USDOT_SBIR_FY19_Solicitation.pdf

6913G619QSBIR1

FY 2019

Small Business Innovation Research (SBIR) Program

PHASE I PROGRAM SOLICITATION

NAICS CODE: 541715

Issue Date: February 19, 2019

Closing Date: April 22, 2019, 5:00 PM ET

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

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

ii

IMPORTANT DATES

Date Description February 19, 2019 Solicitation Open Date February 27, 2019 Pre-Offer Webinar (see below for details) April 3, 2019 Technical and Administrative Questions Due (See Section V.A for details) April 15, 2019 Contract Pricing Worksheet (Appendix C) Questions Due (See Section

V.A for details) April 22, 2019 Solicitation Closing Date (see below for details)

Pre-Offer Webinar

A pre-offer webinar for small business concerns (SBCs) interested in submitting an offer to the FY 2019 U.S. DOT SBIR solicitation will be held on Wednesday, February 27, 2019 at 1:30 PM ET. This webinar will provide information on the SBIR process and featured solicitation topics. SBCs may attend this webinar only virtually via a webinar conference. All SBCs interested in submitting an offer are urged to attend this webinar. No questions from attendees are permitted during the pre-offer webinar.

Each SBC interested in attending the webinar shall register at: https://volpe-events.webex.com/volpe-events/onstage/g.php?MTID=ef620f891f4e1b808e00e98c63190e0de.

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

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).

Closing Date

Offers must be received no later than 5:00 P.M. ET on Monday, April 22, 2019 through the U.S. DOT’s automated proposal website at:

https://hostedsites.volpe.dot.gov/SBIR/SubmitProposal.aspx. Offers received after that time will be automatically rejected; no exceptions 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. Offerors are encouraged to submit their offers as early as possible.

https://volpe-events.webex.com/volpe-events/onstage/g.php?MTID=ef620f891f4e1b808e00e98c63190e0de https://volpe-events.webex.com/volpe-events/onstage/g.php?MTID=ef620f891f4e1b808e00e98c63190e0de 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://hostedsites.volpe.dot.gov/SBIR/SubmitProposal.aspx

CONTENTS

IMPORTANT DATES ................................................................................................................. ii

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. Solicitation 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. Technical and Administrative Questions

B. Offer Content

C. Submission Process

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 Motor Carrier Safety Administration (FMCSA)

C. Federal Railroad Administration (FRA)

D. Federal Transit Administration (FTA)

E. National Highway Traffic Safety Administration (NHTSA)

F. 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 (Public Law (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 and extended 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 (P.L. 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 (NDAA) for Fiscal Year 2017. Section 1834 extended the SBIR and STTR programs through September 30, 2022. On August 13, 2018, the President signed into law the NDAA for Fiscal Year 2019 (P.L. 115-232). Section 854 contains amendments to the SBIR and STTR programs.

More information is available at https://www.sbir.gov/about/about-sbir.

https://www.sbir.gov/about/about-sbir

B. Three Phase Program

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

THIS SOLICITATION IS FOR PHASE I OFFERS ONLY.

Phase I. Phase I is the conduct of feasibility-related experimental or theoretical research or R/R&D efforts on research topics described herein. For the U.S. DOT SBIR Program, the dollar value of the offer may be up to $150,000 unless otherwise noted in Section VIII. 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 Federal Acquisition Regulation (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. Award, whether a contract or bilateral purchase order, is subject to the availability of funding.

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 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 project proposed in Phase II. Commercial potential includes the potential to transition the technology to private sector applications, Government applications, or Government contractor applications. For the U.S. DOT SBIR Program, 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), 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 SBIR Program Office will provide Phase I awardees details on the due date, content, submission requirements, and evaluation criteria 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 supplement or extend the work of an initial Phase II https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/submit-proposal 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 business may receive no more than two SBIR Phase II awards (the initial Phase II award and a sequential Phase IIB award) for the same R/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 program. The rule implemented provisions of the NDAA 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.

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

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:

• 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 typically 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 using simple math, must be performed by the awardee (i.e., 66.7% of total contract cost must be for other than subcontractor/consultant costs).

• For Phase II, a minimum of one-half of the research or analytical effort, measured in total contract dollars on costs incurred for personnel must be performed by the awardee (i.e., labor and indirect rates minus costs such as material, travel, and subcontractor/consultant).

• 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 potential offerors 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 Phase I to Phase II transition rate identified below 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.

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 offeror’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 is:

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

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

D. Contact Information

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 technical or administrative questions pertaining to the FY 2019 U.S. DOT SBIR solicitation or research topics, please submit such questions by April 3, 2019 at 5:00 PM ET via email to:

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

All technical and administrative questions must be submitted via email. Questions received after 5:00 PM ET on April 3, 2019 may not be answered.

NOTE: 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. Sections 2101-2107 requirements, during the Phase I submittal and evaluation period, offeror or potential offeror contact with U.S. DOT relative to this solicitation 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.

Effective July 25, 2013, for all U.S. DOT SBIR Program Phase I offerors 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.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 mailto:dotsbir@dot.gov

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;

• 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 an awardee of a funding agreement 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:

https://www.law.cornell.edu/cfr/text/13/121.702.

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.

9. Socially and Economically Disadvantaged SBC (SDB)

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

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% owned by one or more service-disabled veterans or, in the case of any publicly owned business, not less than 51% 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% 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 § 127.

https://www.law.cornell.edu/cfr/text/13/121.702 https://www.law.cornell.edu/cfr/text/13/part-124/subpart-B https://www.law.cornell.edu/cfr/text/13/part-126

F. Report SBIR Fraud, Waste, and Abuse

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

https://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 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 EO 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.

mailto:hotline@oig.dot.gov https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/report-fraud-waste-and-abuse https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/report-fraud-waste-and-abuse https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/frequently-asked-questions

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://www.energy.gov/sites/prod/files/2015/09/f26/EO13693.pdf.

https://www.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 Appendix D, Offer Submission Checklist).

B. Solicitation 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.

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.

http://sbir.gov/registration

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 should be numbered consecutively.

b. Contract Pricing Worksheet (Appendix C) – The Contract Pricing Worksheet (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. SBCs must use the template provided by the U.S. DOT SBIR Program Office.

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

3. File Names – Offer file names shall include the following:

a. The first three characters shall be the topic number the offer is associated with (e.g., FH2).

b. The remaining characters must include an abbreviation of the company’s name and a distinct character to designate each file (e.g., 1, 2, 3).

4. Submission – 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 exceptions 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 (does not count toward the 25-page limit)

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 seeks 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 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 https://www.sbir.gov/registration 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. Subcontractors/Consultants. Involvement of consultants in the planning and research stages of the project is permitted. Describe any intended involvement in detail. For Phase I, a maximum of one-third of the research or analytical effort, measured in total contract dollars using simple math, may be performed by subcontractors/consultants.

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 (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 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 rescinded.

12. Sustainable Acquisition Requirement. SBC’s technical section will be used as the Statement of Work (SOW) for 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 the BioPreferred website at https://www.biopreferred.gov/BioPreferred/).

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

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.

Contract Pricing Worksheet (Appendix C) (Excel or PDF)

Appendix C is available on our website here in Microsoft Excel 2013 format.

Specific instructions for filling out Appendix C are located here.

See a sample worksheet here.

A Phase I Contract Pricing Worksheet must be submitted in detail using the template provided in Appendix C. SBCs must use the template provided by DOT. 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:

• 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: FFP contract or bilateral small purchase order are the types used for Phase I SBIR awards.

• Travel is allowable, however unusual, for Phase I projects.

• The SBC must note its TIN and DUNS identification number in

Appendix C, in the Contract Pricing Worksheet Coversheet. The DUNS number 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 https://www.biopreferred.gov/BioPreferred/ https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/19-appendix-c https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/19-appendix-c-instructions https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/19-sample-appendix-c 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 April 15, 2019.

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 should 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:

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

a. The technical abstract shall be prepared in accordance with the instructions on the Appendix B Project Summary sheet, e.g., word limit using space on form, no proprietary/classified information.

2. Anticipated results and potential applications of the proposed research.

C. Other Information

1. Offer Control. 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. An offer being deemed non-responsive;

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

c. Termination of an award.

3. Technical and Business Assistance (TABA). 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.

http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/19-appendix-a https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/19-appendix-b

The purpose of TABA, 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).

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

a. The U.S. DOT SBIR Program Office has a Blanket Purchase Agreement (BPA) 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 awardee 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 assistance in an amount not to exceed $5000 not using the BPA of the SBIR Program Office; however, this assistance must be focused on commercialization. To do so, Offerors must, through its own efforts, obtain a Contractor to provide commercialization assistance. If recommended for award, the awardee must provide at that time an outline of the specific 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.

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.

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 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 at: https://sam.gov/SAM/.

Businesses that already have a DUNS number can register on the SAM website by following the prompts. Instructions for obtaining a DUNS number can be found at:

http://fedgov.dnb.com/webform/displayHomePage.do.

https://sam.gov/SAM/ 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. DOT is under no obligation to fund any offer or any specific number of offers on a given topic. For any given topic, U.S. DOT may elect to award more or less than the anticipated quantity of awards stated in Section VIII, or may elect to make no awards under a given topic.

B. Phase I Evaluation Criteria

The objective of Phase I is to determine the scientific and technical merit and feasibility of the proposed effort and the quality of performance of the SBC. Offers will be evaluated utilizing the following factors:

1. Scientific/Technical Merit and Feasibility*: Offer shall be evaluated on the relevance and innovation of the proposed effort in response to the specific DOT topical interest area and the overall technical feasibility of the proposed technology/capability.

2. Effectiveness of the Proposed Work Plan: The proposed work plan shall be evaluated for its comprehensiveness, effective use of resources, and schedule to meet stated objectives.

3. Experience, Qualifications, and Facilities: Qualifications of Proposed Principal

Investigator(s) (PI) and other staff, including any subcontractors, shall be evaluated for consistency with the research effort. Instrumentation and/or proposed facilities shall be evaluated for adequacy to conduct research as proposed.

4. Commercial Potential and Feasibility: Offer shall be evaluated for the commercial potential and feasibility of the proposed solution and associated products/services.

*NOTE: Each responsive offer will be evaluated to determine it has Scientific/Technical Merit and Feasibility. Only offers rated acceptable on Scientific/Technical Merit and Feasibility will be evaluated in the other three factors. An offer found to be unacceptable on Scientific/Technical Merit and Feasibility will not be evaluated in the other three factors and will not be considered for award.

C. Offer Responsiveness Review

Each offer will be examined to determine if it is complete and contains adequate technical data.

An offer that does not meet the requirements of the solicitation as described in Section II.B may be excluded from consideration. The SBIR Program Office will send the SBC an email notifying the SBC of its offer’s ineligibility for consideration.

D. Selection of Awardees

The U.S. DOT SBIR Program Office intends to notify each applicant whether it has been selected for an SBIR Phase I award no later than 90 days after the closing date of this solicitation. At this time, the U.S. DOT SBIR Program Office will also post a listing of Phase I offers recommended for award on the U.S. DOT SBIR Program webpage:

http://www.volpe.dot.gov/sbir. If circumstances are such that notification to each applicant cannot be met within 90 days after the solicitation closing date, the U.S. DOT SBIR Program shall notify each applicant as soon as practicable.

E. Time to Award Requirements

The SBIR Program Policy Directive requires all SBIR agencies to make Phase I awards within 180 days after the close of the solicitation. The purpose of this requirement is to reduce the gap in time between offer submission and time of award.

F. Debriefing Requests

Debriefing requests must be submitted by e-mail to the SBIR Program Contracting Officer, Tammy Taylor, at tammy.taylor@dot.gov within 30 days of notification from the Government of rejection or acceptance of offer. Late requests may be considered on an individual basis. All requests must include: the SBC’s name, address, research topic number, and the offer identification number assigned and provided through an automated email notification sent to the SBC upon receipt of its offer. The identity of the evaluators will not be disclosed. Debriefings will be provided by the SBIR Program Contracting Officer who will share a written summary of overall comments received from the Government evaluators. Individual evaluator comments will not be shared. After receiving the debriefing, the SBC shall have three (3) business days to respond to the debriefing if the SBC so chooses.