan ppt

  1. 1. Dept. of Homeland Security Science & Technology DirectorateObtaining Federal R&D FundingContracting and R&D SummitMcLean, VAMay 11, 2010 Douglas Maughan, Ph.D. Branch Chief / Program Mgr. 202-254-6145 / 202-360-3170
  2. 2. Agenda Understanding the Landscape Contracting Small Business Programs Larger R&D Solicitations Summary / Q&A
  3. 3. Federal Cyber Research Community Customers / Agency / Org Research Agenda Researchers ConsumersNational Science Broad range of cyber security Academics and Non- Basic Research - NoFoundation (NSF) topics; Several academic centers Profits specific customersDefense Advanced Mostly classified; unclassified Few academics; large Mostly DOD; mostResearch Projects topics are focused on MANET system integrators; solutions are GOTS, notAgency (DARPA) solutions research and government COTS labsNational Security Agency SELinux; Networking theory; Mostly in-house Intelligence community;(NSA) CAEIAE centers some NSA internal; some open sourceIntelligence Advanced Accountable Information Flow Mostly research labs, Intelligence communityResearch Projects (AIF); Large Scale System system integrators, andAgency (IARPA) Defense (LSSD); Privacy national labs; Some Protection Technologies (PPT) academicsDepartment of Homeland All unclassified; Secure Internet Blend of academics, DHS ComponentsSecurity (DHS) S&T Protocols; Process Control research and government (including NPPD, NCSC, Systems (PCS), Emerging labs, non-profits, private USCG, FLETC and Threats, Insider Threat, Cyber sector and small business USSS); CI/KR Sectors; Forensics; Open Security USG and Internet Technologies, Next Generation Technologies
  4. 4. Increasing Your Success Rate Understand your client  Federal agencies have distinctly different characters  Different missions  Different processes Federal agencies are not charities  Money is appropriated to them for specific purposes  You will be more successful if you can explain why your proposed R&D supports their mission
  5. 5. Federal R&D Programs A program is led by a Program Manager (PM) A program will have:  Specific Technology Objectives aligned with customer needs that will have a significant operational impact  Plan to move from current level of technical maturity to a higher level (e.g., DOD = Technology Readiness Levels)  An approach indicating how objectives will be achieved  A program structure indicating how the PM has deployed resources (time, money, executors) to achieve objectives  Deliverables  Transition Strategy/Technology Development Path
  6. 6. Federal R&D Process • Identify requirements • Develop program plan and allocate resources •Planning • Communicate plans and priorities to technical community • Posting Solicitations •Solicitation • Solicitation Process – White Papers • Submitting proposals • Different programs demand •Contract different contract vehicles • Flexibility used to match mission • Programs tailored to meet unique conditions of •Execution objectives • Active interaction with performers
  7. 7. Relationship with Program Manager PM’s job is to manage technical and programmatic risk and WANTS YOU TO SUCCEED PM wants to leverage existing technology, others’ R&D investment and market pull PM wants the intellectual property strategy aligned with transition plan, but will usually negotiate The PM is a resource for you in accomplishing the R&D and in transitioning to the (government) customer
  8. 8. Mechanics of Proposing R&D Find agencies with closest mission match Identify R&D element(s) within the agencies Look for existing R&D solicitations (Money already exists for these efforts!) Do your homework (read website, workshop results, any presentations on your target program solicitation) Respond to solicitation carefully – meet all administrative requirements and make sure your R&D matches the stated program needs If no solicitation, contact R&D PM. Explain relevance to mission. Be patient. Be persistent.
  9. 9. Agenda Understanding the Landscape Contracting Small Business Programs Larger R&D Solicitations Summary / Q&A
  10. 10. Contracting Vehicles The Government has a range of contracting vehicles to match programmatic needs and contractor character  Grants  Contracts  Cooperative agreements  Other Transactions for Research or Prototypes  Only some agencies have authority for OTs  Allows government to deal with non-traditional contractors who have desirable technologies, but do not want to keep “Government books”  Must comply with “generally acceptable accounting principles”
  11. 11. R&D Proposals Contract Types for R&D Team approach (technical & business)  Consider hiring government contracting specialist Cost realism - Cost or Price Analysis Business Capabilities  Financial Audit  Proposal Costs  Accounting System  Estimating System  Financial Capabilities  Past Performance
  12. 12. The Normal Contract Terms  Read & Understand Your Contract  Contract Line Items/Deliverables  Contract Clauses Performance  Proposal - What did you say you would do?  Deliverables - Due Dates  Acceptance - How Accomplished Payment  Invoicing Procedures and Certification  Prompt Payment Act  Limitation of Funds/Limitation of Cost
  13. 13. Helpful Contracting Websites
  14. 14. Agenda Understanding the Landscape Contracting Small Business Programs Larger R&D Solicitations Summary / Q&A
  15. 15. Programs for U. S. Small Business  Small Business Innovation Research (SBIR)2.5%  Set-asideprogram for small business concerns to engage in federal R&D -- with potential for commercialization  Small Business Technology Transfer (STTR)  Set-aside program to facilitate cooperative R&D.3% between small business concerns and research institutions -- with potential for commercialization
  16. 16. SBIR - A 3 Phase Program •PHASE I • Feasibility Study • $100K (in general) and 6 month effort •PHASE II • Full Research/R&D • $750K and 24 month effort • Commercialization plan required •PHASE III • Commercialization Stage • Use of non-SBIR Funds
  17. 17. Which Government Agencies? Both SBIR/STTR  Defense  Health & Human Services  NASA  DOE  NSF  DHS SBIR only  DOA  DOC  ED  EPA  DOT  NIH
  18. 18. Agency SBIR Differences Number and timing of solicitations R&D Topic Areas – Broad vs. Focused Dollar Amount of Award (Phase I and II) Proposal preparation instructions Financial details (e.g., Indirect Cost Rates) Proposal review process Proposal success rates Types of award Commercialization assistance And more…………
  19. 19. SBIR Program: Small BusinessConcern Eligibility Organized for-profit  placeof business located in the U.S.,  operates primarily with the U.S.,  or which makes significant contribution to the U.S. economy through payment of taxes or use of American products, materials or labor Is in the legal form of an individual proprietorship, partnership, limited liability company, corporation, joint venture, association, trust or cooperative  except that where the form is a joint venture, there can be no more than 49% participation by business entities in the joint venture
  20. 20. SBIR Program: Small BusinessConcern Eligibility (continued) Fewer than 500 employees, including affiliates Principal Investigator’s (PI) primary employment must be with the small business concern at the time of award and for the duration of the project period
  21. 21. Performance of R&D Activities “All research/R&D must be performed in its entirety in the U.S.”  Rare cases to conduct testing of specific patient populations outside U.S. is allowable  Travel to scientific meeting in foreign country is allowable  Foreign consultants/collaborators allowable, but must perform consulting in U.S.
  22. 22. Intellectual Property, Data Rightsand the SBIR Program As with all contracts, pursuant to the Bayh-Dole Act, an SBIR contractor can elect title to inventions discovered under the SBIR contract (FAR 52.227-11) The Small Business Act (15 U.S.C. 631(j)(2)(A)) provides for retention by an SBIR awardee of the rights to data generated by the concern in the performance of an SBIR award  Protection of SBIR data is intended to provide incentive for further development or commercialization of technology by the SBIR awardee
  23. 23. Intellectual Property, Data Rightsand the SBIR Program (continued) The SBIR Program is an instance in which government funds are be used to create data protected from disclosure, and therefore, has its own rights in data clause (FAR 52.227-20)  As a result, the government must protect from disclosure and non-governmental use “SBIR data”, technical data, and computer software first produced under a SBIR funding agreement and properly marked  The period of protection under the FAR is four years from delivery of the last deliverable under that agreement  Protections against disclosure of data from one phase may extend to four years after subsequent SBIR awards if properly recognized in subsequent awards
  24. 24. DHS S&T SBIR Evaluation Criteria The soundness, technical merit, and innovation of the proposed approach and its progress toward topic solution The qualifications of the proposed principal investigators, supporting staff, and consultants  Qualifications include not only the ability to perform the research and development but also the ability to commercialize the results The potential for commercial (government or private sector) application and the benefits expected to accrue from this commercialization
  25. 25. Participants in DHS SBIR Program?50% 44%45%40%35%30%25%20% 16% 14% 13%15% 8%10% 3% 2% 5% 0% 1 2-9 10-24 25-49 50-99 100-249 250-500 Number of Employees
  26. 26. DHS SBIR Phase I11 Competitions through FY08.2* •WA •46/12 •NH •MT •ND •VT 6/1 •20/4 •ME •9/2 •1/0 •8/0 •OR •MN •13/2 •ID •31/6 •MA 213/35 •SD •WI •NY •5/0 •MI •WY •0/0 •10/1 •81/22 •RI 8/2 •2/0 •54/6 •NE •IA •CT 36/4 •PA 51/5 •NV •3/0 •4/1 •IL •IN •OH •NJ 59/4 •16/1 •UT •CO •WV •CA •33/5 •27/2 •40/1 •DE 7/0•417/84 •24/7 •57/10 •KS •10/1 •VA •DC 5/0 •MO •165/23 •MD 125/19 •6/1 •13/2 •KY 5/0 • •NC 29/3 •AZ •OK •AR •TN 16/1 •NM •SC •38/8 •10/2 •3/0 •34/6 •AL •GA •7/1 •MS •34/6 •32/1 •TX •LA •3/0 •AK •117/22 •17/1 •2/0 •FL •67/6 •PR 1/0 Total Phase I Submissions/Awards •HI 11/1 2,031/321 * Includes STTR data
  27. 27. Added Bonus - Cost Match Allows small businesses to seek additional funding for Phase II projects from non-SBIR sources Minimum of $100,000 to maximum of $500,000 of outside funding Matched by DHS SBIR up to $250,000 in a 1:2 ratio Additional funds require additional scope – need to either add R&D on SBIR contract or other development and commercialization activities (or some of both) Cost match is a motivator for, and an indicator of, commercial potential
  28. 28. The DoD IA Research Community •IndustryNSA ONR AFRL ARLNational IA NRL AFOSR AROResearch Lab •Academia SBIRs are funded by DDR&E, DARPA, the Services and Agencies
  29. 29. DDR&E Small Business InnovativeResearch (SBIR) Program Cyber Security awards since 2007 - present  123 Phase I awards Includes SBIR & STTR  39 Phase II awards  Roughly $11 M per year DDR&E awards Annual SBIR Workshop (20-22 July 2010 at WPAFB, OH)  Links government, SBIR researchers, prime contractors  145 participants
  30. 30. DOD DDR&E SBIR topics OSD09-IA1 Real-time Adversarial Characterization and Adaptive Software Protection Countermeasures OSD09-IA2 Countermeasures to Covert Access Methods to Reduce Attack Susceptibility and Ensure Trust OSD09-IA3 Software Protection to Fight through an Attack OSD09-IA4 Autonomic Knowledge Representation Construction for Software Protection Systems OSD09-IA5 Developing Cyber Situation Awareness for Enterprise Health
  31. 31. Useful Web Sites andSBIR Point of Contact Useful Web Sites Elissa (Lisa) Sobolewski DHS SBIR Program Director (202) 254-6768 S&T SBIR Program Email:
  32. 32. Agenda Understanding the Landscape Contracting Small Business Programs Larger R&D Solicitations Summary / Q&A
  33. 33. Broad Agency Announcements (BAAs) R&D funding model that delivers both near-term and medium-term solutions:  To develop new and enhanced technologies for the detection of, prevention of, and response to cyber attacks on the nation’s critical information infrastructure.  To perform research and development (R&D) aimed at improving the security of existing deployed technologies and to ensure the security of new emerging systems;  To facilitate the transfer of these technologies into the national infrastructure as a matter of urgency.
  34. 34. Past Solicitations Left hand side – Past Solicitations Look for BAA 07-09 and BAA 04-17 Review BAA, any modifications or amendments, presentations, etc.
  35. 35. BAA Program / Proposal Structure Type I (New Technologies)  New technologies with an applied research phase, a development phase, and a deployment phase (optional)  Funding not to exceed 36 months (including deployment phase) Type II (Prototype Technologies)  More mature prototype technologies with a development phase and a deployment phase (optional)  Funding not to exceed 24 months (including deployment phase) Type III (Mature Technologies)  Mature technology with a deployment phase only.  Funding not to exceed 12 months
  36. 36. BAA 07-09 Technical Topic Areas Botnets and Other Malware: Detection and Mitigation Composable and Scalable Secure Systems Cyber Security Metrics Network Data Visualization for Information Assurance Internet Tomography / Topography Routing Security Management Tool Process Control System Security  Secure and Reliable Wireless Communication for Control Systems  Real-Time Security Event Assessment and Mitigation Data Anonymization Tools and Techniques Insider Threat Detection and Mitigation
  37. 37. BAA 07-09 White Papers Type I Type II Type III TOTALSTTA 1 56 48 11 115TTA 2 85 47 15 147TTA 3 51 22 8 81 Registrations ReceivedTTA 4 36 29 10 75TTA 5 21 12 4 37TTA 6 10 8 5 23TTA 7 43 31 13 87TTA 8 22 16 4 42TTA 9 49 30 15 94TOTALS 373 243 85 701 36 months 24 months 12 months Type I Type II Type III TOTALS TTA 1 30 25 6 61 TTA 2 49 33 7 89 TTA 3 23 10 2 35 TTA 4 17 18 4 39 TTA 5 10 5 1 16 Submissions Received TTA 6 3 4 2 9 TTA 7 27 16 7 50 TTA 8 10 7 1 18 TTA 9 24 16 6 46 TOTALS 193 134 36 363
  38. 38. BAA 07-09 Full Proposal Statistics FULL PROPOSALS Type I Type II Type III TOTALSTTA 1 5 4 3 12 AWARDTTA 2 5 7 0 12 SUMMARYTTA 3 2 3 1 6 Type I – 6TTA 4 4 5 0 9 Type II – 9TTA 5 3 0 0 3 Type III – 2TTA 6 2 2 1 5TTA 7 5 2 1 8 LEADSTTA 8 1 1 0 2 Academic – 6TTA 9 3 3 0 6 Industry – 10TOTALS 30 27 6 63 Labs – 1 80 offerors were encouraged to submit Full Proposals based on the White Paper reviews; 63 of those offerors submitted Full Proposals.
  39. 39. Summary Learn about the agencies, their missions, and meet the Program Managers Build your team to deliver – consider including contracting personnel Understand the opportunities – SBIR, STTR, BAA, RFP
  40. 40. Douglas Maughan, Ph.D.Program Manager, CIDdouglas.maughan@dhs.gov202-254-6145 / 202-360-3170 For more information, visit 9-10 March 2010 40