FY18DOTSolicitation_1FEB2018_v1.pdf

Small Business Innovation Research (SBIR) Program Office, V-330A U.S. Department of Transportation (U.S. DOT) Office of the Assistant Secretary for Research and Technology John A. Volpe National Transportation Systems Center (Volpe Center) 55 Broadway Cambridge, MA 02142-1093

Small Business Innovation Research (SBIR) Program

Phase I PROGRAM SOLICITATION

NAICS CODE: 541715

Issue Date: January 17, 2018

Closing Date: March 20, 2018, 5:00 PM ET

6913G618QSBIR1

FY 2018

U.S. DOT SOLICITATION FOR SMALL BUSINESS INNOVATION RESEARCH PROGRAM

QUESTIONS AND IMPORTANT DATES

Administrative and Technical Questions

Before submitting an administrative or technical question, please visit the following web pages:

• The United States Department of Transportation (U.S. DOT) Small Business Innovative Research (SBIR) Program’s Frequently Asked Questions (FAQs):

http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/frequently-asked-questions. This page provides answers to common administrative questions pertaining to the application process and requirements.

• FY 2018 Administrative and Technical Questions and Answers:

http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/-technical-and-administrative-questions. This page provides answers to technical questions regarding specific research topics, along with any administrative questions not listed in the FAQs.

If you have any administrative questions not listed in the FAQs, or any technical questions pertaining to the FY 2018 U.S. DOT SBIR solicitation research topics, please submit such questions via email to the U.S. DOT SBIR Program Office at dotsbir@dot.gov. All questions must be submitted by email.

IMPORTANT DATES:

• Administrative and technical questions will be accepted through March 1, 2018 at 5:00 PM ET. Questions received after March 1, 2018 may not be answered.

• Questions on the Cost Appendix (Appendix C) or how to save it as a PDF will be accepted through March 13, 2018. Please contact the U.S. DOT SBIR Program Office at 617-494-2051 between the hours of 9:00 am and 5:00 pm ET no later than March 13, 2018 for any questions on the Cost Appendix.

Answers will be posted on the U.S. DOT SBIR Program website continually throughout the solicitation’s open period as questions are received and answered.

(http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/-technical-and-administrative-questions).

Closing Date

Offers must be received no later than 5:00 P.M. ET on Tuesday, March 20, 2018 through the U.S. DOT automated proposal website at http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/frequently-asked-questions http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/frequently-asked-questions http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/frequently-asked-questions http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/-technical-and-administrative-questions http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/-technical-and-administrative-questions http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/-technical-and-administrative-questions http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/-technical-and-administrative-questions http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/-technical-and-administrative-questions https://hostedsites.volpe.dot.gov/SBIR/SubmitProposal.aspx https://hostedsites.volpe.dot.gov/SBIR/SubmitProposal.aspx. Offers received after that time will be automatically rejected; no exception will be permitted. Please be aware that the submittal process may take several minutes to complete before it is received by the Government due to a multi-step process. Offers will not be considered received by the Government until this multi-step process is complete. Applicants are encouraged to submit their offers as early as possible.

PRE-OFFER WEBINAR

A pre-offer webinar for small business concerns (SBCs) interested in applying to the FY 2018 U.S. DOT SBIR solicitation will be held on Tuesday, January 23, 2018 at 1:30 PM ET. SBCs will attend virtually via a webinar conference. All SBCs interested in submitting an offer are urged to attend this webinar, which will provide information on the application process and featured solicitation topics.

Each SBC interested in attending the webinar shall register at: https://volpe-events.webex.com/volpe-events/onstage/g.php?MTID=ec37e61843eafd6a7a64154c686c46d3d

You may register any time prior to noon (12:00 ET) on the day of the conference. Upon receipt of your registration, you will receive information for connecting to the conference.

The webinar recording will be posted to the “Solicitations” section of the U.S. DOT SBIR Program website (https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/solicitations).

https://volpe-events.webex.com/mw3200/mywebex/default.do?nomenu=true&siteurl=volpe-events&service=6&rnd=0.7102860393795543&main_url=https%3A%2F%2Fvolpe-events.webex.com%2Fec3200%2Feventcenter%2Fevent%2FeventAction.do%3FtheAction%3Ddetail%26%26%26EMK%3D4832534b000000045eaadd9ba87c5d4a2b2e8fed812a2fe69e5a8a0253d337f30e8faccc5398c7d4%26siteurl%3Dvolpe-events%26confViewID%3D81974957748300025%26encryptTicket%3DSDJTSwAAAATb-2iAYsZtIXQr7wXkJ3AQvUHLpaRtml9Q6tyNkRtx9g2%26 https://volpe-events.webex.com/volpe-events/onstage/g.php?MTID=ec37e61843eafd6a7a64154c686c46d3d https://volpe-events.webex.com/volpe-events/onstage/g.php?MTID=ec37e61843eafd6a7a64154c686c46d3d https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/solicitations https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/solicitations https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/solicitations

CONTENTS

Administrative and Technical Questions

Closing Date

I. PROGRAM DESCRIPTION

A. Introduction

B. Three Phase Program

C. Eligibility

D. Contact Information

E. Definitions

F. Report SBIR Fraud, Waste and Abuse

G. Other Information

II. OFFER PREPARATION INSTRUCTIONS AND REQUIREMENTS

A. Overview

B. Submission Requirements

C. Other Information

D. System for Award Management (SAM) and Data Universal Numbering System (DUNS) Identification Number

III. METHOD OF SELECTION AND EVALUATION CRITERIA

A. General

B. Phase I Evaluation Criteria

C. Offer Responsiveness Review

D. Selection of Awardees

E. Time to Award Requirements

F. Debriefing Requests

IV. CONSIDERATIONS

A. Awards

B. Reports

C. Payment Schedule

D. Innovations, Inventions, and Patents

E. Cost Sharing

F. Profit

G. Joint Ventures or Limited Partnerships

H. Research and Analytical Work

I. Awardee Commitments

J. Summary Statements

K. Additional Information

V. SUBMISSION OF OFFERS

A. Closing Date

B. Submission Details

C. Submission Website

VI. SCIENTIFIC AND TECHNICAL INFORMATION SOURCES

VII. SUBMISSION FORMS AND CERTIFICATION (Appendices)

A. OFFER SIGNATURE PAGE (Appendix A)

B. PROJECT SUMMARY (Appendix B)

C. CONTRACT PRICING WORKSHEET (Appendix C)

D. OFFER SUBMISSION CHECKLIST (Appendix D)

VIII. RESEARCH TOPICS

A. Federal Highway Administration (FHWA)

B. Federal Railroad Administration (FRA)

C. Federal Transit Administration (FTA)

D. National Highway Traffic Safety Administration

E. Pipeline and Hazardous Materials Safety Administration (PHMSA)

I. PROGRAM DESCRIPTION

A. Introduction

The United States Department of Transportation (U.S. DOT) welcomes small businesses to participate in the U.S. DOT’s Small Business Innovation Research (SBIR) program. The purpose of this solicitation is to invite small businesses, with their valuable resources and creative capabilities, to submit innovative research ideas and solutions in response to the topics identified by the U.S. DOT as described in Section VIII. Under the SBIR Program, the U.S. DOT will not accept unsolicited proposals.

The goals and objectives of the SBIR Program are to:

• Stimulate technological innovation;

• Meet Federal research and development needs;

• Foster and encourage participation in innovation and entrepreneurship by socially and economically disadvantaged persons; and

• Increase private sector commercialization of innovations derived from Federal research and development funding.

The SBIR Program encourages small businesses to engage in research or research and development (R/R&D) that has the potential for commercialization and meets Federal R/R&D objectives. The Small Business Innovation Development Act of 1982 (P.L. 97-219 codified at 15 U.S.C. 638) established the SBIR program. In October 1986, through Public Law 99-443, Congress amended the Small Business Act, 15 U.S.C. 638, to extend the SBIR program through September 30, 1993. The Small Business R&D Enhancement Act of 1992 (P.L. 102-564), repealed the SBIR Program under the Small Business Innovation Development Act of 1982 and extended the SBIR Program under the Small Business Act through September 30, 2000. The Small Business Reauthorization Act of 2000 (P.L. 106-554) extended the SBIR Program through September 30, 2008. After a series of continuing resolutions, the SBIR/Small Business Technology Transfer (STTR) Reauthorization Act of 2011 under Public Law 112-81, Section E extended the SBIR Program through September 30, 2017. On December 23, 2016, the President signed into law the National Defense Authorization Act for Fiscal Year 2017. Section 1834 contains the extension of SBIR and STTR programs through September 30, 2022.

The SBIR/STTR Reauthorization Act of 2011 required the U.S. Small Business Administration (SBA) to amend the SBIR Program Policy Directive and related regulations. A summary of the key changes can be viewed on the SBA website: http://www.sba.gov/about-sba-info/174308.

https://www.sba.gov/content/key-changes-sbir-and-sttr-policy-directives

B. Three Phase Program

The U.S. DOT SBIR Program is a three phase process.

THIS SOLICITATION IS FOR PHASE I OFFERS ONLY.

Phase I. Phase I provides support for the conduct of feasibility-related experimental or theoretical research or R/R&D efforts on research topics described herein. The dollar value of the offer may be up to $150,000 unless otherwise noted in Section VIII and is subject to the availability of funding. The period of performance shall be six months. The basis for award is the scientific and technical merit of the offer, its commercial potential, and its relevance to U.S.

DOT requirements and current research priorities. The U.S. DOT will award a Firm-Fixed-Price (FFP) contract or bilateral purchase order for Phase I efforts utilizing FAR Part 13 Simplified Acquisition Procedures. A bilateral purchase order is an offer by the Government to buy supplies or services, including research and development, upon specified terms and conditions (in this instance, the contractor’s offer), using simplified acquisition procedures. The purchase order is signed by the Contractor and the Government contracting officer.

All U.S. DOT SBIR Phase I awardees are eligible to submit a Phase II proposal for evaluation and possible selection after successful completion of the Phase I effort. Phase I awardees will receive an email from the U.S. DOT SBIR Program Office approximately one month prior to the end of a Phase I contract that provides the timeframe, submittal instructions, evaluation criteria, and location/process for receipt of a Phase II proposal.

Phase II. The objective of Phase II is to continue the R/R&D effort from the completed Phase I.

Funding of a Phase II is based on the results of Phase I and the scientific and technical merit and commercial potential of the Phase II proposal. Commercial potential includes the potential to transition the technology to private sector applications, Government applications, or Government contractor applications. Phase II proposals may be funded up to $1,000,000 (except where a lower ceiling is specifically identified) and have a period of performance of up to 24 months.

The U.S. DOT typically awards Firm-Fixed-Price (FFP), Level-of-Effort (FFPLOE), or Cost- Plus-Fixed-Fee (CPFF) negotiated contracts for Phase II efforts utilizing FAR Part 15 Contracting by Negotiation procedures. The Government is not obligated to fund any specific Phase II proposal. The U.S. DOT will provide Phase I awardees specific details on the due date, content, and submission requirements for Phase II proposals approximately 30 days prior to the end of Phase I efforts. A summary of Phase II submission requirements can be found on the U.S.

DOT’s SBIR website at: https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/submit-proposal.

Sequential Phase II awards. The SBIR Program Policy Directive permits agencies to issue one additional, sequential Phase II award to continue the work of an initial Phase II award. These awards are referred to as Phase IIB awards and can be awarded for a period up to 24 months. The funding ceiling typically does not exceed the amount of the previous Phase II award. A small https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/submit-proposal https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/submit-proposal https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/submit-proposal business may receive no more than two SBIR Phase II awards for the same R&D project, and the awards must be made sequentially. SBIR Awardees must be invited by the U.S. DOT to submit Phase IIB proposals. The U.S. DOT typically awards FFP, FFPLOE or CPFF negotiated contracts for Phase IIB efforts. The same requirements for a Phase II proposal apply here.

Phase III. SBIR Phase III refers to work that derives from, extends, or logically concludes effort(s) performed under a U.S. DOT or another Department’s Phase I and/or Phase II funding agreement. Phase III is funded by sources other than the set-aside funds dedicated to the SBIR Program. Phase III work is typically oriented toward commercialization of SBIR research or technology and may be for products, production, services, R/R&D, or a combination. The following activities are types of SBIR Phase III work:

• Commercial application of SBIR-funded R/R&D financed by non-Federal sources of capital.

• SBIR-derived products or services intended for use by the Federal Government, funded by non-SBIR sources of funding.

• Continuation of R/R&D that has been competitively selected using peer review or scientific review criteria, supported by non-SBIR funding.

C. Eligibility

Size Rule. On December 27, 2012, SBA amended its regulations governing size and eligibility requirements for the SBIR and STTR programs. The rule implemented provisions of the National Defense Authorization Act for Fiscal Year 2012 by revising elements of 13 C.F.R. Part 121 that addresses ownership, control, and affiliation for participants in the SBIR program. A summary and explanation of the size rule and changes to program eligibility can be found in the Federal Register, 77 Fed. Reg. 248 (December 27, 2012) pp. 72215-76227 at http://www.sbir.gov/sites/default/files/2012-30809.pdf and SBA’s Guide to SBIR/STTR Program Eligibility at http://sbir.gov/sites/default/files/elig_size_compliance_guide.pdf.

The rule includes a provision regarding an agency’s option to allow participation by firms that are majority-owned by multiple venture capital operating companies, private equity firms or hedge funds. The U.S. DOT elects at this time not to use the authority that would allow venture capital operating companies (VCOCs), hedge funds or private equity firms to participate in the SBIR Program. Offers submitted by these parties will not be considered for award.

• Each SBC submitting an offer must qualify as a SBC at the time of award of Phase I, Phase II and IIB contracts (see Section I. E. for the definition of a SBC). A SBC, together with its affiliates, must not have more than 500 employees. In addition, the following requirements must be met:

http://www.sbir.gov/sites/default/files/2012-30809.pdf http://www.sbir.gov/sites/default/files/2012-30809.pdf http://sbir.gov/sites/default/files/elig_size_compliance_guide.pdf http://sbir.gov/sites/default/files/elig_size_compliance_guide.pdf http://sbir.gov/sites/default/files/elig_size_compliance_guide.pdf

• The primary employment of the principal investigator must be with the small business firm at the time of contract award and during the conduct of the proposed research.

“Primary employment” means that more than one-half of the principal investigator's time is spent working for the small business. This precludes full-time employment with another organization.

• For Phase I, a minimum of two-thirds of the research or analytical effort, measured in total contract dollars, must be performed by the awardee. For Phase II, a minimum of one-half of the research or analytical effort, measured in total contract dollars, must be performed by the awardee.

Additionally, for Phase I, Phase II and IIB, the R/R&D work must be performed in the United States. "United States" means the 50 states, the Territories and Possessions of the Federal Government, the Commonwealth of Puerto Rico, the Republic of the Marshall Islands, the Federated States of Micronesia, the Republic of Palau, and the District of Columbia.

Performance Benchmark Requirements for Phase I Eligibility

Section 4(a)(3) of the SBIR Policy Directive calls for each Federal agency participating in SBIR to set a Phase II transition rate benchmark in response to Section 5165 of the SBIR/STTR Reauthorization Act of 2011.

Before responding to this solicitation, all applicants should verify their Transition Rate eligibility for Phase I awards on SBA’s SBIR website at https://www.sbir.gov/. On June 1st of each year, Phase I applicants that meet the below criteria are eligible to submit an offer for a new Phase I award. General information on the Performance Benchmark requirements is available at https://www.sbir.gov/faqs/performance-benchmarks. The SBIR Performance Benchmark requirements are:

• Phase I to Phase II Transition Rate. All small business applicants that have received more than 20 Phase I awards Program-wide (from all Federal Agencies with SBIR programs) are subject to the Phase I to Phase II Transition Rate.

The U.S. DOT’s Phase I to Phase II Transition Rate uses a five-year period and counts an applicant’s total number of Phase I awards over the last five fiscal years, excluding the most recently completed fiscal year; and the total number of Phase II awards over the last five fiscal years, including the most recently completed year. The U.S. DOT SBIR Phase I to II Transition Benchmark as published in the Federal Register is:

Effective July 25, 2013, for all U.S. DOT SBIR Program Phase I applicants that have received 20 or more Phase I awards over the 5-year period, the ratio of Phase II awards received to Phase I awards received must be at least 0.25.

https://www.sbir.gov/ https://www.sbir.gov/ https://www.sbir.gov/faqs/performance-benchmarks https://www.sbir.gov/faqs/performance-benchmarks

• Commercialization Rate. The Commercialization Rate is not a requirement for this Solicitation.

D. Contact Information

Contact Information and Instructions

If you have any questions not listed on our website FAQs (https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/frequently-asked-questions), or any administrative or technical questions pertaining to the FY 2018 U.S. DOT SBIR solicitation or research topics, please submit such questions by March 1, 2018 at 5:00 PM ET via email to:

U.S. DOT SBIR Program Office dotsbir@dot.gov

NOTE: All questions must be submitted via email. Inquiries regarding offer status will not be answered.

For general SBIR Program inquiries not pertaining to this solicitation, please contact:

U.S. DOT’s SBIR Hotline

(617) 494 2051 dotsbir@dot.gov

In order to ensure full and open competition and comply with the Procurement Integrity Act, 41 U.S.C. Section 2101-2107 requirements, contact with U.S. DOT relative to this solicitation during the Phase I submittal and evaluation period is restricted to the officials stated in this solicitation. Contact with U.S. DOT officials from any U.S. DOT agency, other than those identified in this solicitation, during the period of this solicitation particularly when the solicitation is open for offers may result in rejection of the offer.

E. Definitions

1. Funding Agreement

Any contract, or grant, or cooperative agreement entered into between any Federal Agency and any small business concern for the performance of experimental, developmental, or research work, including products or services, funded in whole or in part by the Federal Government.

2. Research or Research and Development (R/R&D) Any activity that is:

• A systematic, intensive study directed toward greater knowledge or understanding of the subject studied;

https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/frequently-asked-questions https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/frequently-asked-questions https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/frequently-asked-questions file://vntscex.local/dfs/3BC-Share/IRPO/SBIR/Solicitations/18.1/Solicitation%20Drafts/dotsbir@dot.gov file://vntscex.local/dfs/3BC-Share/IRPO/SBIR/Solicitations/18.1/Solicitation%20Drafts/dotsbir@dot.gov

• A systematic study directed specifically toward applying new knowledge to meet a recognized need; or

• A systematic application of knowledge toward the production of useful materials, devices, and systems or methods, including design, development, and improvement of prototypes and new processes to meet specific requirements.

3. Subcontract

Subcontract means any agreement, other than one involving an employer-employee relationship, entered into by a Federal Government funding agreement awardee calling for supplies or services for the performance of the original funding agreement.

4. SBIR Technical Data

All data generated during the performance of an SBIR award.

5. SBIR Technical Data Rights

The rights an SBIR awardee obtains to data generated during the performance of any SBIR Phase I, Phase II, or Phase III award that an awardee delivers to the Government during or upon completion of a Federally-funded project, and to which the

Government receives a license.

6. Small Business Concern (SBC)

A concern that meets the requirements set forth in 13 CFR § 121.702, which can be found here:

http://www.gpo.gov/fdsys/search/pagedetails.action?browsePath=Title+13%2FChapter+I%2FPa rt+121%2FSubpart+A%2FSubjgrp%2FSection+121.702&granuleId=CFR-2011-title13-vol1-sec121-702&packageId=CFR-2011-title13-vol1.

7. Women-Owned SBC (WOSB)

A WOSB is an SBC that is at least 51% owned by one or more women; or, in the case of any publicly owned business, at least 51% of the stock is owned by women; and women control the management and daily business operations.

8. Veteran-Owned SBC

A Veteran-Owned SBC is one that is at least 51% owned by one or more veterans (as defined at 38 U.S.C. 101(2)) or, in the case of any publicly owned business, not less than 51% of the stock of which is owned by one or more veterans, and the management and daily business operations of which are controlled by one or more veterans.

http://www.gpo.gov/fdsys/search/pagedetails.action?browsePath=Title+13%2FChapter+I%2FPart+121%2FSubpart+A%2FSubjgrp%2FSection+121.702&granuleId=CFR-2011-title13-vol1-sec121-702&packageId=CFR-2011-title13-vol1 http://www.gpo.gov/fdsys/search/pagedetails.action?browsePath=Title+13%2FChapter+I%2FPart+121%2FSubpart+A%2FSubjgrp%2FSection+121.702&granuleId=CFR-2011-title13-vol1-sec121-702&packageId=CFR-2011-title13-vol1 http://www.gpo.gov/fdsys/search/pagedetails.action?browsePath=Title+13%2FChapter+I%2FPart+121%2FSubpart+A%2FSubjgrp%2FSection+121.702&granuleId=CFR-2011-title13-vol1-sec121-702&packageId=CFR-2011-title13-vol1

9. Socially and Economically Disadvantaged SBC (SDB)

See 13 CFR § 124, Subpart B at: https://www.law.cornell.edu/cfr/text/13/part-124

10. Historically Underutilized Business Zone (HUBZone)

The criteria to be a HUBZone SBC can be found in 13 CFR § 126 at:

https://www.law.cornell.edu/cfr/text/13/part-126

11. Service-Disabled Veteran-Owned SBC

A Service Disabled Veteran-Owned SBC is not less than 51 percent owned by one or more service-disabled veterans or, in the case of any publicly owned business, not less than 51 percent of the stock of which is owned by one or more service-disabled veterans; and the management and daily business operations are controlled by one or more service-disabled veterans or, in the case of a service-disabled veteran with permanent and severe disability the spouse or permanent caregiver of such veteran. Service-disabled veteran means a veteran, as defined in 38 U.S.C.

101(2), with a disability that is service-connected, as defined in 38 U.S.C. 101(16).

12. Economically Disadvantaged Women-Owned Small Business (EDWOSB)

An EDWOSB is at least 51 percent directly and unconditionally owned by, and the management and daily business operations of which are controlled by, one or more women who are citizens of the United States and who are economically disadvantaged in accordance with 13 CFR part 127.

F. Report SBIR Fraud, Waste and Abuse

The Office of Inspector General Hotline (Phone: 800-424-9071, Email: hotline@oig.dot.gov) accepts tips from all sources about potential fraud, waste, abuse and mismanagement in U.S.

DOT programs. The reporting individual should indicate that the fraud, waste and/or abuse pertain to an SBIR contract. Additionally, the U.S. DOT SBIR Program website contains information and links to report potential fraud, waste, and abuse:

http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/report-fraud-waste-and-abuse.

G. Other Information

Executive Order (EO) 13329, Encouraging Innovation in Manufacturing, February 26, “Encouraging Innovation in Manufacturing” requires SBIR agencies, to the extent permitted by law and in a manner consistent with the mission of that department or agency, to give high priority within the SBIR Programs to manufacturing-related R&D. “Manufacturing-related” is https://www.law.cornell.edu/cfr/text/13/part-124 https://www.law.cornell.edu/cfr/text/13/part-126 Email:%20hotline@oig.dot.gov http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/report-fraud-waste-and-abuse http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/report-fraud-waste-and-abuse http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/report-fraud-waste-and-abuse defined as “relating to manufacturing processes, equipment and systems; or manufacturing workforce skills and protection.”

The U.S. DOT SBIR Program solicits manufacturing-related projects through the call for topics distributed to each of the Department’s SBIR participating agencies.

Additionally, the SBA requires each agency with an SBIR program to develop a written policy on the implementation of E.O. 13329 and publish an annual report. More information about the U.S. DOT SBIR Program Office Implementation Plan and Annual Report is posted on the Program website: https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/frequently-asked-questions.

Energy Independence and Security Act of 2007, December 19, 2007

The Energy Independence and Security Act of 2007 (P.L. 110-140) amends the Small Business Act (15 U.S.C. Section 636(a)) to instruct the SBA Administrator to ensure that certain Federal Departments and agencies give high priority to small business concerns that participate in or conduct energy efficiency or renewable energy system research and development projects.

The U.S. DOT SBIR Program Office solicits energy efficiency or renewable energy system R/R&D projects through the call for SBIR research topics distributed twice annually to each of the Department’s SBIR participating agencies. U.S. DOT SBIR projects that focus on conducting R/R&D in energy efficiency and/or renewable energy are reported annually to SBA.

Federal Leadership on Climate Change and Environmental Sustainability: EO 13693 – Planning for Federal Sustainability in the Next Decade

EO 13693 updated and replaced EO 13514 and requires Federal agencies to give high priority to including sustainability requirements in all federal contracts. DOT strongly encourages all SBIR applicants to include sustainability in their research and development offers. To learn more visit:

https://energy.gov/sites/prod/files/2015/09/f26/EO13693.pdf https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/frequently-asked-questions https://energy.gov/sites/prod/files/2015/09/f26/EO13693.pdf

II. OFFER PREPARATION INSTRUCTIONS AND REQUIREMENTS

A. Overview

This is a solicitation for Phase I R/R&D offers on advanced, innovative concepts from small business concerns (SBCs) having strong capabilities in applied science or engineering. The Phase I R/R&D offers shall demonstrate a sound approach to the investigation of an important transportation related scientific or engineering problem categorized under one of the research topics listed in Section VIII.

An offer may respond to any of the research topics listed in Section VIII herein, but must be limited to one topic. No one offer may be accepted under more than one topic. A small business may, however, submit separate offers on different topics, or different offers on the same topic under this solicitation. Where similar research is discussed under more than one topic, the SBC shall choose that topic which appears to be most relevant to the SBC's technical concept.

The proposed research must have relevance to the improvement of some aspect of the national transportation system or to the enhancement of the ability of an Operating Administration of the U.S. DOT to perform its mission. Offers shall be confined principally to scientific or engineering research, which may be carried out through construction and evaluation. Offers must be for R/R&D, particularly on advanced or innovative concepts.

Each offer shall be self-contained and checked carefully by the Offeror to ensure that all preparation instructions were followed (see Offer Submission Checklist, Appendix D).

All offers must be submitted using the U.S. DOT’s SBIR online submittal page:

https://hostedsites.volpe.dot.gov/SBIR/SubmitProposal.aspx. An automated notice will be sent via email when the offer is received through the SBIR Program’s electronic submission process.

B. Submission Requirements

The following requirements must be met for the offer to be evaluated for award:

1. SBA Company Registry Database – Each SBC applying to the program is required to complete its registration in SBA's Company Registry (http://sbir.gov/registration) prior to submitting its application. Registration requires at least a Data Universal Numbering System (DUNS) identification number or Tax Identification Number (TIN). Completed registrations will receive a unique SBC Control ID and PDF file, which may be submitted as the first page in the Technical Section of the Offer.

2. Offer Layout – Offers must be submitted using the SBIR Program’s electronic submission process during open solicitation periods only. Offers must be submitted as three separate files:

a. Technical – The technical section must be submitted in PDF format in accordance with the following requirements:

i. It shall not exceed 25 pages; the Prior Phase II Awards and SBA Company registry Confirmation do not count towards the 25 pages.

ii. Font size shall be no smaller than 10 point.

iii. Offers shall be on standard letter size pages (8.5" by 11").

iv. All pages shall be numbered consecutively.

b. Cost (Appendix C) – The cost section (Appendix C) may be submitted as an Excel document or PDF and must contain the required supporting information described in the table below. This section does not count towards the 25-page limit for the technical section. There is no limit on the number of pages for Appendix C and its supporting data.

c. Appendices A and B – Appendices A and B must be saved as one single PDF file, which does not count toward the 25-page limit for the technical section.

3. All offers must be submitted using the U.S. DOT’s SBIR online submittal page:

https://hostedsites.volpe.dot.gov/SBIR/SubmitProposal.aspx. An automated notice will be sent via email when the offer is received through the SBIR Program’s electronic submission process.

Offers received after the specified due date and time will be automatically rejected; no exception will be permitted. Please be aware that the submittal process may take several minutes to complete due to a multi-step process. Offers will not be considered received by the Government until this multi-step process is complete. Applicants are encouraged to submit their offers as early as possible.

Required Sections

Technical (PDF file)

Includes SBA Registry Confirmation, Technical Portion, and Prior Phase II Awards

SBA Company Registry Confirmation

All SBIR applicants are required to be registered in SBA’s company registry database. The confirmation from registering in the database should be included as the first page of the PDF document. It does not count towards the 25-page limit. See https://www.sbir.gov/registration to register or print your registration confirmation.

Technical section not to exceed 25 pages

Submitted offers must include the following headings in bold (in cases where a section does not apply, please state “Not Applicable”):

1. Identification and Significance of the Problem or

Opportunity. State the specific technical problem or innovative research opportunity addressed and its potential benefit to the national transportation system.

2. Phase I Technical Objectives. State the specific objectives of the Phase I R/R&D effort; including the technical question(s) the research will try to answer to determine the feasibility of the proposed approach.

3. Phase I Work Plan. Describe the Phase I R/R&D plan. The plan shall indicate what will be done, where it will be done, when it will be done, and how the R/R&D will be managed or directed and carried out. Phase I R/R&D shall address the objectives and the question(s) cited above in No. 2. Discuss in detail the methods planned to achieve each objective or task, including the level of effort associated with each task.

4. Related Research or R&D. Describe significant R/R&D that is directly related to the offer including any R/R&D conducted by the project manager/principal investigator or by the proposing firm. Describe how related research affects the proposed effort, and any planned coordination with outside sources. The SBC must persuade reviewers of its awareness of recent, key R/R&D conducted by others in the specific topic area.

5. Key Personnel and Bibliography of Directly Related Work.

Identify key personnel involved in Phase I including related education, experience, and bibliographic information. Where vitae are extensive, summaries that focus on the most relevant https://www.sbir.gov/registration

Technical portion not to exceed 25 pages (cont’d) experience or publications are desired and may be necessary to meet page limitation.

6. Relationship with Future Research and Development. State the anticipated results of the proposed approach if the project is successful (Phase I and Phase II). Discuss the significance of the Phase I effort in providing a foundation for a Phase II R/R&D effort.

7. Facilities. Provide a detailed description of the availability and location of instrumentation and physical facilities proposed for Phase I.

8. Subcontractor/Consultants. Involvement of consultants in the planning and research stages of the project is permitted.

Describe any intended involvement in detail. Consultants are permitted to conduct no more than one-third of the work, measured in total contract dollars.

9. Potential Post Applications. Briefly describe whether and how the proposed project appears to have (1) potential commercial application; and (2) potential use by the Federal Government.

10. Similar Offers and/or Awards. While it is allowed, with notification, to submit identical offers or offers containing a significant amount of essentially equivalent work for consideration under numerous federal program solicitations, it is unlawful to enter into funding agreements requiring essentially equivalent effort. If there is any question concerning this, it must be disclosed to the soliciting agency or agencies before award. If an SBC elects to submit similar or identical offers containing equivalent work under other Federal program solicitations, a statement must be included in each offer indicating:

• The name and address of the agencies to which offers were submitted or from which awards were received;

• Date of offer submission or date of award;

• Title, number, and date of SBIR Program solicitations under which offers were submitted or awards received;

• The applicable research topics for each SBIR offer submitted or award received;

• Titles of research projects;

• Name and Title of Principal Investigator or Program

Manager for each offer submitted or award received.

11. Human Factors, Research that involves human subjects may be subject to additional regulations found in 49 C.F.R. Part 11

Technical portion not to exceed 25 pages (cont’d)

(Part 11) as well as other applicable federal and state laws and regulations. Research will be considered to involve human subjects under Part 11 if the research obtains (1) data through intervention or interaction with an individual(s), and/or (2) identifiable private information. Unless exempt under 49 C.F.R.

§11.101(b) or §11.101(i), human subject research must adhere to the regulations of Part 11, which includes review and approval of the research by a federally approved Institutional Review Board (IRB). Due to the short timeframe associated with Phase I of the SBIR process, the DOT does not recommend the submission of Phase I offers that require the use of Human Subjects Testing. For example, the ability to obtain Institutional Review Board (IRB) approval for offers that involve human subjects can take 6-12 months, and that lengthy process can be at odds with the Phase I goal for time to award. Before the DOT makes any award that involves an IRB or similar approval requirement, the offeror must demonstrate compliance with relevant regulatory approval requirements that pertain to offers involving human protocols. It will not impact the DOT’s evaluation, but requiring IRB approval may delay the start time of the Phase I award and if approvals are not obtained within two months of notification of selection, the decision to award may be terminated.

12. Sustainable Acquisition Requirement. SBC’s technical section will be used as the Statement of Work (SOW) under any award resulting from this solicitation under SBIR Phase I or II. Consistent with FAR Part 23, each SBC is expected to include and abide by the following in its technical offer:

“Sustainable Acquisition Requirement: To the maximum extent possible and consistent with the Federal Acquisition Regulations Part 23, the Government requires during the performance of the work under this Statement of Work (SOW) the Contractor to provide or use products that are:

energy efficient (ENERGY STAR® or Federal Energy Management Program (FEMA)-designated); water-efficient; biobased; environmentally preferable (e.g., EPEAT-registered, or non-toxic or less toxic alternatives);

made with recovered materials; or non-ozone depleting that minimize or eliminate, when feasible, the use, release, or emission of high global warming potential hydrofluorocarbons, such as by using reclaimed instead of virgin hydrofluorocarbons. Unless otherwise identified in this SOW, each recovered materials or biobased product provided and delivered must meet, but may exceed, the minimum recovered materials or biobased content of an EPA- or USDA-designated product. The sustainable acquisition requirements specified herein apply only to products that are required to be: (1) delivered to the Government during contract performance; (2) acquired by the contractor for use in performing services (including construction) at a Federally-controlled facility; (3) furnished by the contractor for use by the Government;

or (4) specified in the design of a building or work, or incorporated during its construction, renovation, or maintenance.

Inclusion of this general requirement does not relieve the SBC from including in its technical section explicit sustainability requirements applicable to the R/R&D being offered (see BioPreferred website at http://www.biopreferred.gov/BioPreferred/).”

Prior SBIR Phase II Awards (does not count toward the 25-page limit for technical)

If the SBC has received more than a total of 15 Phase II awards in the prior five fiscal years, submit the name of the awarding agency, date of award, funding agreement number, dollar amount, topic or subtopic title, follow-on agreement dollar amount, source and date of commitment, and current commercialization status for each Phase II. Provide the name and title of the project manager or principal investigator for each offer submitted or award received.

Cost (Appendix C) (Excel or PDF)

Appendix C is available on our website here in Microsoft Excel 2010 format.

A Firm-Fixed-Price Phase I Contract Pricing section must be submitted in detail using the template provided in Appendix C.

Some cost breakdown items of Appendix C may not apply to the proposed project. If such is the case, there is no need to provide information for each and every item. When completing your cost offer, please consider the following:

http://www.biopreferred.gov/BioPreferred/ https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/appendix-c-cost-and-pricing-proposal-workbook-phase-i

Specific instructions for filling out Appendix C are located here.

See a sample cost submission offer here.

• It is important to provide enough information to allow the U.S.

DOT to understand how the SBC plans to use the requested funds if an award is made.

• Phase I contract awards may include profit. Note: Firm-Fixed- Price is the type of contract used for Phase I SBIR awards.

• Travel is allowable however unusual for Phase I projects.

• A firm must note its TIN and Data Universal Numbering System

(DUNS) identification number in Appendix C, in the Cost and Pricing Offer/Proposal Coversheet. The DUNS is assigned by Dun & Bradstreet, Inc. (See III (D) below). If you are not able to receive a DUNS number before the solicitation deadline, please indicate “Pending” in the DUNS field of Appendix C. An Offeror must have a DUNS number before a funding agreement can be awarded.

Please fill out the spreadsheets as directed. If an Offeror is submitting supporting information (e.g., price quotes or subcontractor commitments) then save the entire workbook as a PDF. To do this, click on the ‘Acrobat’ tab in the main ribbon of Excel, then choose “entire Workbook” from the Conversion Range option at the top of window.) If you have any trouble accessing the Appendix C spreadsheet or saving it as a PDF please contact the U.S. DOT SBIR Program Office at 617-494-2051 between the hours of 9:00 am and 5:00 pm ET no later than March 13, 2018.

Offers that exceed the Phase I Estimated Award Amount listed in Section VIII will not be considered for award.

Appendices A and B (PDF)

Signature Page (Appendix A)

Page 1 of PDF

Complete the signature page in Appendix A. All pages shall be numbered consecutively beginning with the signature page.

Project Summary (Appendix B)

Page 2 of PDF

Complete the Project Summary Sheet in Appendix B as Page 2 of the offer. The Project Summary of successful offers may be published by the U.S. DOT and, therefore, shall not contain classified or proprietary information.

The Project Summary must include at a minimum:

http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/appendix-c-cost-proposal-instructions-phase-i http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/appendix-c-sample-cost-proposal http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/appendix-a http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/appendix-b

1. A technical abstract with a brief statement of the problem or opportunity, project objectives, and description of the effort.

o The technical abstract shall be limited to 200 words in the space provided on the Project Summary sheet.

Any words or statements beyond the 200-word limit may not be considered for award purposes.

2. Anticipated results and potential applications of the proposed research

C. Other Information

1. Offers will be available only to the U.S. DOT team of engineers and/or scientists responsible for evaluating the offer, the U.S. DOT SBIR Program Office, and Volpe Center staff pertinent to the SBIR program.

2. Fraudulent Information. Submitting plagiarized information and/or false information pertaining to the company, the principal investigator and/or work to be performed may result in:

a. Cancellation of the topic within a solicitation;

b. An offer being deemed non-responsive;

c. A recommendation for Phase I award being rescinded; or

d. Termination of an award.

3. Discretionary Technical Assistance. The SBIR Program Policy Directive permits an agency to provide technical assistance to an SBIR awardee in an amount not more than $5,000 per year. This amount is in addition to the award amount.

The purpose of the Technical Assistance, as defined by the SBA Policy Directive, is to assist SBIR awardees in: (1) making better technical decisions on SBIR projects; (2) solving technical problems that arise during SBIR projects; (3) minimizing technical risks associated with SBIR projects; and (4) commercializing the SBIR products or processes.

The U.S. DOT SBIR Program will provide assistance to Phase I awardees in the area of commercialization planning and strategy. The program shall be referred to as the DOT SBIR Commercialization Assistance Program (CAP).

U.S. DOT SBIR awardees can receive support through the CAP in one of two ways:

a. The U.S. DOT SBIR Program Office has a Blanket Purchase Agreement with Dawnbreaker Incorporated (2117 Buffalo Road, Rochester, NY) that can provide support to Phase I and Phase II awardees. Once an offer is recommended for award, the prospective awardees will receive notification from the U.S. DOT SBIR Program Office identifying the services available and guidance on how to obtain these services at no cost to the small business.

These services for Phase I include a kick-off meeting with the CAP vendor and an individualized Commercialization Readiness Assessment to support the development of the Phase II proposal’s commercialization strategy, OR

b. Awardees can receive Technical Assistance outside of the SBIR Program Office; however, this technical assistance must be focused on commercialization. To do so, Offerors must, through its own efforts, obtain a Contractor to provide such technical assistance. If recommended for award, the awardee must provide at that time an outline of the specific technical assistance services its proposed Contractor will provide in the area of commercialization planning and strategy, and the detailed qualifications and experience of the proposed Contractor in these areas. This Contractor must have a valid registration in the System for Award Management (SAM) database (https://www.sam.gov). If approved by the U.S. DOT SBIR Program Officer and Contracting Officer, the Government will negotiate a purchase order with the proposed Commercialization Assistance Contractor to work with the SBIR awardee on commercialization efforts in an amount not to exceed $5,000.

4. National Institute of Standards and Technology (NIST)/Hollings Manufacturing Extension Partnership (MEP). An SBC may wish to contact its local NIST Hollings MEP for manufacturing and other business-related support services. The MEP works with small and mid-sized companies to help them create and retain jobs, increase profits, and save time and money. The nationwide network provides a variety of services, from business development assistance to innovation strategies to process improvements and the identification of commercialization opportunities. MEP is a nationwide network of locally managed extension centers with over 1,400 technical experts, located in every state. To contact an MEP center, call 1-800-MEP-4-MFG (1-800-637-4634) or visit MEP’s website at http://www.nist.gov/mep.

D. System for Award Management (SAM) and Data Universal Numbering System (DUNS) Identification Number

Any business that would like to work with the Federal Government under a Federal Acquisition Regulation (FAR)-based contract is mandated to be registered in SAM before being awarded a contract. Additional information on SAM and the registration process is provided on the SAM website: https:/www.sam.gov. Businesses that already have a DUNS number can register online at https://www.sam.gov by following the prompts. Instructions for obtaining a DUNS number can be found at: http://fedgov.dnb.com/webform/displayHomePage.do.

https://www.sam.gov/ http://www.nist.gov/mep https://www.sam.gov/ http://fedgov.dnb.com/webform/displayHomePage.do

III. METHOD OF SELECTION AND EVALUATION CRITERIA

A. General

All Phase I offers will be evaluated and judged on a competitive basis. Initially, all offers will be screened to determine responsiveness to the solicitation. Offers that are responsive to the solicitation requirements will be evaluated by topic experts to determine whether the offer has scientific/technical merit and feasibility (reference B.1 below). Offers that are determined to have merit will be further evaluated for items B.2 – B.4 below.

Each offer will be judged on its own merit. A Phase I award will be made to the responsive and responsible SBC(s) whose offer provides the best value to the Government, based on the technical and scientific merit of the offer. The U.S.