BAA-FTA_FY26_Solicitation_Amendment No. 0002.pdf

BROAD AGENCY ANNOUNCEMENT

BAA 2026

Federal Transit Administration

Office of Research, Demonstration, and Innovation

Research Initiatives in Support of Safety, Accessibility, and Mobility in Public Transportation

September 2026

AMENDMENT No. 01 (Dated: 10/29/2026)

Contents

1 Introduction

1.1 Background

1.2 Legislative Authority

1.3 Purpose

2 Program Guidelines – AMENDED

2.1 Schedule

2.2 Communications Protocol and Data Sources

2.2.1 Communications Protocol

2.2.2 Data Sources & Points of Contact:

2.3 Offeror Eligibility

2.4 Project Qualification Requirements ............................................. Error! Bookmark not defined.

2.5 Project Funding

2.5.1 Program and Project Funding Limits

2.5.2 Cost Sharing – AMENDED

2.6 Project Selection Two-Step Process

2.6.1 Project Concept Papers (Step 1) .............................................. Error! Bookmark not defined.

2.6.2 Project Proposals (Step 2)

2.6.3 Oral Presentations

2.7 Intellectual Property Rights – AMENDED

2.7.1 Patents ..................................................................................... Error! Bookmark not defined.

2.7.2 Proprietary Data Restrictions

2.8 Data Rights .................................................................................... Error! Bookmark not defined.

3 Submittal Requirements

3.1 Project Concept Papers

3.1.1 Cover page

3.1.2 Technical Approach

3.1.2.1 Background

3.1.2.2 Scope of Work

3.1.2.3 Expected outcomes and impacts

3.1.3 Qualifications

3.1.3.1 Project Team

3.1.3.2 Experience

3.1.3.3 Unique Capabilities

3.1.4 Schedule and Cost Estimates

3.1.5 Quad Chart

3.2 Project Proposals .......................................................................... Error! Bookmark not defined.

3.2.1 Cover Page

3.2.2 Volume I: Technical Proposal

3.2.2.1 Background

3.2.2.2 Statement of Work .......................................................... Error! Bookmark not defined.

3.2.2.3 Technical Approach

3.2.2.4 Project Management Plan

3.2.3 Capabilities and Experience

3.3 Volume II: Cost and Pricing Proposal

3.3.1 General Requirements – AMENDED

3.3.2 Recommended Contract Pricing Arrangement – AMENDED

3.4 Volume III: Supplemental information

3.4.1 System for Award Management (SAM) Registration

3.4.2 Administrative and Audit Offices

3.4.3 Intellectual Property Declaration ............................................. Error! Bookmark not defined.

3.4.4 Subcontracting Plan

3.4.5 Key Personnel and Support Letters

3.4.6 Quad Charts

4 Past Performance

5 Oral Presentations

6 Evaluation and Award Process

6.1 Evaluation Criteria

6.1.1 Project Concept Papers

6.1.2 Project Proposals

6.1.2.1 Technical Factors ............................................................. Error! Bookmark not defined.

6.1.2.2 Cost and Pricing Factors

6.1.2.3 Oral Presentation

6.1.2.4 Concept Paper and Proposal Rating ................................ Error! Bookmark not defined.

6.2 Awards

6.2.1 Notifications and Negotiations

6.2.2 Data Management Plan – AMENDED ....................................... Error! Bookmark not defined.

1 Introduction

1.1 Background

The Federal Transit Administration (FTA) has a successful history of supporting the development of advanced solutions to meet the public transportation needs of the country. Over the last few decades, the FTA has provided funding and technical support to facilitate research and to stimulate development of new equipment, infrastructure, mobility, cybersecurity, and testing solutions to enhance the nation’s transit system safety and efficiency. These efforts are undertaken in support of the U.S. DOT’s mission:

Serve the United States by ensuring a fast, safe, efficient, accessible and convenient transportation system that meets our vital national interests and enhances the quality of life of the American people, today and into the future.

The FTA’s Office of Research, Demonstration, and Innovation is charged with conducting research and development in support of improved transit safety and national public transportation policy. These activities support the objectives of the U.S. DOT, the mission-critical needs of the FTA, and the transit industry through technology development and demonstration, applied research, and information exchange with the transit industry.

1.2 Legislative Authority

The legislative authority for this Broad Agency Announcement (BAA) is found under 49 U.S.C. § 5312(b), which states: “The Secretary may make grants and enter into contracts, cooperative agreements, and other agreements for research, development, demonstration, and deployment projects, and evaluation of research and technology of national significance to public transportation, that the Secretary determines will improve public transportation.”

1.3 Purpose

The purpose of this BAA is to solicit a variety of applied research projects that will support the strategic objectives of the Office of Research, Demonstration, and Innovation. Projects shall be focused on innovative solutions that can be used to achieve safe, reliable, efficient, and accessible transit operations in the U.S. Such solutions will:

● Reduce the operational and program deployment risks associated with new transit routes/lines.

● Improve safety by reducing human and technology failures.

● Bring about capital cost reductions and economy in producing equipment and facilities.

● Reduce operating costs of transit service by providing more efficient operations.

● Improve the reliability of equipment and infrastructure components by reducing failures and/or reducing false failure detections.

● Enhance the social benefits and accessibility of public transportation.

● Facilitate the development of domestic manufacture of transit equipment and infrastructure components.

Specific research topics for this BAA are contained in Appendix C. Additional research topics may be announced at any time during the open period of this BAA.

2 Program Guidelines – AMENDED

This BAA, due to its broad research focus, does not lend itself to the use of a statement of work. As such, individual contract awards resulting from the BAA may carry different North American Industry

Classification System (NAICS) codes, as determined by the type of activity in which the Offeror will be engaged, in accordance with Revolutionary FAR Overhaul1 (RFO) 19.103(b)(1). Unless otherwise specified in Appendix C, the primary NAICS code issued for contract awards resulting from the BAA is 541715 –

Research and Development in the Physical, Engineering, and Life Sciences (except Nanotechnology and

Biotechnology).

The Government reserves the right to select for award any, all, part, or none of the proposals received in response to this announcement. This BAA is an expression of interest only and does not commit the

Government to pay any concept paper or proposal preparation costs.

This BAA is developed in accordance with RFO 6.101(b)(3)(ii) and RFO 35.102. This announcement constitutes the public announcement, as contemplated by RFO 6.101(b)(3)(ii) and no formal Request for

Proposals or other solicitation regarding this announcement will be issued.

It is anticipated that awards will be in the form of firm-fixed-price, level-of-effort term contracts (in accordance with RFO 16.206). Although, the final contract type will be ultimately determined by the

Government in accordance with applicable federal acquisition regulations.

If it is determined that the Offeror’s performance under the contract is not progressing to the satisfaction of the Government, the Government retains the right to commence a process to modify or end performance in accordance with the contract.

2.1 Schedule

Concept papers responding to this BAA can be submitted until 11:59 PM Eastern Time on October 19, 2026. FTA may modify the schedule and/or research topics. If such changes are made, this announcement and Appendix C will be amended accordingly. This BAA and amendments issued thereto will be posted to the System for Award Management (SAM.gov) website. It is the responsibility of the Offeror and interested parties to be aware of BAA amendments by regularly checking SAM.gov websites and by registering at www.sam.gov to receive notifications and updates to this specific solicitation.

1 Federal Acquisition Regulation (FAR) Parts and Agency Deviations http://www.sam.gov/ https://www.acquisition.gov/far-overhaul/far-part-deviation-guide

2.2 Communications Protocol and Data Sources

2.2.1 Communications Protocol

All non-technical inquiries should be directed to the Contracting Specialist and/or Contracting Officer. Any communication must be consistent with procurement integrity requirements of Section 27 of the Office of Federal Procurement Policy Act (41 U.S.C. 423, as amended) (see FAR 3.104).

Communication between Offerors and FTA is encouraged prior to and throughout the project concept paper phase. After submission of project proposals, all information exchanges will be conducted through the Contracting Specialist and/or Contracting Officer. There shall be no discussion of proposals submitted by other Offerors nor will evaluation information be discussed.

Offerors are advised that any indication of interest, in the affirmative, is not meant to imply nor in any way impart an obligation on the part of the Government that an award will be forthcoming for the offered work or project.

All submittals shall be delivered in electronic format (e.g., .doc/.docx, .xls/xlsx, or .pdf) to the e-mail address listed below.

2.2.2 Data Sources & Points of Contact:

BAA Official Documents www.sam.gov www.transit.dot.gov

BAA Contracting Officer: Ms. Crystal Zorich Tel: 202-366-6284 crystal.zorich@dot.gov

BAA Contracting Specialist: Ms. Tennile Palmer Tel: 202-366-1218 tennile.palmer.ctr@dot.gov

BAA Program Manager: Mr. Jay Baillargeon Tel: 719-584-7155 jay.baillargeon@dot.gov

2.3 Offeror Eligibility

This is an unrestricted solicitation. Any responsible source may submit a proposal concept paper for consideration, including, but not limited to, states or local governments, or organizations of state or local governments, universities or institutions of higher education, hospitals, non-profit organizations, private individuals, corporations, and businesses or commercial organizations, except that any businesses owned in whole or in part by the Federal Government are not eligible. Although businesses owned in whole or in part by the Federal Government are not eligible for direct funding they may subcontract with eligible

Offerors. Cooperative arrangements (e.g., joint ventures, limited partnerships, teaming arrangements, or collaboration and consortium arrangements) are permitted and encouraged. All Offerors must be registered on the Federal Government’s System for Award Management (www.sam.gov) prior to project award.

Small, Small Disadvantaged (SD), and Service-Disabled Veteran-Owned Business Concerns, and Veteran-

Owned (VO) and Woman-Owned (WO), and Historically Underutilized Business Zone (HUBZone) Small http://www.sam.gov/ http://www.transit.dot.gov/ mailto:crystal.zorich@dot.gov mailto:tennile.palmer.ctr@dot.gov mailto:jay.baillargeon@dot.gov

Business Concerns, and Historically Black Colleges and Universities (HBCU) and Minority Institutions (MSIs) are encouraged to submit proposal concept papers on their own and/or in collaboration with others.

However, no portion of this BAA will be set aside or reserved exclusively for Small, SD, or Service-Disabled

Veteran-Owned Business Concerns, or for VO, WO, or HUBZone Small Business Concerns, or for HBCU and

MSIs.

2.4 Project Qualification Requirements – AMENDED

This BAA solicits research projects in response to specific research topics detailed in this document

(Appendix C). The FTA is interested in research that may lead to safer and more efficient transit systems.

However, for the purposes of this BAA program, the FTA will respond only to concept paper submittals that are in direct response to a specific research topic, as defined in Appendix C.

Projects shall be designed to complete basic and applied technology activities, to increase the scientific knowledge base of the transit industry, to exploit the potential of existing technologies, and to address issues that impact the safety and efficiency of transit operations in the United States. In the context of the technology readiness levels defined below, this BAA is not designed for projects limited to Levels 1 and 2, and excludes those projects beyond Level 6 (i.e., Levels 7 through 9), with preference given to those projects that are already advanced to the proof-of-concept testing stage (i.e., Level 3).

Technology Readiness Levels Description

1. Basic principles observed and reported.

Lowest level of technology readiness. Scientific research begins to be translated into applied research and development. Examples might include paper studies of a technology’s basic properties.

2. Technology concept and/or application formulated.

Invention begins. Once basic principles are observed, practical applications can be invented. The application is speculative and there is no proof or detailed analysis to support the assumption.

Examples are still limited to paper studies.

3. Analytical and experimental critical function and/or characteristic proof of concept.

Active research and development is initiated. This includes analytical studies and laboratory studies to physically validate analytical predictions of separate elements of the technology. Examples include components that are not yet integrated or representative.

4. Component and/or breadboard validation in laboratory environment.

Basic technological components are integrated to establish that the pieces will work together. This is relatively “low fidelity” compared to the eventual system. Examples include integration of “ad hoc” hardware in a laboratory.

5. Component and/or breadboard validation in relevant environment.

Fidelity of breadboard technology increases significantly. The basic technological components are integrated with reasonably realistic supporting elements so that the technology can be tested in a simulated environment. Examples include “high fidelity” laboratory integration of components.

6. System/subsystem model or prototype demonstration in a relevant environment.

Representative model or prototype system, which is well beyond the breadboard tested for TRL 5, is tested in a relevant environment.

Represents a major step up in a technology’s demonstrated readiness. Examples include testing a prototype in a high-fidelity laboratory environment or in simulated operational environment.

7. System prototype demonstration in an operational environment.

Prototype near or at planned operational system. Represents a major step up from TRL 6, requiring the demonstration of an actual system prototype in an operational environment.

8. Actual system completed and qualified through test and demonstration.

Technology has been proven to work in its final form and under expected conditions. In almost all cases, this TRL represents the end of true system development. Examples include developmental test and evaluation of a component of subsystem in its intended system to determine if it meets design specifications.

9. Actual system proven through successful deployment.

Actual application of the technology in its final form and under operational conditions, such as those encountered in operational test and evaluation. In almost all cases, this is the end of the last “bug fixing” aspects of true system development.

Source: GAO/NSIAD-99-162

2.5 Project Funding

2.5.1 Program and Project Funding Limits

Funding for this program is appropriated in the Federal budget for innovative public transit research and development (49 U.S. Code § 5312). FTA will determine if any submittals are consistent with the objectives of this BAA and of interest to the Government. The primary basis for selecting proposals for acceptance shall be technical, importance to agency programs, and funds availability. Cost realism and reasonableness shall also be considered to the extent appropriate.

No funding provision or commitment can be made at the time of award for phased or expanded work or projects beyond the initial or base phase funded at time of award that the applicant may propose in its submissions. If appropriated funds are authorized, the Contracting Officer may provide additional funding by issuing a bilateral modification for phased or expended effort under existing awards.

Awards may be of any dollar value, but it is anticipated that most individual awards (or that part of the

Government’s portion in a cost-sharing arrangement) will have dollar values ranging between $150,000 and $500,000. All awards are subject to the availability of funds.

NOTE: The Government is not obligated to fund any proposal received, submission of a proposal does not guarantee award, and the Government may award no contracts at all under the announcement. The

Government will not reimburse Offerors on any costs incurred in the preparation and submission of concept papers or proposals.

2.5.2 Cost Sharing – AMENDED

For the purposes of this BAA, cost sharing means any arrangement under which the Government pays less than the full cost of the project. Cost sharing may include cost matching, contributions of the Offeror's own resources, contributions from members of the Offeror's team, and cost limitations (direct or indirect).

Under 49 U.S.C. 5312(g), the Government share of a project may not exceed 80 percent unless FTA determines that there is substantial public interest or benefit. FTA will determine the Government share for each project during its review of concept papers (see Section 2.6.1) and will provide its determination in writing. Where cost sharing is required, FTA anticipates awarding a cost-sharing contract (in accordance with RFO 16.303), under which no fee is paid.

In determining the Government share, FTA will consider any clear and direct financial benefit the Offeror is expected to receive from the project, including from commercializing project results, as required by 49

U.S.C. 5312(g)(3).

Research conducted under this BAA must be applicable to the program's development objectives, and its results must be practical for deployment in the transit industry. Projects that involve transit operators and other industry stakeholders as partners (e.g., through testing, demonstration, or data support) will help the industry adopt the resulting technologies, and such projects are preferred. Partner contributions may count toward any required non-Governmental share only as described in Section 3.3.1.

2.6 Project Selection Two-Step Process

2.6.1 Project Concept Papers (Step 1) – AMENDED

Award selection for this BAA is structured as a two-step process. The first step of the process is the submission and evaluation of project concept papers. As detailed in Section 3.1, the concept paper provides a brief overview of the research effort, including the current state of development, the next steps in the development plan, and rough order-of-magnitude cost and schedule data. Concept papers will be used to gauge applicability of and the Government’s interest in each research area. All Offerors must submit a project concept paper to be considered for an award.

Negotiations between the Offeror and FTA are required at this point in the process to develop or refine project concepts and to avoid unnecessary work efforts, by either party, on project concepts that the

Government does not value, or cannot fund.

Concept papers shall be submitted in electronic form via e-mail to the Contracting Specialist, Tennile

Palmer (tennile.palmer.ctr@dot.gov), and carbon copy (CC) the Contracting Officer, Crystal Zorich

(crystal.zorich@dot.gov). (NOTE: Authorized support personnel under nondisclosure agreements will handle submissions.) FTA will work to complete concept paper evaluations within 60 days of the solicitation closing date (i.e., November 6, 2026) and will notify the Offeror of final disposition.

NOTE: Concept paper documents must not be encrypted or require a password to open.

2.6.2 Project Proposals (Step 2)

Following concept paper evaluation and discussion, FTA may invite the Offeror to submit a detailed technical and cost/price proposal for award evaluation. Proposals shall be prepared in accordance with the requirements of Section 3.2. Submissions that are incomplete, materially lacking, or not responsive to the technical requirements of this BAA, may be returned unevaluated, or evaluated as is, without further opportunity for revision, at the discretion of the FTA’s evaluation committee. The due date for the proposal will be provided after the 60 day concept paper evaluation period.

NOTE: Proposal documents must not be encrypted or require a password to open.

mailto:tennile.palmer.ctr@dot.gov mailto:crystal.zorich@dot.gov

2.6.3 Oral Presentations

FTA may request that Offerors conduct an oral presentation of the proposal following an initial evaluation.

Oral presentations may be conducted in person or via telephone or virtual conference at the discretion of

FTA. Oral presentations shall be prepared in a technical briefing format following the requirements of

Section 5. FTA may ask technical questions for clarification during the oral presentation.

2.7 Intellectual Property Rights – AMENDED

Awards will generally contain detailed provisions concerning patent rights, rights in technical data and computer software, data reporting requirements, and other terms and conditions which may be negotiated as part of the award process, as specified in the FAR (i.e., FAR 52.227-11, 52.227-14, 52.227-

15, and 52.227-16).

Offerors must describe any limitations on any intellectual property (e.g., patents, inventions, trade secrets, copyrights, or trademarks) that will affect an Offeror’s performance of the contract or impact the

Government’s subsequent use of any deliverable under the contract. In particular, the Offeror must describe the intellectual property in sufficient detail to describe the limitations (e.g., data, including software, assertions of the Offeror or any subcontractor, potential patent licenses required by the

Government), and to describe why or how the Government can accomplish the stated objectives of this

BAA with the limitations described or proposed by the Offeror. For example, if applicable, the Offeror must describe software that it will bring in to perform the contract and any licenses the Government may need to use the contract deliverables during or after contract performance.

Under the patent rights clause, the Offeror may elect to retain title to inventions made in the performance of the contract, and the Government receives a license as provided in that clause. Under the data rights clause, the Government receives unlimited rights in data first produced in the performance of the contract. The Offeror may assert copyright in such data only with the Contracting Officer's permission, as provided in FAR 52.227-14. If copyright is asserted, the Government receives a paid-up, nonexclusive, irrevocable, worldwide license. This information must be included in Volume III, Supplemental

Information, of the Proposal.

2.7.1 Patents – AMENDED

Offerors must list any known patents, patent applications, or inventions which may require the

Government to obtain a license should the Offeror’s proposal be selected for award. Invention is defined in FAR 27.301 as “any invention or discovery that is or may be patentable or otherwise protectable under

Title 35 of the U.S. Code, or any variety of plant that is or may be protectable under the Plant Variety

Protection Act (7 U.S.C. 2321, et seq.).” If any patent, patent application, or invention is owned by the

Offeror, the Offeror must provide a statement, in writing, that it either owns or possesses the appropriate licensing rights to patent, patent application or invention for which the Government may require a license for this program. If an Offeror does not own or have license rights to license the Government for any such patent or patent application, the Offeror must explain how the Government may obtain a license or whether the Offeror plans to obtain these rights on behalf of the Government.

For any patent or patent application listed above, the Offeror must provide the patent number or patent application publication number, a summary of the patent or invention title, and indicate whether the

Offeror is the patent or invention owner. If a patent or invention is not licensed by the Offeror, the licensor must be identified. Be advised that no patent, patent application, or invention disclosure will be accepted if identified in the FAR 52.227-15 representation. Rights in patents, patent applications, and invention disclosures are addressed in the patent rights clause to be included in the contract, and therefore no assertion of limited rights in patents or patent applications will be accepted. The list of patents, patent applications and inventions of this section must be a separate list from the FAR 52.227-15 representation.

2.7.2 Proprietary Data Restrictions – AMENDED

Offerors are advised that the proposal concept papers and/or proposals may contain data the Offeror does not want disclosed to the public for any purpose or used by the Government except for evaluation purposes. If the Offeror wishes to restrict such data, the cover page of all submittal documents must be marked with the following legend, and relevant sheets marked as instructed.

This proposal includes data that shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed – in whole or in part – for any purpose other than to evaluate this proposal. However, if a contract is awarded to this Offeror because of – or in connection with – the submission of these data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract. This restriction does not limit the

Government’s right to use information contained in these data if they are obtained from another source without restriction. The data subject to this restriction are contained in Sheets [insert numbers or other identification of sheets].

Each restricted data sheet shall be marked as follows:

Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this document.

To the extent that such restrictions on proprietary data or information would not interfere with the intent of the Government to make the results of the work and projects awarded under the BAA available to all interested parties, and if in conformance with the Freedom of Information Act (5 U.S.C. 552, as amended), the Government will honor those desires.

2.8 Special Works Topics.

For topics identified in Appendix C as special works topics, FTA anticipates including FAR 52.227-17, Rights in Data–Special Works, as tailored in the contract, for the deliverables the contract identifies.

Under that clause, the Contractor may not assert copyright in that data without the Contracting

Officer's permission, the Contracting Officer may direct assignment of the copyright to the

Government, and the Contractor may not use, release, reproduce, distribute, or publish that data without the Contracting Officer's written permission. The clause does not apply to restricted computer software or limited rights data identified under FAR 52.227-15. Rights in inventions remain governed by the patent rights clause (Section 2.7.1).

3 Submittal Requirements

3.1 Project Concept Papers

All project concept papers must respond to a specific research topic (Appendix C). The FTA will not evaluate concept papers that do not respond to a specific research topic. In the case of multiple project proposals from a single Offeror, a separate concept paper is required for each project. No project will be considered for an award without an approved project concept paper.

Project concept papers shall be prepared simply and economically and shall provide a concise description of the proposed research project, organized as defined in the following sections. Concept papers shall be no more than five (5) pages in length (excluding Quad Chart), no less than 10-point font, single-spaced, on single-sided letter size pages with 1-inch margins (minimum). Project concept paper submissions should not include promotional brochures, advertisements, taped recordings, or other extraneous material.

A complete Concept Paper submittal includes two documents:

● Concept paper with cover page (.pdf)

● Project Quad Chart (.ppt/.pptx)

All Concept Papers must be submitted electronically, via e-mail, to the BAA Contracting Specialist and

Contracting Officer (per Section 2.6.1).

3.1.1 Cover page

Project concept papers shall include a cover page containing the following information:

● Working title of the proposed project

● BAA Research Topic title and reference number (Appendix C)

● Names, phone numbers, and mailing and e-mail addresses for the principal technical and contractual points of contact (person(s) authorized to negotiate on the behalf of the Offeror and who can contractually obligate the Offeror organization)

● Secondary Offeror organization addresses (project partners), if any

● Date of submittal

● Proprietary data restrictions, if any (see Section 2.7.2)

3.1.2 Technical Approach

The Technical Approach shall contain the Background, Scope of Work, Expected Outcomes, and Impacts associated with the project concept.

3.1.2.1 Background

In this section, the Offeror shall describe the following:

Mission Statement – Briefly describe the technology/approach proposed for research. Provide a statement(s) that conveys the Offeror’s vision of the fully developed technology and its impact on the

FTA’s research topic.

Description of Need – Describe the specific issue intended to be solved or improved by the technology/approach proposed for research and development. Discuss the proposed application to transit safety and/or efficiency improvement in the United States. Estimate the probability of the transit industry adopting this technology/approach and provide a rationale for this estimate.

Technology Assessment – Quantify the maturity of the technology/approach in the context of the technology readiness levels detailed in Section 2.4. Provide analytic and empiric evidence to support the assessment. Describe how the proposed research or technology is technically or scientifically innovative with respect to the research topic description.

Development Framework – Describe the development history of the technology/approach, both within the Offeror’s organization and from other sources, as applicable. Discuss the significant technical, financial, programmatic, or other significant factors that have impacted the development of this technology to date, both positively and negatively. Provide a technological risk assessment for future development of this technology.

3.1.2.2 Scope of Work

The Offeror shall describe the general scope of work planned for this research activity. This section shall describe the major research, testing, and analysis activities in sufficient detail to communicate the breadth of activities proposed. A detailed work breakdown structure is not required. The Offeror shall indicate major progress milestones and associated deliverables as part of this section.

The scope of work shall identify all Offerors and associated stakeholder groups in the major activities of the project and shall indicate the estimated work effort required from each Offeror, expressed as a percentage of the total effort for each activity. In addition, the Offeror shall identify any third-party resource needs that are required during the project. These resources may include Government-furnished equipment.

3.1.2.3 Expected outcomes and impacts

Identify the significant outcomes planned for the project and their impact on the safety, reliability, and efficiency of the transit industry, including short-, medium- and long-term effects. Describe these outcomes and impacts in the context of the technology readiness levels, and in terms of their impact on the realization of FTA goals as described by the specific research topic.

3.1.3 Qualifications

The Qualifications section of the Concept Paper shall introduce the project team, the team’s experience, and any unique capabilities they will bring to the project.

3.1.3.1 Project Team

List all key personnel proposed for the project, including personnel from outside the prime Offeror’s organization. Organize the team by organization name and briefly describe each person’s roles and responsibilities on the project. Provide a short synopsis of each key person’s education, experience, and other qualifications applicable to the proposed project. Provide information on the business type (small, large, or disadvantaged) for each Offeror organization.

3.1.3.2 Experience

Describe the relevant experience of each organization participating in the project. Identify any publicly available and accessible resources that may provide more details regarding this experience (e.g., public web site links to past or current project documents).

3.1.3.3 Unique Capabilities

Briefly describe any unique capabilities that the Offeror team possesses that may reduce project risk, may reduce project duration, or may improve project financial performance. Describe these capabilities within the context of the research topic BAA and the proposed project’s scope of work.

3.1.4 Schedule and Cost Estimates

Provide milestones for the proposed project that includes start, finish, and major activity completion times. Express milestones dates as the number of weeks from project start.

Provide a rough order-of-magnitude cost estimate. Provide a breakdown of these costs (as a percentage) for each organization in the project team.

Provide a funding plan for the project. Identify each funding source and their contribution to the whole, expressed as a percentage. Include all anticipated sources, including Offeror internal sources, Government funds, and other partner organizations.

3.1.5 Quad Chart

Include a Quad Chart summarizing the project concept, as per the example and instructions provided in

Appendix A.

3.2 Project Proposals – AMENDED

Following review and negotiation of the concept paper, the FTA may invite the Offeror to submit a formal proposal for the project. The Offeror will have 60 days from the date of FTA’s official notification to submit the formal proposal for the project. The project proposal builds upon the contents of the concept paper, as modified through negotiations between the Offeror and FTA. Additional content and more detailed information are required in the proposal document, as described in the following sections.

Proposal documents are produced to the same formatting requirements as the concept papers, except for a 20-page limit. This 20-page limit is for Volume I only. Submissions that are incomplete, materially lacking, or not responsive to the technical requirements of this BAA may be returned unevaluated, or evaluated as is, without further opportunity for revision, at the discretion of FTA’s evaluation committee.

Offerors are advised that the FTA evaluation of a project for possible award is based solely on the contents of the Offeror’s project proposal document, oral presentation documents (see Section 5), and the

Offeror’s answers to any technical clarification questions, as transmitted through the FTA Contracting

Officer. Further, following proposal submission, any communication to or from FTA shall be through the

Contracting Officer.

It is the policy of FTA to treat all proposals as competitive information and to disclose the contents only for the purposes of evaluation.

Please note that prior to an award, the Government reserves the right to perform a review of past performance. Sources for past performance may include the Federal Award Performance and Integrity

System (FAPIIS) and statements from Government Program Managers and Contracting Officers who are familiar with the Offeror’s relevant past performance.

A complete project proposal submittal includes the following four documents:

Volume I: Technical Proposal (20-page limit) with cover page (.pdf)

Volume II: Cost and Pricing Data (.xls/.xlsx AND .pdf)

Volume III: Supplemental Information (pdf)

Project Quad Chart (.ppt/pptx, using the template provided)

3.2.1 Cover Page

Project proposals shall include a cover page containing the following information:

● Working title of the proposed project

● BAA research topic title and reference number (Appendix C)

● “Project Proposal” written below the project title

● Names, phone numbers, mailing address and e-mail addresses for the principal technical and contractual points of contact (person(s) authorized to negotiate on behalf of the Offeror and who can contractually obligate the Offeror organization)

● Unique Entity Identifier code

● Secondary Offeror organization addresses (project partners), if any

● Date of submittal

● Proprietary data restrictions, if any (see Section 2.7.2)

3.2.2 Volume I: Technical Proposal

The Technical Proposal shall contain the following sections:

1. Background

2. Statement of Work

3. Technical Approach

4. Project Management Plan

5. Capabilities and Experience

3.2.2.1 Background

Offerors shall explain, specifically, how the proposed technology or approach enhances the ability to meet the research topic goals; how it could be incorporated into existing transit equipment, infrastructure, or operations (to include how major barriers, impediments or obstacles could be overcome or mitigated);

and the interface modifications required to accomplish a demonstration.

Explain how its application will bring about an improvement to capital equipment or infrastructure, operating methods, or safety and/or performance improvements. Correlative benefits to general transit operations, if any, should also be cited. Quantitative support should be provided for assertions made.

Proposals may include a discussion of optional future phase(s) of work. Such discussion shall be clearly labeled as “optional future phase(s) of work.” The first phase or work shall in no way depend on work described under future phases to meet the program criteria. If a future phase(s) is/are included, a rough order-of-magnitude cost estimate shall be provided as a separately labeled section in the costs and pricing section of the proposal.

Proposals shall include references to past relevant research describing capabilities, work, and significant accomplishments in areas directly associated with the proposed research area or in closely related areas.

A bibliography of relevant technical papers and research notes that support the technical concepts and innovative ideas described in this proposal shall be included for technical reference.

Mission Statement – Describe the technology/approach proposed for research. Provide a statement(s) that conveys the Offeror’s vision of the fully developed technology/approach and its intended impact on the FTA’s research topic.

Description of Need – Describe the specific issue intended to be solved or improved by the technology/approach proposed for research and development. Discuss the proposed application to transit safety, reliability, and/or efficiency improvement in the U.S. Discuss the intended stakeholder groups expected to utilize this technology/approach and discuss how each group is expected to leverage this technology to improve safety, reliability, and operating efficiency. Estimate the probability of the transit industry adopting this technology/approach and provide a rationale for this estimate.

Technology Assessment – Quantify the maturity of the technology/approach in the context of the technology readiness levels detailed in Section 2.4. Describe the technology readiness in the context of the transit industry (operations, legal, regulatory, etc.). Provide analytical and empirical evidence to support the assessment. Describe how the proposed research or technology is technically or scientifically innovative with respect to the research topic description.

Development Framework – Describe the development history of the technology/approach, both within the Offeror’s organization and from other sources, as applicable. Discuss the technical, financial, programmatic, or other significant factors that have impacted the development of this technology to date, both positively and negatively. Provide a technological risk assessment for future development of this technology.

Expected Outcomes and Impact - Identify the significant outcomes planned for the project and their impact on the safety and efficiency of the transit industry, including short-, medium- and long-term effects. Describe these outcomes and impacts in the context of the technology readiness levels, and in terms of their impact on the realization of FTA goals as described by the specific research topic.

3.2.2.2 Statement of Work – AMENDED

The statement of work shall contain the following information:

Work Scope: Describe the work to be accomplished as part of the research project. Include the technology/approach under development, the objectives and goals of the effort, major milestones, and the expected outcomes.

Requirements: Define the work. Separate the work effort into major tasks and subtasks as numbered paragraphs, or in a table. Identify all project reviews, tests, demonstrations, and all deliverables resulting from the execution of the project.

Deliverables: Identify and describe all deliverables, presentations, demonstrations, tests, and periodic reports in a table. All deliverables must be submitted 30 days before the end of the anticipated period of performance. For multi-year projects, deliverables must include an annual Research Report Summary or a Technical Report (as appropriate) describing the work accomplished during the previous year. The submission of these interim reports will not absolve the Offeror from submitting a final Technical Report.

For all projects, deliverables must include:

• A Data Management Plan (see Section 6.2.2)

• A Technology Transfer Plan, in accordance with TAR 1252.235-71(a)

• Technology Transfer Reports, at least once every six months, in accordance with TAR 1252.235-

71(b)

• A final Technical Report that must pass Section 5082 compliance at 100 percent, which includes images and tables holding alternative text.

3.2.2.3 Technical Approach

Offerors shall provide a narrative description of work to be performed, organized as it is expected to be performed. The technical approach shall include activities designed to integrate the transit industry in

2 Under Section 508 of the Rehabilitation Act of 1973, all Federal agencies must make their electronic and information technology accessible for people with disabilities.

the development effort, either through active participation in the technology/approach development or through demonstration and/or testing support.

Describe the steps, tasks, and activities necessary to achieve the desired project results. Identify and describe all deliverables, presentations, demonstrations, tests, and periodic reports. Describe the quality requirements for the project and identify the processes and/or procedures that will be employed to ensure these requirements are satisfied.

The technical approach shall include a risk assessment. Technical, programmatic, market, and other risk elements shall be analyzed for their impact on the project. A scoring or ranking scheme shall be developed to quantify potential impacts. Data shall be presented in a probability/impact chart or other suitable format.

3.2.2.4 Project Management Plan

The proposal shall contain a detailed management plan for the project based upon the following minimum requirements:

Work Breakdown Structure (WBS) – Divide the project requirements into tasks and work packages.

Hierarchically organize the project work down to the work package level. A table or chart format is preferred.

Project Schedule – Sequence the project activities, identify and estimate resource requirements and activity durations. Identify the critical path. Present the project schedule as a bar, or Gantt-style chart, including activity relationships (i.e., dependencies). Provide a milestone chart for the project illustrating key activities and their expected completion time in weeks from project start. Include intermediate progress reviews, demonstrations or tests, and periodic reporting activities in the schedule. All project deliverables shall be clearly indicated on the project schedule.

Mobilization Plan – In the context of the project schedule, describe the plan to acquire and deploy the necessary resources, including personnel, facilities, equipment, and other resources (e.g., Government-furnished equipment), deemed necessary for project execution.

Organization Chart – Deliver an organization chart for the project illustrating resource roles and reporting relationships. Include all Offeror organizations. Clearly highlight organizations that are participating in cost sharing activities. Identify the type of business (large, small, disadvantaged, or educational) for each

Offeror organization.

Subcontracts/Teaming/Cost-Sharing Management Plan – Identify and describe the Offeror’s plans for subcontracting, teaming, and cost sharing. Clearly identify the roles and responsibilities of all organizations working within the project team, including technical and financial elements.

Testing Plan - Describe the testing requirements, environments and methods needed to assess or demonstrate the suitability of the technology/approach in the transit environment and to demonstrate the success of the proposed project. Cite transit operators or other transit-related organizations, such as transit industry suppliers, that have expressed their willingness to permit and/or support such testing or demonstrations. Letters or statements attesting to an outside organization’s interest or commitment to permit and/or support testing or demonstrations should be included in Volume III.

3.2.3 Capabilities and Experience

Identify and describe the relevant capabilities and experience of key personnel and organizations.

Describe any relevant technological, scientific, transportation, or other industrial or defense capabilities, experience, and resources (or those of its team members) that will serve to demonstrate its ability to successfully conduct the proposed research or technology advancement project. Describe the team member’s (or organization’s) familiarity with or position in the transit community and access to critical resources for the project.

Describe any unique capabilities that the Offeror team possesses that may reduce project risk, may reduce project duration, and/or may improve project financial performance. Describe these capabilities within the context of the objectives of the BAA and the proposed project’s scope of work.

3.3 Volume II: Cost and Pricing Proposal

See Appendix B (Cost & Pricing Proposal Format & Preparation Instructions) for specific requirements for cost and pricing information content and formatting requirements. Cost and pricing Proposals must conform to the requirements in Appendix B and below. This appendix should be submitted as both

.xls/.xlsx (i.e., electronic spreadsheet, such as Excel) and .pdf formats.

3.3.1 General Requirements – AMENDED

Identify each funding source and their contribution to the whole, expressed as a percentage. Include all anticipated sources, including Offeror internal sources, Government funds, and other Offeror organizations.

The cost or pricing portion of the project proposal should contain a cost estimate for the proposed effort to allow for meaningful evaluation and determination of price reasonableness and cost realism. The cost estimate shall account for the entire cost of the project, inclusive of that portion of cost the applicant or other Offerors would bear in any proposed cost sharing arrangement or other investment of resources, as a means of venture sharing, in lieu of a formal cost sharing arrangement. The cost estimate shall be broken down for each year of the proposed work, and by all years combined. At a minimum, the cost estimate shall include the following information:

Labor – A breakdown of direct labor, by WBS index number, identifying the labor categories or individuals and projected hours, and their associated subtotals.

Overhead and/or Fringe – Outline labor overhead and/or fringe rate(s) and base(s), and cumulative effect on labor costs.

Materials, Supplies, and Equipment – Description and estimate the cost of materials, supplies, and equipment, to include the basis of the cost estimate (e.g., historical data, competitive market quotes, and in-house transfers). Specific mention should be made of any highly specialized or costly test equipment or supplies needed to accomplish the project.

Milestones – Provide an .xls/.xlsx electronic spreadsheet (e.g., Excel) that breaks down deliverables by name, acceptance criteria, delivery date, and payment amount.

Travel and transportation – Provide a breakdown of travel and transportation costs.

Subcontracts – Provide a breakdown of individual subcontracts. State the amounts of time of subcontractor and/or consulting services to be devoted to the project, including the cost to be charged to the proposed contract/agreement.

Other Direct Costs – Provide a breakdown of other direct costs (e.g., reproduction, computer time, and consultants).

Miscellaneous – Identification of any other direct or indirect cost elements not identified elsewhere. For each indirect rate (identified here or elsewhere), indicate if the proposed indirect rate and allocation base have been approved by a government audit or cognizant agency for use in proposals, when the rate(s) was/were approved, and the name and telephone number of the cognizant auditor or approving official.

General and Administrative (G&A) – Identify the G&A rate, base, and cost outcome.

Profit or Fee – Profit or fee on contracts awarded under the BAA is subject to negotiation on a case-by-case basis in accordance with RFO Part 16. No fee or profit is paid under a cost-sharing contract (FAR

52.216-12)…