DOTFY24.2SBIRSolicitationFnl.pdf

6913G624QSBIR2

FY 2024.2

Small Business Innovation Research (SBIR) Program

PHASE I PROGRAM SOLICITATION

Complete Streets Artificial Intelligence (CSAI)

Initiative Topic No. 24-CS1

NAICS CODE: 541715

Issue Date: March 11, 2024

Closing Date: May 10, 2024, 3:00 p.m. ET

Small Business Innovation Research (SBIR) Program 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) 220 Binney Street Cambridge, MA 02142-1093 i

INFORMATION ABOUT IMPORTANT DATES

Date Description March 11, 2024 Solicitation Open Date

Pre-solicitation Questions & Answers (Q&A) available on the U.S. DOT SBIR website (see Section I.D)

March 20, 2024, 5:00 p.m. ET Registration Deadline for Pre-Offer Webinar (see below) March 21, 2024, 1:00 p.m. ET Pre-Offer Webinar (see below) May 3, 2024, 3:00 p.m. ET Administrative and Contract Pricing Worksheet (Appendix C)

Questions Due (see Section I.D) May 10, 2024, 3:00 p.m. ET Solicitation Closing Date (See Section V)

A. Solicitation Open with Amendments to the CSAI Initiative Topic Description:

The proposed topic description included within the pre-solicitation has been amended for the U.S.

DOT FY24.2 Phase I Solicitation to provide clarifications as follows:

• Phase I is focused on demonstrating the potential of novel data generation and processing methods to produce useful data for Complete Streets.

• Phase II is focused on 1) scaling Phase I approaches to data generation/processing methods, and 2) building a functioning, beta software solution.

• Offerors may select any geographic area that meets the criteria for each Phase.

• The Offeror’s chosen geographic area does not need to address all of the data elements in Table 2 of the topic description.

• Offerors may select which data elements in Table 2 of the topic description to work on and/or other data elements of their choosing.

• Data, methodologies, and/or tools generated by awardees during all Phases are encouraged to be made publicly available in a standard digital data format, to the greatest extent practicable, omitting any intellectual property, proprietary methodologies, or source input data.

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

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B. Pre-Offer Webinar The Pre-Offer Webinar will be held on Thursday, March 21, 2024, at 1:00 p.m. ET. The Government encourages all small businesses, persons that are interested in or considering submitting an offer, and other interested parties to attend the pre-offer webinar. Small businesses and other interested parties may attend this webinar only virtually via a webinar conference. The webinar will provide an overview of the application process. Administrative questions about the solicitation will be collected during the webinar, but no technical questions will be accepted.

To register, visit: https://usdot.zoomgov.com/webinar/register/WN__2zBPLVsSK-gw6KByeYMrA.

The deadline to register for the webinar is Wednesday, March 20, 2024, at 5:00 p.m. ET.

After the webinar, a recording will be posted to the U.S. DOT SBIR Program website https://www.volpe.dot.gov/work-us/small-business-innovation-research/us-dot-sbir-fiscal-year- 20242-fy242-solicitation-now.

C. Closing Date Offers must be received through the U.S. DOT’s automated proposal website no later than Friday, May 10, 2024, at 3:00 p.m. ET. The U.S. DOT’s automated proposal website is located at https://usg.valideval.com/teams/usdot_2024_2/signup.

D. Partnering and Teaming Resource: DOT Office of Small and Disadvantaged Business Utilization’s (OSDBU) Connections Marketplace (CMP) Platform

In support of the FY24.2 Solicitation and offer preparation, the U.S. DOT SBIR is providing information regarding a DOT resource – the Connections Marketplace (CMP) Platform. The CMP Platform is available to interested offerors and other parties to meet potential teaming partners. Partnerships and teaming can provide interested offerors additional expertise and resources to successfully meet the goals of the CSAI Initiative. Please note the use of CMP as a resource for developing partnerships and/or teaming arrangements is NOT required. Use of this resource is voluntary and WILL NOT inform evaluation decisions.

The aim of OSDBU’s CMP Platform is to expand, innovate and provide interested offerors opportunities for meaningful connections leading to more competitive proposals. Offerors and other parties interested in using this resource for purposes of DOT’s FY24.2 Solicitation, Topic No. 24-CS1 can register at https://www.dotcmp.com/.

https://usdot.zoomgov.com/webinar/register/WN__2zBPLVsSK-gw6KByeYMrA https://usdot.zoomgov.com/webinar/register/WN__2zBPLVsSK-gw6KByeYMrA https://www.volpe.dot.gov/work-us/small-business-innovation-research/us-dot-sbir-fiscal-year-20242-fy242-solicitation-now https://www.volpe.dot.gov/work-us/small-business-innovation-research/us-dot-sbir-fiscal-year-20242-fy242-solicitation-now https://usg.valideval.com/teams/usdot_2024_2/signup https://www.dotcmp.com/ iii

How to Use the CMP Platform: When registering it is recommended that your profile use the North American Industries Classification System (NAICS) code 541715: “Research and Development in the Physical, Engineering, and Life Sciences (except Nanotechnology and Biotechnology)”. This number should be submitted within the Business Opportunities section of your profile. It is also recommended that NAICS code 541175 be used when searching the CMP Platform for potential partners.

Questions about registering and using the CMP Platform shall be directed to the OSDBU Office at dot-osdbu@dot.gov or 202-366-1930. Questions relating to the CMP Platform submitted to the U.S. DOT SBIR Program will not be responded to.

By including information on the CMP Platform within DOT’s FY24.2 Solicitation, Topic No.

24-CS1, the U.S. DOT SBIR Program does NOT endorse, sponsor, or otherwise evaluate the qualifications of the individuals and organizations that are self-identifying themselves within the CMP Platform.

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Contents INFORMATION ABOUT IMPORTANT DATES ............................................................................................................ I

A. SOLICITATION OPEN WITH AMENDMENTS TO THE CSAI INITIATIVE TOPIC DESCRIPTION: ..................................................... I THE PROPOSED TOPIC DESCRIPTION INCLUDED WITHIN THE PRE-SOLICITATION HAS BEEN AMENDED FOR THE U.S. DOT FY24.2 PHASE I SOLICITATION TO PROVIDE CLARIFICATIONS AS FOLLOWS: ........................................................................................................ I B. PRE-OFFER WEBINAR ........................................................................................................................................... II C. CLOSING DATE ..................................................................................................................................................... II D. PARTNERING AND TEAMING RESOURCE: DOT OFFICE OF SMALL AND DISADVANTAGED BUSINESS UTILIZATION’S (OSDBU) CONNECTIONS MARKETPLACE (CMP) PLATFORM ................................................................................................................ 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

1. SBA Company Registry Confirmation

2. Submission of Offer

3. Offer File Names

4. Offer Submission Deadline

5. Duplicate Offers

C. OTHER INFORMATION

1. Offer Handling

2. Fraudulent Information

3. Technical and Business Assistance (TABA)

4. National Institute of Standards and Technology (NIST)/Hollings Manufacturing Extension Partnership

(MEP)

D. SYSTEM FOR AWARD MANAGEMENT (SAM)

III. METHOD OF SELECTION AND EVALUATION CRITERIA

A. BASIS OF AWARD

B. PHASE I EVALUATION CRITERIA

C. OFFER RESPONSIVENESS REVIEW

D. TIME TO AWARD REQUIREMENTS

E. DEBRIEFING REQUESTS

IV. CONSIDERATIONS

A. FUNDING AWARDS

B. REPORTS

C. PAYMENT SCHEDULE

D. INNOVATIONS, INVENTIONS, AND PATENTS

E. COST SHARING

F. PROFIT

G. JOINT VENTURES OR LIMITED PARTNERSHIPS

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H. RESEARCH AND ANALYTICAL WORK

I. AWARDEE COMMITMENTS

J. SUMMARY STATEMENTS

K. ADDITIONAL INFORMATION

V. SUBMISSION OF OFFERS

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 TOPIC

A. COMPLETE STREETS ARTIFICIAL INTELLIGENCE INITIATIVE: GENERATING, INTEGRATING, AND ACTIVATING DATA FOR MOBILITY37

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 this solicitation’s topic as identified by the U.S. DOT as described in Section VIII. Under the SBIR Program, the U.S. DOT does not accept unsolicited proposals.

The goals and objectives of the SBIR Program are to:

• Stimulate technological innovation;

• Meet Federal research or research and development (R/R&D) 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

R/R&D funding.

The SBIR Program encourages small businesses to engage in 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. More information is available at 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 R/R&D efforts on research related to the CSAI Initiative described herein. Phase I offers can be funded up to $200,000 for this solicitation. The period of performance of the resulting contract shall be six (6) months. The basis for award is the scientific and technical merit of the offer, its commercial potential, and its relevance to the CSAI Initiative. The U.S. DOT intends to award Firm-Fixed- Price (FFP) purchase orders utilizing Federal Acquisition Regulation (FAR) Part 13 Simplified Acquisition Procedures. A 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, this solicitation and the contractor’s offer). The U.S. DOT will require written acceptance of the purchase order by the Small Business Concern (SBC) at the time of award via the SBC signing the purchase order, thus creating a binding contract between the SBC and the https://www.sbir.gov/about/about-sbir

Government. Award of a bilaterally signed purchase order is subject to the availability of funding.

All U.S. DOT SBIR Phase I awardees who have successfully completed Phase I are eligible to submit a Phase II proposal for evaluation and possible selection for award.

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

Award of a contract for a Phase II effort is based on the results of Phase I, the scientific and technical merit of the Phase II proposal, and the commercial potential of the proposed Phase II project. Commercial potential includes the capability to transition the technology to private sector applications, Government applications, or Government contractor applications. For this U.S. DOT SBIR Program solicitation, contracts for Phase II proposals for this solicitation can be funded up to $1,800,000 and have a period of performance of up to 18 months from the date of contract award. The Government is not obligated to fund any specific Phase II proposal.

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. Approximately 30 days prior to the end of Phase I efforts, the U.S. DOT SBIR Program will provide Phase I contract awardees instructions for the submission of their Phase II proposal. The content instructions will include at a minimum, details on the value, due date, content, submission requirements, and evaluation criteria for Phase II proposals. The instructions may also include additional information and/or technical recommendations. A summary of Phase II proposal 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.

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 Agency’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 thereof. The following activities are some of the 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 SBIR work, funded by non-SBIR sources of Federal funding including R/R&D.

https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/submit-proposal

C. Eligibility Size Rule Regulations governing size and eligibility requirements for the SBIR program are found at 13 CFR Part 121.701-121.705. See SBA’s Guide to SBIR/STTR (Small Business Technology Transfer) Program Eligibility at http://sbir.gov/sites/default/files/elig_size_compliance_guide.pdf for further details. 13 CFR Part 121.702 includes a provision that allows agency discretion relating to the 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. This does NOT include allowable VCOCs per 13 CFR 121.702(a)(1)(i) that are majority-owned by a single VCOC, hedge fund, or private equity firm that is in of itself a small business concern.

Each SBC submitting an offer must qualify as an SBC at the time of award of Phase I and Phase II contracts (see Section I. E. for the definition of an SBC). An 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 always 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 employment 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 using simple math, must be performed by the awardee (i.e., 50% of total contract cost must be for other than subcontractor/consultant costs).

• For both Phase I and Phase II, all 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.

http://sbir.gov/sites/default/files/elig_size_compliance_guide.pdf

Performance Benchmark Requirements for Phase I Eligibility

Section 6(a)(7) of the SBIR Policy Directive requires each Federal agency participating in SBIR to set a Phase II transition rate benchmark per Section 5165 of the SBIR/STTR Reauthorization Act of 2011. General information on the Performance Benchmark requirements is available at https://www.sbir.gov/performance-benchmarks/.

Before submitting an offer 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 are eligible to submit an offer for a new Phase I award.

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 past five fiscal years, excluding the most recently completed fiscal year; and the total number of Phase II awards over the last five fiscal years, excluding the most recently completed fiscal year. The U.S. DOT SBIR Phase I to II Transition Benchmark is: at least 0.25.

Commercialization Benchmark:

The Commercialization Benchmark requirement applies only to SBIR and STTR Phase I applicants that have received 16 or more Phase II awards during the past 10 fiscal years, excluding the two most recently completed fiscal years. These companies must have achieved at least the minimum required levels of commercialization activity, resulting from their past Phase II work, to be eligible to submit a proposal for a new Phase I (or Direct-to-Phase II) award. The current Commercialization Benchmark requirement, agreed upon and established by all 11 SBIR agencies, was published for public comment in the Federal Register (FR) at 78 FR 48537 in August 2013 with a reopening of the comment period at 78 FR 59410 in September 2013. It requires the awardee applicant to average at least $100,000.00 of sales and/or investments per Phase II award received during the period or have received a number of patents resulting from the SBIR work equal to or greater than 15% of the number of Phase II awards received during the period.

As of April 2021, the Small Business Administration (SBA) is enforcing the Commercialization Benchmark and is compiling a list of companies that will be deemed ineligible to submit a proposal for a new Phase I (or Direct-to-Phase II) award due to failure to meet the Commercialization Benchmark requirement.

Effective July 25, 2013, for all U.S. DOT SBIR Program Phase I offerors that have received 21 or more Phase I awards during the past five fiscal years, the ratio of Phase

II awards received to Phase I awards received must be at least 0.25.

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

SBIR and STTR awardees are required to update and maintain their organization’s SBIR.gov Company Commercialization Report, accessible when logged in to the Company Registry profile as an authorized user under the “My Dashboard” section. Commercialization information is required upon completion of the last deliverable under the funding agreement. SBIR and STTR awardees are requested to voluntarily update the information in the database annually thereafter for a minimum period of 5 years.

Foreign Disclosure Notice

The SBIR and STTR Extension Act of 2022 (P.L. 117-183), Section 4(c), requires each SBC submitting a proposal or application for a federally funded award to disclose information in the proposal or application regarding ties to the People’s Republic of China and other foreign countries. As such, all offerors submitting in response to this solicitation are required to complete a disclosure form at the U.S. DOT’s online page at:

https://forms.office.com/g/BmmrYKqhpz on or before the solicitation closing date.

Details on the requirements of the Extension Act and disclosures can be found at https://www.congress.gov/bill/117th-congress/senate-bill/4900/text.

The Disclosure Form was also published by the SBA in the Federal Register on April 4, 2023.

D. Contact Information If you have any administrative questions not listed on our Frequently Asked Questions (FAQs) web page (https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/faqs), or questions regarding this Solicitation’s Appendix C: Contract Pricing Worksheet, please submit such questions via email to:

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

All administrative and Appendix C questions must be submitted no later than 3:00 p.m. ET on Friday, May 3, 2024. Questions received after 3:00 p.m. ET on May 3, 2024, may not be answered. The Government reserves the right to address a late question, if the Government determines an answer is in its best interests.

PLEASE NOTE:

• Technical questions pertaining to this solicitation will not be answered during the solicitation period, as technical questions were only permitted during the pre-solicitation period. To review the technical questions and answers, visit https://usdot.uservoice.com/forums/958370.

• Inquiries regarding offer status will not be answered.

https://forms.office.com/g/BmmrYKqhpz https://www.congress.gov/bill/117th-congress/senate-bill/4900/text https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/faqs mailto:dotsbir@dot.gov https://usdot.uservoice.com/forums/958370

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

U.S. DOT’s SBIR Hotline

(617) 494-2051 dotsbir@dot.gov

To support full and open competition and comply with the Procurement Integrity Act, 41 USC 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 identified in this Solicitation. During the open period of this Solicitation (from solicitation issuance until release of award recommendation list), contact with U.S. DOT officials (excluding certain offices and positions such as the DOT Office of the Inspector General (see herein) and the U.S. DOT/Office of the Secretary) from or at any U.S. DOT agency, other than those U.S.

DOT officials identified in this Solicitation, may result in rejection of the offer attributable to such unauthorized contact.

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

NOTE: The U.S. DOT does not award grants or cooperative agreements under the SBIR Program.

Historically Underutilized Business Zone (HUBZone) An SBC that meets the requirements described in 13 CFR § 126.200 (https://www.ecfr.gov/current/title-13/chapter-I/part-126/subpart-B/section-126.200), is certified by the SBA, and designated by SBA as a HUBZone SBC in the Dynamic Small Business Search (https://www.ecfr.gov/current/title-13/chapter-I/part-126/subpart-A/section-126.103). SBA’s designation also appears in SAM.

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

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

• A systematic study directed specifically toward applying knowledge and innovation to meet a recognized but unmet need; or

• A systematic application of knowledge and innovation 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.

mailto:dotsbir@dot.gov https://www.ecfr.gov/current/title-13/chapter-I/part-126/subpart-B/section-126.200 https://www.ecfr.gov/current/title-13/chapter-I/part-126/subpart-A/section-126.103

SBIR Data All data developed or generated in the performance of an SBIR award, including Technical Data and Computer Software developed or generated in the performance of an SBIR award. The term neither includes pre-existing data nor include information incidental to contract administration, such as financial, administrative, cost or pricing or management information.

SBIR Data Rights The Government’s license rights in properly marked SBIR Data during the SBIR protection period as follows: SBIR Technical Data Rights in SBIR Data that are Technical Data or any other type of Data other than Computer Software and SBIR Computer Software Rights in SBIR Data that is Computer Software. Upon expiration of the protection period for SBIR Data, the Government has a royalty-free license to use, and to authorize others to use on its behalf, these Data for Government purposes, and is relieved of all disclosure prohibitions and assumes no liability for unauthorized use of these Data by third parties. The Government receives unlimited rights in all Form, Fit, and Function Data, Operations, Maintenance, Installation, or Training Purposes (OMIT) Data, and unmarked SBIR Data.

Small Business Concern (SBC) A concern that meets the SBIR program eligibility requirements set forth in 13 CFR § 121.702, which can be found here: https://www.law.cornell.edu/cfr/text/13/121.702.

Socially and Economically Disadvantaged SBC (SDB) For Eligibility, and Certification relating to Federal SDB Programs, See 13 CFR § 124, Subpart B at https://www.law.cornell.edu/cfr/text/13/part-124/subpart-B.

Subcontract 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.

Veteran-Owned SBC An SBC:

1. Not less than 51% of which is owned by one or more veterans (as defined at 38 USC 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,

2. The management and daily business operations of which are controlled by one or more veterans.

Women-Owned SBC (WOSB) 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.

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

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 concerns and other tips from all sources about allegations of fraud, waste, abuse, and/or mismanagement in U.S. DOT programs. If an allegation of fraud, waste, abuse, and/or mismanagement pertains to the SBIR Program, then the reporting individual should indicate that the alleged fraud, waste, abuse, and/or mismanagement pertains to an SBIR solicitation or contract. Additionally, the U.S. DOT SBIR Program website contains information and links to report potential fraud, waste, abuse, and/or mismanagement:

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, 2004 “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 as well as publish an annual report.

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 priority to SBCs that participate in or conduct energy efficiency or renewable energy system research and development projects. 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

II. OFFER PREPARATION INSTRUCTIONS AND

REQUIREMENTS

A. Overview This is a solicitation for Phase I R/R&D offers on advanced, innovative concepts from SBCs having strong capabilities in applied science or engineering. Phase I R/R&D offers shall demonstrate a sound approach to the investigation as it relates to the objectives of the CSAI Initiative.

The proposed research must have relevance to the CSAI Initiative. 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.

Multiple offers may be submitted by an SBC if the offers provide distinct differences as it related to technical approach.

Each offer shall be self-contained and checked carefully by the offeror to ensure compliance with all preparation instructions (see Appendix D, Offer Submission Checklist).

If more than one offer is submitted, then the first offer must be submitted before the second offer submission is started. The first may be edited by the SBC any time prior to the close of the solicitation.

B. Solicitation Requirements The following requirements must be met by the submission deadline, May 10, 2024, for the offer to be evaluated for award:

1. SBA Company Registry Confirmation – Each SBC applying to the SBIR program is required to complete its registration in SBA's Company Registry (http://sbir.gov/registration) prior to submitting its Offer. At a minimum, registration requires Unique Entity ID (UEI) and employer identification (EIN) numbers. Completed registrations will receive a unique SBC Control ID and PDF file, which should be submitted as the first page in the Technical Section of the Offer.

2. Submission of Offer – Offers must be submitted using the U.S. DOT SBIR Program’s online submission process (https://usg.valideval.com/teams/usdot_2024_2/signup) during

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

http://sbir.gov/registration open solicitation periods only. Offers must be complete, accurate and submitted as four separate files.

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

i. The technical section shall not exceed 15 pages. Any information over the 15-page limit may not be considered and could adversely affect the offer evaluation. A Table of Contents, the SBA Company Registry Confirmation, and Prior Phase II Awards do not count toward the 15-page limit.

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. Appendices A and B – Appendix A: Signature Page and Appendix B: Project Summary must be submitted as a PDF file, which does not count toward the 15-page limit for the technical section.

c. Appendix C: Contract Pricing Worksheet – The Contract Pricing Worksheet should be submitted as an Excel file. This section does not count toward the 15-page limit for the technical section. SBCs must use the template provided by the U.S. DOT SBIR Program to be considered responsive.

d. Contract Pricing Worksheet Supporting Documentation – Supporting documentation for Appendix C: Contract Pricing Worksheet must be submitted as a PDF file, and include the required supporting information described on page 15 of this Solicitation and in Appendix C. This section does not count toward the 15-page limit for the technical section. There is no limit on the number of pages for the Contract Pricing Worksheet Supporting Documentation.

3. Offer File Names – Offer file names for each of the four separate files must include the following:

a. The first three characters must be the topic number, CS1.

b. The remaining characters must include an abbreviation of the company’s name and a distinct character to designate each file (e.g., CS1ABC1, CS1ABC2, CS1ABC3, and

CS1ABC4).

To submit more than one offer, please add a, b, c, etc. after the topic number to indicate it is a new submission (e.g., Small Business, Inc. – CS1a). This will create a new profile for each offer. Only one offer can have draft status. To submit a second or third offer in the proposal website, the previous offers must be submitted prior to beginning a subsequent offer. All offers once submitted may be edited prior to the close of the solicitation.

For Chrome users please note that the drop and drag feature when using Chrome browsers does not attach the file. When using Chrome please browse, for the file to attach it to the offer. Another option is to use another browser like Firefox or Microsoft Edge.

4. Offer Submission Deadline – Offers must be received no later than 3:00 p.m. ET on Friday, May 10, 2024, through U.S. DOT’s automated proposal website at https://usg.valideval.com/teams/usdot_2024_2/signup. Offers received after this time will be automatically rejected; no exceptions will be permitted. Please be aware that the submittal process requires answering several questions; be sure to allow sufficient time to complete the multi-step submittal process. Offers shall 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.

5. Duplicate Offers – Offers shall only be submitted through the U.S. DOT’s automated proposal website. No duplicate offers shall be sent by any other means. An SBC may submit multiple separate offers on the topic under this solicitation. Note: If submitting two or more offers, please follow instructions in Section II(B)(3), Offer File Names, above.

Technical Section (PDF) Includes SBA Registry Confirmation, Technical Section, and Prior Phase II Awards.

SBA Company Registry Confirmation (does not count toward the 15-page limit)

Page 1 of PDF

All SBIR applicants are required to be registered in SBA’s company registry database. The confirmation page from registering in the database should be included as the first page of the Technical Section. It does not count towards the 15-page limit. See https://www.sbir.gov/registration to register or print your registration confirmation.

Technical Section (not to exceed 15 pages)

Submitted offers are encouraged to have a Table of Contents (which does not count toward the page limit). 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.

https://www.sbir.gov/registration

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 areas pertaining to this solicitation.

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 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 consultant 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 research topic 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 CFR §11.104, 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 more information, visit the FAQ at https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/faqs.

Prior SBIR Phase II Awards (does not count toward the 15-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 https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/faqs title of the project manager or principal investigator for each award received.

Appendices A and B (PDF)

Signature Page (Appendix A - page 1 of PDF)

Complete the signature page in Appendix A. The “topic title” block is to list the topic name as shown in this solicitation. The “offer title” block should be the name given to the offeror’s proposed solution and should differ from the topic title block. Sign and date in blocks where indicated; the date used should be the date the offer is submitted to the Government.

Project Summary (Appendix B - page 2 of PDF)

Complete the Project Summary Sheet in Appendix B. The Project Summary of successful offers may be published by U.S. DOT and, therefore, must 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.

Appendix C: Contract Pricing Worksheet (Excel)

The required Appendix C template is available on our website in Microsoft Excel format.

A Phase I Contract Pricing Worksheet must be submitted using the template provided. 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 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.

https://www.volpe.dot.gov/work-us/small-business-innovation-research/appendix-signature-page-and-appendix-b-project-summary https://www.volpe.dot.gov/work-us/small-business-innovation-research/appendix-signature-page-and-appendix-b-project-summary https://www.volpe.dot.gov/work-us/small-business-innovation-research/appendix-c-contract-pricing-worksheet-fy-20242-us-dot

• Phase I contract awards may include profit. Note: FFP purchase orders are the type used for Phase I SBIR awards.

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

• The SBC must note its EIN and UEI numbers in Appendix C, in the Contract Pricing Worksheet Coversheet. The UEI is assigned through SAM.gov (See III (D) below). If you are not able to receive a UEI number before the solicitation deadline, please indicate “Pending” in the UEI field of Appendix C.

• If you have any trouble accessing the Appendix C spreadsheet, please contact the U.S. DOT SBIR Program via email at dotsbir@dot.gov no later than 3:00 pm ET on May 3, 2024.

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

Contract Pricing Worksheet Supporting Documentation (PDF)

See the first two tabs of Appendix C for instructions and further examples of supporting documentation.

Supporting documentation for the costs and pricing proposed in Appendix C must be submitted as a separate file in PDF format.

Supporting documentation is required for all costs proposed (e.g., material quotes, subcontractor proposals, indirect rate calculations, etc.).

C. Other Information

1. Offer Handling. Offers will be available only to Government employees in the U.S.

Government team of engineers and/or scientists responsible for evaluating the offer, the U.S.

DOT SBIR Program, and/or 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;

c. Termination of an award; and/or

d. Possible referral to the Suspension and Debarment authority for review and mailto:dotsbir@dot.gov https://www.volpe.dot.gov/work-us/small-business-innovation-research/appendix-c-contract-pricing-worksheet-fy-20242-us-dot https://www.volpe.dot.gov/work-us/small-business-innovation-research/appendix-c-contract-pricing-worksheet-fy-20242-us-dot action.

3. Technical and Business Assistance (TABA). The SBIR Program Policy Directive permits an agency to provide TABA to an SBIR awardee. For the U.S. DOT, this amount shall be up to and not exceed $6,500 for Phase I awards. This amount is in addition to the award amount for Phase I awards.

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.

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

a. The U.S. DOT SBIR Program has a Blanket Purchase Agreement (BPA) with Foresight Science & Technology Incorporated (34 Hayden Rowe St., Hopkinton, MA) 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 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 TABA vendor and an individualized Commercialization Readiness Assessment report to support the development of the Phase II proposal’s commercialization strategy, OR

b. Awardees can receive assistance in an amount not to exceed $6,500 not using the BPA of the U.S. DOT SBIR Program. To do so, an awardee must, through its own efforts, obtain a vendor to provide TABA services.

If recommended for award, the SBIR Program will contact the awardee and require them to provide an outline of the specific services its proposed vendor will provide and the detailed qualifications and experience of the proposed vendor, as well as pricing information. This information should not be included within Appendix C contract pricing worksheet.

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) Any business that seeks to work with the Federal Government under a FAR-based contract is mandated to register with SAM before being awarded a contract. It is recommended that such business register in SAM before submitting an offer as some items in SAM are due at the time of or before offer submission. Additional information on SAM and the registration process is provided on the SAM website at: https://sam.gov/content/home. A UEI number is also provided through SAM. More information on the UEI can be found at: https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-systems-management/integrated-award-environment-iae/iae-systems-information-kit/unique-entity-identifier-update.

http://www.nist.gov/mep https://sam.gov/content/home https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-systems-management/integrated-award-environment-iae/iae-systems-information-kit/unique-entity-identifier-update https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-systems-management/integrated-award-environment-iae/iae-systems-information-kit/unique-entity-identifier-update https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-systems-management/integrated-award-environment-iae/iae-systems-information-kit/unique-entity-identifier-update

III. METHOD OF SELECTION AND EVALUATION

CRITERIA

A. Basis of Award 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. All non-responsive offers will be rejected by the Government and will not be further evaluated.

Each offer will be judged on its own merit. A Phase I contract award will be made to the responsive and responsible SBC(s) whose offer provides the best value to the Government. The best value determination is based on the technical and scientific merit as evaluated the evaluation criteria described in Section III.B.

The U.S. DOT is under no obligation to fund any offer or any specific number of offers submitted in response to this solicitation. The U.S.