FHWA_Exploratory_Advanced_Research_Program_BAA_2016-DTFH6116R00036.pdf

Title: Exploratory Advanced Research Program 2016

Broad Agency Announcement

DTFH6116R00036

EAR BAA 2016

FEDERAL HIGHWAY ADMINISTRATION

BROAD AGENCY ANNOUNCEMENT

No. DTFH6116R00036

“EXPLORATORY ADVANCED RESEARCH PROGRAM”

August 26, 2016

I. General Information

Contracting Officer: Robin K. Hobbs, FHWA, (202) 366-4004, Primary Robin.Hobbs@dot.gov

Technical POC: David Kuehn, FHWA, (202) 493-3414; David.Kuehn@dot.gov

SUMMARY OF IMPORTANT DATES

The Federal Highway Administration anticipates that the proposal, evaluation and award process for this Broad Agency Announcement will proceed generally in accordance with the following schedule:

BAA Opens (FBO publication) August 26, 2016

Question Period Closes September 26, 2016

Proposals Due 4:00 pm EST October 14, 2016

Anticipated Award Date: Beginning March 2017 through September 2017

PROPOSAL SUBMISSION: Electronic transmissions of the proposal shall be sent to FHWAadvancedresearch@dot.gov and to the Contracting Officer, Robin.Hobbs@dot.gov no later than 4:00 p.m., EST, on October 14, 2016. Proposals received after this date and time will not be considered.

The proposal transmission shall be titled in the following sample format:

Topic #, XYZ University – FHWA EAR BAA 2016

FUNDING NOTE: Funding is available in the total amount of $7M for all awards under this Broad Agency Announcement. FHWA anticipates that five (5) to eight mailto:Robin.Hobbs@dot.gov mailto:David.Kuehn@dot.gov file://FHWHRDWFS001VH.ad.dot.gov/FHRD4/Documents%20and%20Settings/thalkyard/Local%20Settings/Temporary%20Internet%20Files/OLK7B/FHWAadvancedresearch@dot.gov mailto:Robin.Hobbs@dot.gov

(8) contracts or cooperative agreements may be awarded across the three topic areas.

II. Overview

INTRODUCTION: Legislation established the Exploratory Advanced Research (EAR) Program that addresses longer-term, higher risk research and strives to develop partnerships with public and private sector entities.

FHWA identifies and scopes topics through extensive initial-stage investigation and engages national and international experts to assure use of the most recent advances in science and engineering. FHWA is moving forward with three topics that have a strong scientific and technical basis and national importance through the issuance of this BAA.

Award Type

The FHWA may award either contracts or assistance agreements as a result of this BAA.

In consultation with the technical evaluators, the Contracting Officer (CO) will make the determination whether a contract or assistance agreement will be awarded. Three factors affect the decision to award a procurement contract or assistance award, and if an assistance award, a grant or cooperative agreement. The three factors are:

o Legislative authority o Principal purpose o Degree of federal involvement

The authority to enter into assistance agreements for this effort and the costs sharing requirements is found under 23 U.S.C. § 502 - Surface Transportation Research, Development, and Technology, paragraph (b)(3)(C), which states: “The Secretary may carry out research, development, and technology transfer activities related to transportation…by making grants to, or entering into contracts and cooperative agreements.”

Assistance agreements differ from contracts in several key ways:

The primary goal of a procurement contract is to procure goods or services for the use of or to directly benefit the federal awarding agency; the primary goal of an assistance agreement is to further a public purpose.

Procurement contracts allow for the vendor/supplier to make a profit, while assistance agreements are cost-reimbursable agreements in that the only permissible charges are actual costs that are directly related to the project and an amount of indirect costs based on an agreed-upon rate.

Procurement contracts require “deliverables” that the CO/Contracting Officer’s Representative must test and accept; assistance agreements do not include deliverables, but may require other submissions described in the award document.

Although the Government encourages cost sharing for both cooperative agreements and contracts, all applications submitted for cooperative agreement consideration shall include a 20 percent of the total award value or greater non-federal cost share.

PROGRAM SCOPE: This program is intended to spur innovation and focus on higher risk and higher pay-off research. Exploratory Advanced Research bridges basic and applied research. In contrast to basic research, EAR Program funded research projects have a mission-orientation. In contrast to applied research, EAR Program funded research does not pursue a narrowly-defined application or product. Incremental advances and demonstrations or evaluations of existing technologies are not within the scope of this program. In terms of Technology Readiness Levels (TRL), the EAR Program focuses on moving research from TRL 2 or 3 to TRL 5 or 6. More information about Technology Readiness Levels is located at http://www.fhwa.dot.gov/advancedresearch/trl_h.cfm.

Though the overall program scope is intentionally ambitious and broad to address the wide spectrum of topics and objectives that funded investigations will strategically support, this solicitation is intended to address specific technology and knowledge gaps, identified through scanning and convening activities, that will help the FHWA improve highway safety, reduce congestion on the nation’s highways, reduce environmental and health impacts of the nation’s highways and reduce the long term costs and improve the efficiency of the nation’s highways.

OBJECTIVES AND DESCRIPTION: The FHWA is soliciting for proposals under its EAR Program for research projects that could lead to transformational changes and truly revolutionary advances in highway engineering and intermodal surface transportation in the United States. This program shall support scientific investigations and studies to advance the current knowledge and state-of-the-art in the sciences and technologies employed in the planning, design, construction, operation, maintenance and management of the nation’s highways. Strategically, this research will enable and expedite the development of revolutionary approaches, methodologies, and breakthroughs required to drive innovation and greatly improve the efficiency of highway transportation.

The research topics described below are intended to guide potential offerors and are based upon the authorizing legislation, stakeholder input, initial stage investigations and the strategic needs of the FHWA. Through scanning and convening activities over the past year, FHWA engaged a large number of stakeholders from within and outside the traditional highway research community to identify topics of research that promise transformation and possible breakthroughs in highway technology, processes and policies. Topics found to have strong merit in advancing different fields including engineering, hard sciences, as well as social sciences to support national strategic objectives are included in this solicitation.

Given the exploratory and high risk focus of this program, FHWA anticipates that the results of these investigations will not be methods or technologies that will be http://www.fhwa.dot.gov/advancedresearch/trl_h.cfm immediately implementable and will most likely result in highway industry access to new knowledge and concepts that while proven, will require further development before they would be ready for full implementation. FHWA envisions that these results will undergo further development via the other applied research and development programs of the FHWA and others.

In submitting proposals, offerors are reminded that the intent of this program is to fund applied research that, while high risk and perhaps longer term, is undertaken with a specific problem or need in mind. Basic research is not within the scope of this program.

FHWA may make multiple awards for each of the topics described below.

Topic 1: Computation Methods for Analysis of Mobile Device Data

Mobile devices periodically communicate with their respective network providers, the data from which can be used to provide location-based data. Though these data currently are being primarily collected for a wide range of other purposes, they could provide new methods and sources for understand travel behavior and transportation network performance. At the same time the number and variety of mobile devices is increasing.

Data from mobile devices, with extensive coverage and very large sample size, offer a significant opportunity to revolutionize highway research topics such as but not limited to travel behavior analysis, traffic operations, and safety analysis.

The EAR Program in coordination with the Office of Highway Information held a Cell Data Symposium in February 2014. A summary report is located at http://www.fhwa.dot.gov/advancedresearch/pubs/14060/. The report noted scientific and business challenges to the use of mobile data. This research focuses on the scientific challenges such as data mining, fusion of non-standardized data or simulating data to extend comprehensiveness across geographies and populations groups, packing and delivering potentially proprietary data and information in public domain, and to project future behavior.

The objective of this research is to test new, credible, extensible, and reproducible computational data manipulation methods and to point towards expanding derived data for public data purposes on a sustained basis.

The longer-term impact of this research is increase the efficiency and effectiveness of data collection agencies need to analyze travel behavior and system performance at different spatial and temporal scales. The timeliness of the underlying data will improve, as updated data are readily available. So, too, will the accuracy of analysis, since such “big data” yield a rich picture of travel behavior that accounts for trends not well captured by traditional data collection methods.

Proposals should address how novel computational methods can supplement or replace current methods and the production of data that transportation system owners and http://www.fhwa.dot.gov/advancedresearch/pubs/14060/ operators need to make decisions with in areas of travel behavior such as origin destination information by time of day and seasonality effects. For example, agencies plan future investments using tabulation of average weekly, monthly, and annual trip rates and origin-destination matrices by census tract, county, PUMA or any combination from the acquired data assigned to modes of transportation (air, rail, fixed-route public transportation, private vehicle, car share, bicycle, or walk). Agencies also assess system performance across social, economic, and demographic stratifications, which may require expanding the non-probability sample of trips provided in the data acquired to represent all person-travel across the system by modes.

Proposals should be aware of and build on recently funded research such as “Advanced Solutions to Capture Mobility Data: CloudThink and Mobility as a Service” with information located at http://www.its.dot.gov/dma/dma_pubs.htm#sthash.Apu8Mbxd.dpuf and “SmarTrAC: A Smartphone Solution for Context-Aware Travel and Activity Capturing” with information located at http://www.its.dot.gov/dma/dma_pubs.htm#sthash.Apu8Mbxd.dpuf.

Special Capabilities: FHWA anticipates that the research team may include recognized experts in data analytics, mobile communications, policy development, and in transportation engineering topics such as travel modeling, traffic analysis, or safety.

Topic 2: Behavioral Science and Experimental Economics Approaches for Transportation

Experimental economic studies have provided government an understanding of behavior that provides for new and effective policy approaches, for example, changing consumer savings by moving from 401K “opt. in” to “opt. out” programs or changing nutrition through alternative placement of fruits and vegetables in lunch lines.

Behavioral science and experimental economics have the potential to solve a broad array of transportation related issues as well. FHWA has been involved in transportation related behavioral and experimental economics through research, workshops, and pilots.

The EAR Program research project “Behavioral Sciences Approach to Testing, Validating and Establishing Best Practices for Alternative Highway Revenue Collection:

Experiments on Driving Under Uncertain Congestion Conditions and the Effects on Traffic Networks from Congestion Pricing Initiatives” examined the degree to which different factors, such as risk attitudes, risk perception, and others, affect route selection behaviors. A fact sheet on the project is located at http://www.fhwa.dot.gov/advancedresearch/pubs/congestion/index.cfm. The FHWA Active Transportation and Demand Management (ATDM) Program funded research such as the Congestion and Parking Relief Incentives (CAPRI) project at Stanford University, examining the behavioral potential of providing commuters with games and minimal financial rewards to incentivize off-peak travel, carpooling and transit.

http://www.its.dot.gov/dma/dma_pubs.htm#sthash.Apu8Mbxd.dpuf http://www.its.dot.gov/dma/dma_pubs.htm#sthash.Apu8Mbxd.dpuf http://www.fhwa.dot.gov/advancedresearch/pubs/congestion/index.cfm

For this topic FHWA is interested in research that could demonstrate the potential for responding to national challenges based on evidence from behavioral economics studies.

Below as illustrations are descriptions of three priority challenges. FHWA welcomes proposals that address these issues. FHWA also is interested in other concepts that could result in substantial national improvements in safety, system operations, or environmental behavior.

A. Testing Methods to Reduce Distraction from Hand-Held or Mobile Devices

The tools of behavioral economics and cognitive psychology have recently evolved to answer paradoxes which were not addressed well by the economic model of ‘rational’ actors particularly with respect to understanding the human reaction to risk. Behavioral economics hypothesizes that to navigate the complexity of daily decisions humans routinely utilize simple, efficient rules based on recent information. In transportation, framing examples include an individual’s texting while driving because they successfully completed the “text and drive” task on their last trip.

Several examples from previous behavioral economics research show the potential for this new research to obtain a high payoff in measurably reducing distraction among drivers, train or bus operators, or pedestrians. As an example of behavioral research obtaining a safety behavior goal, researchers at the University of California, Berkeley, showed that the major determinant for pedestrian cross-walk use is seeing others use the cross-walk, as opposed to providing information on the risks of jay-walking.

Proposals responding to this topic could use a behavioral economic framework to discover, test, adapt and develop public policy ‘nudges’ to reduce distracted use of cellular technology. New research could apply behavioral models to explain why mobile devices encourage distraction among drivers, vehicle operators, cyclists, or pedestrians. The research then could provide evidence-based methods for reducing distraction associated with mobile devices and assist policy makers to make deployment decisions concerning, for example, cellular based distracted driving countermeasures.

Researchers should be familiar with and address testing protocols from NHTSA studies of distracted driving. The research should build on NHTSA’s distracted driving research located at http://www.nhtsa.gov/Research/Crash+Avoidance/Distraction.

B. Platooning, Cooperative Adaptive Cruise Control or other Connected Vehicle Applications

With the emergence of increased automation and connectivity in vehicles, there are a number of applications system operators and manufacturers are working to improve safety, mobility, reliability, and energy use in transportation. Connected vehicle application laboratory and field experiments often include human factors analysis, understanding, and usability of new systems. An example is located at http://www.fhwa.dot.gov/advancedresearch/pubs/16044/index.cfm. These methods, however, provide limited information on scalability, broad acceptance, and possible unintended or misuses that would have system level impacts. The application of http://www.nhtsa.gov/Research/Crash+Avoidance/Distraction http://www.fhwa.dot.gov/advancedresearch/pubs/16044/index.cfm behavioral and economic sciences could provide agencies with fundamental information on behavior for different segments of travelers that could support improved predictive analysis used in investment and operational decisions.

C. Augmenting Predictive Models for Managed Lanes Operations

There is considerable existing empirical engineering research and deployment data on the use of managed lanes. Examples are located at http://ops.fhwa.dot.gov/freewaymgmt/managed_lanes.htm. The application of behavioral and economic sciences could provide agencies with fundamental information on strategic and tactical behavior for different segments of travelers that could support improved predictive analysis used in investment and operational decisions.

Note: FHWA anticipates that the research on this topic would proceed in three phases.

• In the initial phase, researchers would prepare a proof of concept based on limited or scaled down testing and a detailed approach for a large scale experimental design.

• Following review from an expert panel and approval of the full experimental design by the government, the researchers would move to a second phase, conducting the experiments, and preparing reports on the results.

• Following successful completion of the second phase, the researchers in coordination with the government and other stakeholders would develop a detailed transition plan to assist with further development based on the phase two results. This third phase would be optional depending on both the quality and the level of importance to the government in the results.

Note: Testing the behavioral nudge or insight will require access to a pool of participants. Proposals should consider requirements of and access to Institutional Review Boards. Proposals should describe the process for the pool from which they will draw participants and how chosen participants would enhance the behavioral experiment. Proposals also should recognize and account for Office of Management and Budget (OMB) review and clearance of the burden associated with human subject research under the Paperwork Reduction Act (https://www.opm.gov/about-us/open-government/digital-government-strategy/fitara/paperwork-reduction-act-guide.pdf).

Special capabilities: FHWA expects that research on this topic will require a strong team experienced with experimental economics (or related fields, such as cognitive psychology) and access to a research facility with a proven track record in the field of behavioral and experimental economics. Researchers are encouraged to partner with State Departments of Transportation or other system owners or operators to enable experiments.

http://ops.fhwa.dot.gov/freewaymgmt/managed_lanes.htm https://www.opm.gov/about-us/open-government/digital-government-strategy/fitara/paperwork-reduction-act-guide.pdf https://www.opm.gov/about-us/open-government/digital-government-strategy/fitara/paperwork-reduction-act-guide.pdf

Topic 3: New Methods in Simulation

FHWA has identified advances in simulation from online gaming, military training, and aviation training that could enhance and provide new capabilities for studying human traffic behavior. Advances include methods for federated simulation bringing together different simulators and different types of simulators in a virtual environment. Advances from training applications have the potential to provide new tools for research in safety, operations, travel behavior and other highway transportation areas of study.

Connected simulation could provide new methods for studying interactions between vehicle drivers and between drivers and non-motorized travelers as well as methods for safely assessing the introduction of new connected and automated technologies. This could include but is not limited to examples where an experiment includes

• More than one driving simulator to test the interaction among drivers in a platoon,

• A driving simulator and a simulated pedestrian environment or a driving simulator and a rail simulator to test interaction between different modes of travel,

• A field operational test vehicle and a traffic simulator or hardware simulator to test human-in-the-loop or hardware-in-the-loop concepts and systems, or

• Multiple low-fidelity simulations (for example in an online gaming platform) to research large scale group interactions or test the potential use of software defined environments that provide flexibility and extensibility using existing hardware.

Advances in virtual reality and augmented reality have the potential to supplement traditional technology in high fidelity simulators or field test vehicles enhancing the flexibility and realism of experiments and allowing for experiments of novel connected vehicle or modal concepts and applications. Advances in virtual reality also have the potential to provide experimenters with new insights from the visualization of and connection across complex computational simulations. Advances in virtual reality and augmented reality have the potential to make connected simulation more powerful, flexible, and responsive.

Special Note: FHWA anticipates that researchers may want to conduct part of the research taking advantage of expertise, facilities, and equipment located at the Saxton Transportation Operations Laboratory or the Human Factors Laboratory at the Turner Fairbank Highway Research Center in McLean, Virginia. For more information, see http://www.fhwa.dot.gov/research/tfhrc/labs/operations/ and http://www.fhwa.dot.gov/research/tfhrc/labs/humanfactors/. Research Teams may contact http://www.fhwa.dot.gov/research/tfhrc/labs/operations/ http://www.fhwa.dot.gov/research/tfhrc/labs/humanfactors/ the Federal laboratory manager to discuss possible access to laboratory facilities that could be included in a proposal. Discussions with and inclusion of research conducted at the Saxton Transportation Operations Laboratory or Human Factors Laboratory does not guarantee acceptance of the proposal. Proposals will be reviewed by an independent expert panel. See below for more information about the review criteria. Proposals that include experiments at TFHRC do not need to include FHWA associated costs, which will be funded separately.

Note: Testing the behavioral nudge or insight will require access to a pool of participants. Proposals should consider requirements of and access to Institutional Review Boards. Proposals should describe the process for the pool from which they will draw participants and how chosen participants would enhance the behavioral experiment. Proposals also should recognize and account for Office of Management and Budget (OMB) review and clearance of the burden associated with human subject research under the Paperwork Reduction Act (https://www.opm.gov/about-us/open-government/digital-government-strategy/fitara/paperwork-reduction-act-guide.pdf.)

Note: FHWA anticipates that the research on this topic would be phased as follows:

• In the initial phase, researchers would prepare framework and options for a proof of concept design.

• Following review from an expert panel and approval of the framework and proof of concept design by the government, the researchers would move to a second phase, conducting the proof of concept experiments, and preparing reports on the results.

Special capabilities: This research will require a strong team experienced with simulation, networking, and computer science as well as transportation engineering topics such as traffic safety, operations, or travel demand modeling. Candidates are encouraged to partner with asset owners to leverage existing experimental and pilot deployment resources for connected vehicles. For example, more information about Connected Vehicle Pilot Deployments is located at http://www.its.dot.gov/pilots/index.htm.

Note: Future Topic Areas

FHWA continues to investigate other research areas for potential breakthrough opportunities. FHWA welcomes questions or thoughts about opportunities and other areas of focus that could lead to transformation changes in highway research. At this time, however, FHWA has not identified other focus areas or topics for funding under the EAR Program. For further information about the EAR Program, please see http://www.fhwa.dot.gov/advancedresearch/contacts.cfm.

http://www.its.dot.gov/pilots/index.htm http://www.fhwa.dot.gov/advancedresearch/contacts.cfm

III. INSTRUCTIONS FOR SUBMISSION OF PROPOSALS:

ADMINISTRATIVE INFORMATION: Offerors are required to follow the guidance contained herein. The following sections provide information on proposal format, the submission process, evaluation and funding processes, and other general information.

Proposals not meeting the format described in this BAA will not be reviewed.

All administrative correspondence or questions on this BAA should be directed to the Contracting Officer at the following email address: Robin.Hobbs@dot.gov.

FHWA will provide responses to questions received through the September 26, 2016 cut-off date. FHWA may not respond to questions received after the cut-off date.

IV. EVALUATION CRITERIA: Evaluations will be performed using the following criteria:

A. Scientific and Technical Merit: Overall scientific and technical merit of the proposal, including the potential to result in increased understanding/knowledge in the field of highway research. Overall capabilities, including the qualifications, capabilities, and experience of the proposed principal investigator, team leader, and key personnel who are critical in achieving the proposal objective; the offeror's qualifications, capabilities, and experience in related technical areas; and the offeror's facilities and demonstrated ability for achieving the proposal objectives; overall capability to manage the effort, including plans to objectively measure the value and impact of the research and ensure value whether the inquiry leads or does not lead to anticipated results; and the offeror’s demonstrated ability to transfer or hand-off results within and across scientific and engineering communities may be considered as part of scientific and technical merit.

B. Importance to Agency Programs in providing foundational research that would promote research investment in applying technology, process improvements or policy solutions that could lead to significant innovations in the highway system. Significant partnering is an essential aspect of the EAR program. Within the EAR Program, successful research teams often include entities or researchers who traditionally have not been involved in transportation research partnering with entities or researchers who have. The degree to which the proposal develops partnerships with public and private sector entities may be considered under importance to Agency programs.

C. Fund Availability: FHWA will consider the availability of funding for awards selected under the BAA. Cost realism and reasonableness shall also be considered to the extent appropriate.

mailto:Robin.Hobbs@dot.gov

D. Past Performance: Past performance will be evaluated on a “Pass/Fail” basis for the purposes of making a determination of acceptable or unacceptable risk and responsibility.

E. Small Business Subcontracting Plan: The Small Business Subcontracting Plan (required by all Offerors who are other than small business entities) will be evaluated on a “Pass/Fail” basis.

NOTE: The Small Business Subcontracting Plan is required for other than small businesses with proposals over $700,000 only.

The number of awards, and their dollar value, will vary depending on the merit of proposals received.

V. GENERAL INFORMATION REGARDING THE PROPOSAL PROCESS

Proposals will be evaluated by FHWA against the evaluation criteria outlined above. The FHWA may make more than one award or no award for each of the topics listed in the

BAA.

Offerors may submit more than one proposal; however each one must be in response to a single topic on the BAA. The topic of the proposal must be clearly identified in the proposal title on the cover page.

It will be of added value for the proposing organization's management to demonstrate flexibility in support of this approach. Examples of support are strong internal backing with matching funds, innovative approaches in contracting and leveraging current and past technology development efforts that support this program.

Awards under this program may be subject to the requirements of Section 508 of the Rehabilitation Act, depending on the type of final products or reports to be delivered under each award. The Act requires that all electronic products prepared for the Federal Government be accessible to persons with disabilities, including those with vision, hearing, cognitive, and mobility impairments. Proposers can view Section 508 of the Rehabilitation Act (http://www.access-board.gov/508.htm) and the Federal IT Accessibility Initiative (Home Page) (http://section508.gov/) for detailed information.

The Paperwork Reduction Act of 1995 (PRA): Offerors are advised that any activities involving information collection (i.e., surveys, questionnaires, etc.) from 10 or more non- Federal entities, including States, are subject to PRA requirements and may require the FHWA to coordinate an OMB Information Collection Clearance, a process that generally takes six months or more.

VI. PROPOSAL FORMAT AND CONTENT

Format

All proposals should be submitted in Microsoft® Word 2010 (compatible) or text searchable Adobe® Portable Document Format (PDF). Pricing data shall be submitted in Microsoft Excel 2010 (compatible).

The format of the proposal volumes discussed below shall be as follows:

(a) Proposals shall be prepared on 8½ x 11 inch paper.

(b) A page is defined as one side of an 8 ½ by 11 inch sheet of paper. Therefore, a sheet with printing on both sides is considered two pages.

(c) Text shall be printed using a Times New Roman or Arial font, size no less than 12 point font.

(d) Page margins (exclusive of headers and footers) shall be a minimum of 1inch top, bottom and each side. Columns shall not be used as they are difficult to read electronically.

(e) Footnotes, legends, or labels associated with tables or diagrams, and other information that is ancillary to the main text, may be presented in a font size smaller than 12 point font---provided that any such smaller font is fully legible.

Proposals shall consist of two separate volumes:

Volume I – Technical Proposal and Management Approach Volume II – Cost Proposal and Business Information

Each Volume shall be titled according to the sample format below:

Topic #, XYZ University – FHWA EAR BAA 2016 – VOLUME I Topic #, XYZ University – FHWA EAR BAA 2016 – VOLUME II

The proposals shall be prepared in the following format: 8.5 x 11 inches, one and one-half line spacing or double spaced, in at least 12-point type.

Volume I

Volume I must be no longer than 30 pages in length. The contents of any appendices shall count against the 30-page limit and shall be limited to figures that directly support items discussed in the text of the proposal. If items are included in an appendix, which is not explicitly discussed, in the basic proposal, the proposal may not be reviewed.

Proposals with Volume I in excess of 30 pages may not be reviewed. Proposals with less than the maximum number of allowed pages will not be penalized. Offerors are encouraged to submit concise, but descriptive, proposals.

Volume I of the proposal shall include the following sections, each starting on a new page (an estimated page breakdown is included):

(a) Cover Page: This must include (1) the BAA number, (2) proposal title, (3) project duration, (4) type of business (large business, small disadvantaged business, other small business, HBCU or MI, other educational, or other nonprofit), (5) complete list of subcontractors, (6) technical and administrative points of contact including addresses, telephone numbers, electronic mail addresses, and facsimile machine numbers and (7) a project abstract of no more than 200 words. The cover page does not count against the page limit for Volume I.

(b) Executive Summary: The summary (approximately 4 pages) should include:

(1) a description of the proposed visionary technology or system and how the proposed effort will meet the objectives of the BAA,

(2) a description of the significant innovative ideas proposed for the nation’s intermodal transportation systems,

(3) a comparison of these innovative ideas with current approaches and the current state of the art,

(4) the expected impact of the research if successful including the contribution and relevance of this proposed effort to related FHWA and highway programs,

(5) a brief description of the technical approach and the key technology and system development milestones for proof of concept

(6) the process and metrics recommended for measuring the impact of the developed technologies and system, and

(7) a summary of the anticipated program deliverables.

(c) Innovative Claims (optional): Provide a summary of significant innovative technical claims (approximately 2 pages). Identify any innovative technologies and technical ideas to be pursued and the expected impact on the state of the art if the proposed efforts are successful.

(d) Statement of Work (SOW): This section (approximately 6 pages) must detail the relevant background information, the objective(s) of the proposed effort, the overall planned scope of the effort, and the technical approach for accomplishing the proposed effort. A chart of the proposed Work Breakdown Schedule (WBS) must be provided to describe both the high level tasks and the subtasks at a level of detail sufficient to ensure that individual subtasks are clearly identified and allocated to a single project group or functional group within the proposing organization or to a single clearly identified subcontractor. For each task and subtask, provide a description of the proposed effort, significant timing constraints associated with the specific task and subtask to be performed (such as, "this task y can only be initiated after successful completion of task x"), the anticipated duration in both calendar time (weeks) and in resource time (person-hours and person-weeks), the planned specific utilization of personnel from specific project groups, functional groups and subcontractors, and also the anticipated results, products, or deliverables associated with the completion of each tasks and subtasks.

(e) Schedule, Milestones, and Evaluation Metrics: This section must provide a summary (approximately 3 pages) of the schedule, milestones, and associated evaluation metrics for the proposed effort. A Plan of Action and Milestones (POA&M) format will be utilized in which the technical tasks and subtasks from the SOW, described in section (d) above, will be listed along the vertical axis of the schedule chart and time, with planned program phases (in 12 month increments), calendar year and fiscal year identified along the horizontal axis of the schedule chart. All significant experiments, simulations, lab demonstrations and field demonstrations to be performed should be identified. Each milestone on the chart(s) will be numbered. There will be a separate table listing each of these milestones, the planned date of completion, the planned evaluation metrics, and the criteria for successful completion of the milestone. This table must be specific, with both goal and specific quantified performance criteria (or range of anticipated performance) described for each planned milestone.

This section must also provide a summary description of any Measures of Effectiveness expressions planned to be utilized in this development effort. A descriptor of the proposed approach to designing experiments, simulations and demonstrations to ensure consistent and effective software/system development and associated test planning should be provided if appropriate. Techniques or methodologies to facilitate repeatable, risk mitigation experimentation in all phases of the proposed development effort should be described.

This section also must describe the two or three most challenging technical areas and activities related to the proposed research or technology development and indicate approaches for mitigating technical and schedule risk should proposed technologies produce weaker than anticipated results. This section also may describe any parallel or alternative development approaches or technologies, and the rationale for their use.

Please indicate the potential impact of these alternatives on the performance goals and objectives described for the topic in the BAA

(f) Deliverables and Products: This section (approximately 2 pages) must consist of two subsections: Deliverables and Products. The deliverables subsection must describe and enumerate the anticipated deliverables for the proposed effort, both preliminary and final.

The products subsection must describe and enumerate any additional anticipated results or products, including transferable technology expected for users on this program or for developers or users on related programs. This section should address specific innovative approaches the offeror will take to facilitate technology transition. This subsection should contain a clear description of how results will be made sharable to other funded highway research programs and what use these results might be to these other activities. Any restrictions on software, other data, or hardware developed under proposals that would affect this practice should be clearly identified in this section. The government expects to obtain no less than Government Purpose License Rights to all software delivered as a part of these funded efforts. All software deliveries, preliminary and final, will include as a minimum, well-documented source code in electronic readable format, overall software architecture documentation, overall and individual module interface documentation, and a users’ operations manual. All hardware deliveries will include all documentation necessary to reproduce (assemble) and operate the delivered hardware system(s).

Note: FHWA seeks research that encourages continued research and development by providing reasonable and broad access to products such as models, algorithms, software, or data.

(g) Proprietary Claims: This section (approximately 1 page) must provide a summary of any proprietary claims to results, software, hardware, prototypes, or systems supporting and/or necessary for the use of the research, results, software, hardware, prototype, or system proposed for development under this BAA. Any claims made in other parts of the proposal, such as in sections (c) and (f) above, which would impact the claims in this section must be identified in a cross-reference table in this section. As mentioned in section (f) above, the government expects to obtain no less than Government Purpose License Rights to all software delivered as a part of these funded efforts. If there are no proprietary claims this section shall consist of a statement to that effect.

Note: Exploratory advanced research can lead to unexpected inventions and processes.

Accordingly, FHWA may ask for disclosure of inventions and new processes that result from Program awards in order to discuss and advise the research team on how the results could continue through the research and development process and be taken up by the highway transportation industry or by other industries.

(h) Management Plan: This section (approximately 2 pages) must describe the overall approach to management of this effort, including a brief discussion of the proposed organization and the use of personnel and other resources. Provide a description of how the proposed effort, as described in the Work Breakdown Structure (WBS), will be executed. Refer to significant tasks and subtasks identified in the SOW (section (d) above) and to the Schedule, Milestones, and Evaluation Metrics (section (e) above) and provide a rationale for allocation of resources to proposed project groups, functional groups, and subcontractors. Indicate planned government research and facility interfaces, and planning, scheduling and control practices. This section should also describe the partnership structure between the entity proposing work and other public and private sector entities funding or otherwise substantially participating in the work, including State Departments of Transportation, Metropolitan Planning Organizations, Universities, Foundations, etc.

Note: The Management Plan and Technology Transfer plan (section (i), next) should provide discussion on how FHWA will know the work is successful. Project evaluations will be conducted at key mid-point milestones or at completion to document accomplishments.

(i) Technology Transition Plan: The technology transition plan (approximately 2 pages) should describe the plans and capabilities to accomplish technology transition. It should describe the anticipated stage of development of the technology at the completion of the proposed effort, describing how the research is anticipated to result in an increased understanding/expansion of the knowledge base for the topic, and the anticipated overall approach to advancing the technology further, either through further applied research, commercialization other mechanisms.

The transition plan should include a discussion of long-term use of and access to data or software developed as part of the research and approaches for exploiting the use of intellectual property developed through licensing or other means.

Note: For Proposals that result in awards, FHWA intends the transition plan to be a living document during the conduct of research.

(j) Facilities: This section should include a description (approximately 2 pages) of the facilities that would be used for the proposed effort.

(k) Experience: This section should include a description (approximately 2 pages) of relevant capabilities, work, and significant accomplishments in areas associated with proposed research area or in closely related areas. Associate the described relevant experience to the specific project group or functional group in the proposing organization or to the specific proposed subcontractor(s).

(l) Key Personnel: This section should include a list of key personnel (approximately 1 page), with title and identification of association to a specific project or functional group within the proposing organization or to a specific proposed subcontractor. Indicate the proposed amount of effort (person-hours) to be expended by each person during the proposed program (by both calendar year and by fiscal year). Resumes shall be provided for all key personnel. Resumes shall not exceed one page, and are not included in the total page limitation for this part of the proposal.

(m) Qualifications: This section should include a concise summary of the relevant qualifications of all key personnel proposed along with other major sources of support for them (limited to no more than one page per key person). If necessary, the government will request additional resume and qualification related information. Note: This section is not included in the page limit.

(n) Other Proposals: This section must include a summary list of all current and pending proposals (approximately 2 pages) being executed or proposed to be executed with the support of personnel proposed in this effort. This list should be ordered by the size of the effort and should include start and end dates, total project cost, and the average amount of time (person-hours per month) planned or currently being expended on each effort. The list should be organized by names of the key personnel and other significant senior personnel. If the summary list is greater than 2 pages long, indicate at the bottom of the second page the number of additional current and pending proposals and the total project cost associated with these remaining efforts. If required, a request for the complete list will be made.

(o) Bibliography: This section should include a bibliography (approximately 1 page) of relevant technical papers and research notes which support the technical concepts and innovative ideas described in this proposal.

Volume II

Volume II of the proposal shall be limited to a maximum of 12 pages not including the Cover Page. If necessary, the government will request additional cost back-up information, as appropriate. Offerors may propose using any of the pricing methods (Cost Reimbursable or Time & Materials) outlined below

All offerors shall include in the proposal the following mandatory business information regarding your business or institution:

a. Business Size

b. Federal Tax Identification Number (TIN)

c. Dun & Bradstreet Number

d. Name and contact information (mail address, telephone, and email address) of your authorized business representative/point of contact

Volume II – Business and Cost/Price (Parts I-VI) consist of the following:

Part A – Cost/Price Information Part B – Other Financial/Organizational Information Part C – Subcontracting Plan (not included for assistance agreement) Part D – Past Performance – Not to exceed four pages.

A. Cost/Price Information

Volume II information shall include annual and total costs with a baseline period of performance up to 12 months, and if needed, with one or more options, each no longer than 12 months.

A.1 Funding

The total amount of federal funding (federal share) that is available for awards under this BAA is $7 million.

IMPORTANT: For procurement contract awards, offerors shall propose using one of the pricing structures in the directions below. Please note that for cost type contracts, offerors must have an acceptable accounting system for cost type Government contracts.

Offerors without an approved accounting system should consider submitting a Time and Material cost proposal.

B.1 Cost Reimbursable Proposal

A detailed cost break-down showing costs by each major cost category, including (as applicable) direct labor, fringe benefits, subcontract costs, other direct costs (travel, equipment, etc.), and indirect costs for the initial phase of the proposed effort.

Provide a separate and fully detailed cost breakdown for each optional future phase proposed.

NOTE: Some application areas anticipate successful results in an initial phase before moving into one or more subsequent phases. In these cases, proposals shall include a fully detailed cost breakdown for the initial phase. Where the approach of subsequent phases is dependent on the work of the initial phase, proposers should use their best judgment regarding the levels of direct and indirect costs and categories of personnel.

The FHWA anticipates that proposals funded would have an approximate award date beginning in March 2017 through September 2017.

The cost detail shall include:

Direct Labor:

o Personnel by name or labor category o Number of hours proposed (commercial organizations) or percent of effort (organizations subject to OMB Circulars) o Hourly unburdened labor rate (commercial organizations) or salary rate and basis (9- or 12-month basis) (organizations subject to OMB Circulars) o Fringe Benefits Rates applied o Profit/Fee percentage and amount

Other Direct Costs. Other Direct Costs shall be supported by explanation of estimating factors and other relevant supporting details. For example, travel costs shall be supported by detail on the estimated trips, number of travelers, and associated costs for airfare, per diem, other transportation, etc. A similar level of detail shall be provided for any meeting costs, equipment, duplication/printing charges, and other direct costs.

Indirect Costs. Discuss your proposed rates for all years. Identify the various specific indirect rates and what they are based on (e.g., labor overhead based on direct labor dollars) and how they are applied/calculated. State any differing rate applications (for example if there is a different proposed rate when applied to travel or material purchases than when applied to subcontractor costs). Offerors must provide dollar values as well as percentages.

Subcontractor costs should be fully detailed, and the information used by the proposer to analyze the price of the subcontract shall be provided. An SF1411 is not required for this submission of your proposal.

Details of any cost sharing to be undertaken by the offeror shall also be included in the cost section. Describe the type of funds (cash, in-kind, etc.) and its contribution and relationship in enhancing the proposed effort.

Volume II must also include a separate breakdown of costs by major task area. Use the same task or subtask numbers as described in the SOW submitted as part of your Technical proposal in Volume I.

If necessary, the government will request additional cost back-up information, as appropriate.

B.2 Time & Material Proposal

Provide a separate and fully detailed cost breakdown for each optional future phase proposed.

NOTE: Some application areas anticipate successful results in an initial phase before moving into one or more subsequent phases. In these cases, proposals shall include a fully detailed cost breakdown for the initial phase. Where the approach of subsequent phases is dependent on the work of the initial phase, proposers should use their best judgment regarding the levels of direct and indirect costs and categories of personnel.

The price proposal detail shall include:

o Labor categories, their descriptions, and fully burdened hourly rates.

o…