SBIR_13_2.pdf

DTRT57-13-R-SBIR2

FY13.2

PROGRAM SOLICITATION

Small Business Innovation Research (SBIR) Program

NAICS CODE: 541712

Issue Date: July 25, 2013

Closing Date: September 23, 2013

Small Business Innovation Research (SBIR) Program Office, RVT-91 U.S. Department of Transportation (USDOT) Research and Innovative Technology Administration (RITA) John A. Volpe National Transportation Systems Center (Volpe Center) 55 Broadway Cambridge, MA 02142-1093

USDOT SOLICITATION FOR SMALL BUSINESS INNOVATION RESEARCH PROGRAM

TECHNICAL QUESTIONS

Technical questions pertaining to the FY13.2 USDOT SBIR solicitation research topics must be submitted to the USDOT SBIR Program Office Point of Contact, Linda Duck, Linda.Duck@dot.gov. All questions must be submitted by email.

Please note technical questions will be accepted through September 16, 2013. Questions received after September 16, 2013 but before the solicitation close date and time, may not be answered before the solicitation closes. The USDOT SBIR Program Office will submit all technical questions to the research topic authors for response. Answers will be posted in the Current

Solicitation section of the USDOT SBIR Program website:

http://www.volpe.dot.gov/sbir/current.html.

mailto:Linda.Duck@dot.gov http://www.volpe.dot.gov/sbir/current.html i

CONTENTS

I. PROGRAM DESCRIPTION

A. Introduction

B. Three Phase Program

C. Eligibility

D. Contact Information

E. Definitions

F. Report SBIR Fraud, Waste and Abuse

G. Other Information

II. CERTIFICATIONS

III. PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

A. Overview

B. Proposal Submission Requirements

C. Other Proposal Information

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

IV. METHOD OF SELECTION AND EVALUATION CRITERIA

A. General

B. Evaluation Criteria

C. Prescreening

D. Schedule

E. USDOT Technical Evaluation Process

F. Selection of Awardees

G. Time to Award Requirements

H. Debriefing Requests

V. CONSIDERATIONS

A. Awards

B. Reports

C. Payment Schedule

D. Innovations, Inventions, and Patents ii

E. Cost Sharing

F. Profit or Fee

G. Joint Ventures or Limited Partnerships

H. Research and Analytical Work

I. Awardee Commitments

J. Summary Statements

K. SBIR Program Contractor Requirements

L. Corrective Actions

M. Additional Information

VI. SUBMISSION OF PROPOSALS

A. Closing Date

B. Submission Details

C. Submission Address

VII. SCIENTIFIC AND TECHNICAL INFORMATION SOURCES

VIII. SUBMISSION FORMS AND CERTIFICATION (Appendices)

A. PROPOSAL COVER SHEET (Appendix A)

B. PROJECT SUMMARY (Appendix B)

C. CONTRACT PRICING PROPOSAL (Appendix C)

D. SBIR FUNDING AGREEMENT CERTIFICATION (Appendix D)

E. PROPOSAL CHECKLIST (Appendix E)

IX. RESEARCH TOPICS

A. Federal Highway Administration (FHWA)

B. Federal Motor Carrier Safety Administration (FMCSA)

C. Pipeline and Hazardous Material Safety Administration (PHMSA)

I. PROGRAM DESCRIPTION

A. Introduction

The U.S. Department of Transportation (USDOT) invites small businesses to participate in the USDOT’s Small Business Innovation Research (SBIR) program. The purpose of this solicitation is to invite small businesses with their valuable resources and creative capabilities to submit innovative research proposals that address high priority requirements of the USDOT as described in Section IX herein. Under the SBIR Program, the USDOT will not accept unsolicited proposals.

The goals and objectives of the SBIR Program are:

• Stimulate technological innovation;

• Meet Federal research and development needs;

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

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

The SBIR Program encourages small businesses to engage in research or research and development (R/R&D) that has the potential for commercialization and meets Federal research or research and development objectives. The SBIR program was established by the Small Business Innovation Development Act of 1982 (P.L. 97-219). In 1986, under Public Law 99-443, the SBIR program was extended until October 1, 1993. The Small Business R&D Enhancement Act of 1992 (P.L.

102-564), repealed the SBIR Program under the Small Business Innovation Development Act of 1982 and extended the SBIR Program under the Small Business Act through September 30, 2000.

The Small Business Reauthorization Act of 2000 (P.L. 106-554) extended the SBIR Program through September 30, 2008. After a series of continuing resolutions, the SBIR/Small Business Technical Transfer (STTR) Reauthorization Act of 2011 under Public Law 112-81, Section E extended the SBIR Program through September 30, 2017.

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

B. Three Phase Program

The USDOT SBIR Program is generally a three phase process.

http://www.sba.gov/about-sba-info/174308

THIS SOLICITATION IS FOR PHASE I PROPOSALS ONLY.

Phase I. Phase I provides support for the conduct of feasibility-related experimental or theoretical research or R/R&D efforts on research topics as described herein. The dollar value of the proposal may be up to $150,000 unless otherwise noted and is subject to the availability of funding. The period of performance is six months. The award will be a firm fixed price type contract. The basis for award is the scientific and technical merit of the proposal and its relevance to USDOT requirements and current research priorities. Only USDOT SBIR Phase I awardees will be eligible to submit a Phase II proposal.

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

Funding of a Phase II is based upon the results of Phase I and the scientific and technical merit and commercial potential of the Phase II proposal. Commercial potential includes the potential to transition the technology to private sector applications, Government applications, or Government contractor applications.

Phase II proposals may be funded up to $1,000,000 (except where a lower ceiling is specifically identified) and have a period of performance of up to 24 months. The Government is not obligated to fund any specific Phase II proposal.

Effective October 1, 2012, all USDOT SBIR Phase I awardees are eligible to submit a Phase II proposal. Federal SBIR agencies may no longer use an invitation, pre-screening, or pre-selection process for determining eligibility for a Phase II award. The USDOT will only review Phase II proposals when funding is available. Further information on the status of funding availability and the Phase II proposal process will be made available to Phase I awardees from the SBIR Program Office and Contracting Officer.

Sequential Phase II Awards. A Phase II awardee may receive one additional, sequential Phase II award to continue the work of an initial Phase II award. These awards will be referred to as Phase IIB awards, are by invitation only, and can be funded up to $1,000,000. The intent of the Phase IIB award is to advance and/or accelerate Phase II SBIR funded technologies towards commercialization.

Phase III. SBIR Phase III refers to work that derives from, extends, or logically concludes effort(s) performed under a USDOT or another Department’s Phase I and/or Phase II funding agreement.

Phase III is funded by sources other than the set-aside funds dedicated to the SBIR Program. Phase III work is typically oriented towards commercialization of SBIR research or technology and may be for products, production, services, R/R&D or a combination thereof. Each of the following types of activities constitutes SBIR Phase III work:

• Commercial application of SBIR-funded R/R&D financed by non-Federal sources of capital. (Note: this pertains to any non-SBIR Federally-funded work described in the following bullets.)

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

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

A Phase III award is by its nature an SBIR award and must be accorded SBIR data rights. The requirements of the Federal Property and Administrative Services Act of 1949, [as amended through P.L. 106–580, Dec. 29, 2000] and the Competition in Contracting Act are satisfied by the competition of the Phase I award. There is no limit on the number, duration, type, or dollar value of Phase III awards made to a small business concern. The small business size limits for Phase I, Phase II and Phase IIB awards do not apply to Phase III awards.

C. Eligibility

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

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

Each small business concern submitting a proposal must qualify as a small business at the time of award of Phase I, Phase II and IIB contracts (see Section I. E.). In addition, the primary employment of the principal investigator must be with the small business firm at the time of contract award and during the conduct of the proposed research. Primary employment means that more than one-half of the principal investigator's time is spent with the small business.

Additionally, for Phase I, Phase II and IIB, the R/R&D work must be performed in the United States. "United States" means the 50 states, the Territories and possessions of the United States, the http://www.sbir.gov/sites/default/files/2012-30809.pdf http://sbir.gov/sites/default/files/elig_size_compliance_guide.pdf

Commonwealth of Puerto Rico, and the Commonwealth of the Northern Mariana Islands, the Trust Territory of the Pacific Islands, and the District of Columbia.

Phase I to Phase II Transition Benchmark. Section 4(a) of the SBIR Policy Directive calls for each Federal agency participating in SBIR to set a Phase I to Phase II transition rate benchmark in response to Section 5165 of the SBIR/STTR Reauthorization Act of 2011. The rate is the minimum required ratio of past Phase II/Phase I awards that an awardee firm must maintain to be eligible for a new Phase I award from a particular agency. On June 23, 2013, the updated USDOT Phase I to Phase II Transition Benchmark was published in the Federal Register for a 60-day public comment period; SBA received no adverse comments. The updated benchmark became effective on July 25, 2013. Any subsequent changes in the agency benchmarks must be approved by the SBA. The benchmarks will apply to those Phase I applicants that have received 20 or more Phase I awards Program-wide. Small businesses can view their transition rate on www.sbir.gov upon completion of registration. When logging in, the Phase I to Phase II transition rate will be displayed in the welcome screen.

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

Effective July 25, 2013, for all USDOT SBIR Program Phase I applicants that have received 20 or more Phase I awards over the 5-year period, the ratio of Phase II awards received to

Phase I awards received must be at least 0.25.

D. Contact Information

In order to ensure full and open competition and comply with Procurement Integrity Act, 41 U.S.C.

Section 423 concerns, contact with USDOT relative to this solicitation during the Phase I proposal preparation and evaluation period is restricted to the officials stated in this solicitation.

Technical questions pertaining to the FY13.2 USDOT SBIR solicitation research topics must be submitted by email to the USDOT SBIR Program Office Point of Contact, Linda Duck, Linda.Duck@dot.gov. Technical questions will be accepted through September 16, 2013.

Questions received after September 16, 2013 but before the solicitation close date and time, may not be answered before the solicitation closes. However, all answers will be posted to the website.

The USDOT SBIR Program Office will submit all questions to the research topic authors for response. Answers will be posted on the USDOT SBIR Program website, http://www.volpe.dot.gov/sbir/current.html, under Technical Questions and Answers for 13.2 Solicitation.

mailto:Linda.Duck@dot.gov

Contact with USDOT officials from any USDOT agency, other than those identified above, relative to this solicitation during the period this solicitation is open for proposal may result in the rejection of the proposal.

INQUIRIES REGARDING PROPOSAL STATUS WILL NOT BE ANSWERED.

INFORMATION PERTAINING TO PROPOSAL STATUS WILL NOT BE PROVIDED.

For general SBIR Program inquiries not pertaining to this solicitation please contact Linda Duck at linda.duck@dot.gov or contact the SBIR Program Office at:

USDOT SBIR Program Office, RVT-91 US Department of Transportation (USDOT) Research and Innovative Technology Administration (RITA) John A. Volpe National Transportation Systems Center (Volpe Center) 55 Broadway Cambridge, MA 02142-1093 Telephone: (617) 494-2051 USDOT SBIR Program Website: http://www.volpe.dot.gov/sbir

E. Definitions

1. Research or Research and Development (R/R&D) - R/R&D means any activity which is:

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

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

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

2. Small Business Concern

SBA has amended the definition for the term “small business concern” by simply referencing its size regulations at 13 C.F.R. § 121.701-705. To view the definition of small business concern, click on the following link:

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

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

The size regulations define the ownership and size requirements for the SBIR and STTR Programs. SBA has recently finalized a rule amending those regulations and the definition of “small business concern” for purposes of the SBIR and STTR Programs as a result of certain provisions of the Reauthorization Act (see Federal Register Vol.77, No. 248, page 76215 http://www.sbir.gov/sites/default/files/2012-30809.pdf). The changes made to the definition of “small business concern,” became effective on January 28, 2013.

3. Socially and Economically Disadvantaged Small Business Concern

A Socially and Economically Disadvantaged Small Business Concern is one that is at least 51% owned and controlled by one or more socially and economically disadvantaged individuals, or an Indian tribe, including Alaska Native Corporations (ANCs), a Native Hawaiian Organization (NHO), or a Community Development Corporation (CDC). Control includes both strategic planning (as that exercised by boards of directors) and the day-to-day management and administration of business operations. See 13 C.F.R. 124.109, 124.110, and

124.111 for special rules pertaining to concerns owned by Indian Tribes (including ANCs), NHOs, or CDCs, respectively.

4. Women-Owned Small Business Concern

A Woman-Owned Small Business Concern is at least 51 percent owned by one or more women; or, in the case of any publicly owned business, at least 51 percent of the stock of which is owned by one or more women; and whose management and daily business operations are controlled by one or more women; or a small business concern eligible under the Women-Owned Small Business Program in accordance with 13 C.F.R. Part 127 (see FAR subpart 19.15)

5. Veteran-Owned Small Business

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

6. Subcontract

Subcontract means any agreement, except a grant or cooperative agreement, entered into by a Federal Government funding agreement awardee calling for supplies or services required solely for the performance of the original funding agreement.

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

7. Historically Underutilized Business Zone (HUB Zone)

The criteria to be a HUB Zone Small Business Concern can be found at:

http://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=9096292d442b42246cbecf21f04833bd&r=PART&n=13y1.0.1.

1.21#13;1.0.1.1.21.1.295.4

8. Service Disabled Veteran-Owned Concern

A Service Disabled Veteran-Owned Small Business Concern is not less than 51 percent owned by one or more service-disabled veterans or, in the case of any publicly owned business, not less than 51 percent of the stock of which is owned by one or more service-disabled veterans; and the management and daily business operations are controlled by one or more service-disabled veterans with permanent and severe disability, the spouse or permanent caregiver of such veteran.

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

A Economically Disadvantaged Women-Owned Small Business Concern is at least 51 percent directly and unconditionally owned and controlled by one or more women who are citizens (born or naturalized) of the United States and who are economically disadvantaged.

The EDWOSB automatically qualifies as a women-owned small business eligible for the Women-Owned Small Business (WOSB) Program.

http://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=9096292d442b42246cbecf21f04833bd&r=PART&n=13y1.0.1.1.21#13;1.0.1.1.21.1.295.4 http://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=9096292d442b42246cbecf21f04833bd&r=PART&n=13y1.0.1.1.21#13;1.0.1.1.21.1.295.4 http://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=9096292d442b42246cbecf21f04833bd&r=PART&n=13y1.0.1.1.21#13;1.0.1.1.21.1.295.4

F. Report SBIR Fraud, Waste and Abuse

The Office of Inspector General Hotline (Phone: 800.424.9071, Email: hotline@oig.dot.gov) accepts tips from all sources about potential fraud, waste, abuse and mismanagement in USDOT programs. The reporting individual should indicate that the fraud, waste and/or abuse pertain to an SBIR contract. Additionally, the USDOT SBIR Program website contains information and links to report potential fraud, waste, and abuse http://www.volpe.dot.gov/sbir/fraud.html.

G. Other Information

Executive Order (EO) 13329, Encouraging Innovation in Manufacturing, February 26, 2004

“Encouraging Innovation in Manufacturing” requires SBIR agencies, to the extent permitted by law and in a manner consistent with the mission of that department or agency, to give high priority within the SBIR Programs to manufacturing-related R&D. “Manufacturing-related” is defined as “relating to manufacturing processes, equipment and systems; or manufacturing workforce skills and protection.”

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

Additionally, the SBA requires each agency with an SBIR program to develop a written policy on the implementation of E.O. 13329 and publish an annual report. The USDOT SBIR Program Office Implementation Plan and Annual Report are posted on the Program website, http://www.volpe.dot.gov/sbir/about.html.

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

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

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

mailto:hotline@oig.dot.gov http://www.volpe.dot.gov/sbir/fraud.html http://www.volpe.dot.gov/sbir/about.html

II. CERTIFICATIONS

All SBIR applicants are required to certify size and ownership and meet other SBIR Program requirements with the submission of their SBIR proposal, at the time of award, and during the funding agreement life cycle. A copy of the certification to be included with the proposal submission is provided in Section VIII.D herein.

III. PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

A. Overview

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

IX.

A proposal may respond to any of the research topics listed in Section IX herein, but must be limited to one topic. The same proposal may not be accepted under more than one topic. A small business may, however, submit separate proposals on different topics, or different proposals on the same topic, under this solicitation. Where similar research is discussed under more than one topic, the offeror shall choose that topic which appears to be most relevant to the offeror's technical concept.

The proposed research must have relevance to the improvement of some aspect of the national transportation system or to the enhancement of the ability of an operating element of the USDOT to perform its mission.

Proposals shall be confined principally to scientific or engineering research, which may be carried out through construction and evaluation. Proposals must be for R/R&D, particularly on advanced or innovative concepts. Proposals shall not be for incremental or scaled up versions of existing equipment or the development of technically proven ideas. Proposals for the development of already proven concepts toward commercialization, or which offer approaches already developed to an advanced prototype stage or for market research will not be considered.

The proposal shall be self-contained and checked carefully by the offeror to ensure that all preparation instructions were followed (see Proposal Checklist, Appendix E). An automated notice will be sent via email when the proposal has been received through the SBIR Program’s electronic submission process.

B. Proposal Submission Requirements

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

1. SBA Company Registry Database - All applicants to the program are required to complete their registration in SBA's Company Registry (http://sbir.gov/registration) prior to submitting http://sbir.gov/registration an application. At least a Data Universal Numbering System (DUNS) number or Employer Identification Number (EIN) is required to register. Completed registrations will receive a unique Small Business Concern (SBC) Control ID and .pdf file to be submitted with the proposal.

2. Proposal Layout

a. Each proposal shall not exceed 25 single-sided pages, including all Appendices and enclosures or attachments. Certain exclusions apply as noted below.

b. Font type should be no smaller than 10 point font size – single or double spaced, standard 8 ½” by 11” pages with 1” margins.

c. Each proposal must include the following sections, organized in the order listed below.

All sections should be labeled using the bold headings as follows. Additional guidelines for each section are provided below.

Required Proposal Sections Proposal Cover Sheet (Appendix A)

Complete the Proposal Cover Sheet in Appendix A as Pages 1 and 2 of, the maximum of, 25 of your proposal. All pages shall be numbered consecutively beginning with the Proposal Cover Sheet.

Project Summary (Appendix B)

Complete the Project Summary Sheet in Appendix B as Page 3 of your proposal. The Project Summary of successful proposals may be published by the USDOT and, therefore, shall not contain classified or proprietary information. The Project Summary shall include:

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

o The technical abstract must be limited to 200 words in the space provided on the Project Summary sheet. Any statements beyond the 200-word limit will not be considered for award purposes. Please note the word count at the end of the abstract in parentheses.

2. Anticipated results and potential applications of the proposed research

Technical Content Submitted proposals must include the following headings in bold. In cases where a section does not apply, please state “Not Applicable.”

1. Identification and Significance of the Problem or Opportunity.

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

2. Phase I Technical Objectives. State the specific objectives of the Phase I R/R&D effort; including the technical questions it will try to answer to determine the feasibility of the proposed approach.

3. Phase I Work Plan. Describe the Phase I R/R&D plan. The plan shall indicate what will be done, where it will be done, and how the R/R&D will be managed or directed and carried out. Phase I R/R&D shall address the objectives and the questions cited in (b) above. The methods planned to achieve each objective or task shall be discussed in detail, including the level of effort associated with each task.

4. Related Research or R&D. Describe significant R/R&D that is directly related to the proposal including any conducted by the Project Manager/Principal Investigator or by the proposing firm.

Describe how it relates to the proposed effort, and any planned coordination with outside sources. The offeror must persuade reviewers of its awareness of key recent R/R&D conducted by others in the specific topic area.

5. Key Personnel and Bibliography of Directly Related Work.

Identify key personnel involved in Phase I including their directly related education, experience, and bibliographic information.

Where vitae are extensive, summaries that focus on the most relevant experience or publications are desired and may be necessary to meet proposal page limitations.

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

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

8. Consultants. Involvement of consultants in the planning and research stages of the project is permitted. If such involvement is intended, it shall be described in detail within the proposal.

Consultants are permitted to conduct no more than one-third of the work.

9. Potential Post Applications. Briefly describe whether and by what means the proposed project appears to have (a) potential commercial application and (b) potential use by the Federal Government.

10. Similar Proposals or Awards. While it is permissible, with proposal notification, to submit identical proposals or proposals containing a significant amount of essentially equivalent work for consideration under numerous Federal program solicitations, it is unlawful to enter into contracts or grants requiring essentially equivalent effort. If there is any question concerning this, it must be disclosed to the soliciting agency or agencies before award. If a firm elects to submit similar or identical proposals or proposals containing equivalent work under other Federal program solicitations, a statement must be included in each such proposal indicating:

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

• Date of proposal submission or date of award;

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

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

• Titles of research projects.

11. Prior SBIR Phase II Awards. If the SBC has received more than a total of 15 Phase II awards in the prior five fiscal years, submit name of awarding agency, date of award, funding agreement number, amount, topic or subtopic title, follow-on agreement amount, source and date of commitment, and current commercialization status for each Phase II. Provide name and title of Project Manager or Principal Investigator for each proposal submitted or award received. Required proposal information in item #11 shall not be counted towards the page limitation.

Sustainable Acquisition Requirement

Consistent with FAR Part 23, each offeror is expected to include the following provision in their technical proposal which will constitute the Statement of Work (SOW) under any contract award resulting from this solicitation, under Phase I or II. Inclusion of this general requirement does not relieve the offeror from including in their technical proposal explicit sustainability requirements applicable to the required services being offered (see Biobased website).

Sustainable Acquisition Requirement: To the maximum extent possible and consistent with Federal Acquisition Regulations Part 23, during the performance of the work required under this technical proposal, the Contractor will provide or use products that are: energy efficient http://www.biopreferred.gov/Procurement_Resources.aspx

(ENERGY STAR® or Federal Energy Management Program (FEMA)-designated); water-efficient; biobased; environmentally preferable (e.g., EPEAT-registered, or non-toxic or less toxic alternatives); non-ozone depleting; or made with recovered materials. Unless otherwise identified in this technical proposal, each recovered materials or biobased product provided and delivered must meet, but may exceed, the minimum recovered materials or biobased content of an EPA- or USDA-designated product. The sustainable acquisition requirements specified herein apply only to products that are required to be: (1) delivered to the Government during performance; (2) acquired by the contractor for use in performing services (including construction) at Federally-controlled facility; (3) furnished by the contractor for use by the Government; or (4) specified in the design of work, or incorporated during its construction, renovation, or maintenance.

Cost Breakdown/ Proposed Budget (Appendix C)

A firm fixed price Phase I Contract Pricing Proposal (Schedule 1) must be submitted in detail using the template provided in Appendix C. Note:

Firm fixed price is the type of contract to be used for Phase I SBIR awards. Some cost breakdown items of Appendix C may not apply to the proposed project. If such is the case, there is no need to provide information for each and every item. It is important, however, to provide enough information to allow the USDOT to understand how the offeror plans to use the requested funds if the contract is awarded. Phase I contract awards may include profit.

A firm must note its Tax Identification number and DUNS identification number on Appendix C, Contract Pricing Proposal, and Schedule 1. The DUNS number is assigned by Dun & Bradstreet, Inc. (See III (C) below) This required proposal information shall not be counted towards the page limitation.

SBIR Funding Agreement Certification (Appendix D)

This required proposal information shall not be counted towards the page limitation.

SBA Company Registry Confirmation

The confirmation from registering in the database should be included at the end as a .pdf document. This required proposal information shall not be counted towards the page limitation.

C. Other Proposal Information

1. Proposals will be available only to the USDOT team of engineers and/or scientists responsible for evaluating your proposal, the USDOT SBIR Program Office, and Volpe Center staff pertinent to the SBIR program, such as the Volpe Center’s Office of Acquisition.

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

a. the cancellation of the topic within a solicitation,

b. a proposal being deemed non-responsive,

c. a recommendation for Phase I award being rescinded, or

d. the termination of an award.

3. Discretionary Technical Assistance. The SBIR Program Policy Directive permits an agency to provide technical assistance to an SBIR awardee in an amount not more than $5,000 per year. This amount is in addition to the award amount. The SBC can acquire the technical assistance services itself. The SBC must demonstrate that the individual or entity selected can provide the specific technical services needed and provide the details in the proposal. If the SBC demonstrates this requirement sufficiently, the USDOT must allow the SBC to acquire the needed technical assistance itself, as an allowable cost.

4. NIST/Hollings Manufacturing Extension Partnership. SBCs may wish to contact their local National Institute of Standards and Technology (NIST) Hollings Manufacturing Extension Partnership (MEP) for manufacturing and other business-related support services.

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

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

It is federally mandated that any business wishing to do business with the Federal Government under a Federal Acquisition Regulation (FAR)-based contract must be registered in SAM before being awarded a contract. You can find more information on SAM and the registration process on the website, https://www.sam.gov. You can register online at https://www.sam.gov by following the prompts if you already have a DUNS number. If you need a DUNS number, you can find instructions at http://fedgov.dnb.com/webform/displayHomePage.do.

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

IV. METHOD OF SELECTION AND EVALUATION CRITERIA

A. General

All Phase I proposals will be evaluated and judged on a competitive basis. Initially, all proposals will be screened to determine responsiveness to the solicitation. Proposals that meet the solicitation requirements will be evaluated to determine the most promising technical and scientific approaches.

Each proposal will be judged on its own merit. A Phase I award will be made to the responsive and responsible Offerors whose proposal provides the best value to the Government, based on the Technical and Scientific Merit of the proposal. The USDOT is under no obligation to fund any proposal or any specific number of proposals on a given topic. For any given topic, USDOT may elect to award more or less than the anticipated quantity of awards stated in Section IX.

A Phase II award will be made to the responsive and responsible Offerors whose offers provide the best value to the Government, based on the Technical Proposal and Cost Proposal. Phase II awards will be made to those offerors with the greatest commercialization potential and will be subject to the availability of funding.

B. Evaluation Criteria

The evaluation process involves the following factors:

1. Scientific and technical merit and the feasibility of the proposal's commercial potential, as evidenced by:

a. Past record of successful commercialization of SBIR or other research;

b. Existence of Phase III funding commitments from private sector or non SBIR funding sources; and

c. Presence of other indicators of the commercial potential of the idea.

2. The work plan and approach to achieving specified work tasks and stated objectives of the proposed effort are well defined and within budgetary constraints and on a timely schedule.

3. Qualifications of the proposed principal/key investigator(s) including demonstrated expertise in a disciplinary field related to the particular R/R&D topic that is proposed for investigation.

4. The supporting staff, facilities and equipment will provide the necessary support to conduct the proposed R/R&D.

C. Prescreening

Each proposal submission will be examined to determine if it is complete and contains adequate technical and pricing data. Proposals that do not meet the requirements of the solicitation as described in Section III.B. will be excluded from evaluation and offerors will receive an email notifying them of the rejection.

D. Schedule

All USDOT evaluations shall be completed and recommendations for award will be submitted to the USDOT SBIR Program Office within six weeks of the closing date for Phase I proposals.

E. USDOT Technical Evaluation Process

Each of the Department’s Operating Administrations will establish technical evaluation teams comprised of Federal staff, including engineers and/or scientists and provide written evaluations and recommendations for award to the USDOT SBIR Program Director.

F. Selection of Awardees

Effective October 1, 2012, the USDOT SBIR Program Office will issue a notice to each applicant as to whether it has been selected for an award no later than 90 calendar days after the closing date of the solicitation.

G. Time to Award Requirements

Effective October 1, 2012, the new SBIR Program Policy Directive requires all SBIR agencies to make award decisions within 180 days after the close of the solicitation. The purpose of this requirement is to reduce the gap in time between submission of application and time of award, which is an important issue for many small businesses. USDOT will be required to issue a Phase I contract award in accordance with the timeframes set forth in the National Defense Authorization Act for FY2012 and SBIR Program Policy Directive. The USDOT SBIR Program Office will also post a listing of Phase I proposals recommended for contract award on the USDOT SBIR Program webpage: http://www.volpe.dot.gov/sbir.

H. Debriefing Requests

Debriefing requests should be submitted by e-mail to the SBIR Program Contracting Officer:

Jeanne.Rossetsky@dot.gov, and must include the offeror’s name, address, research topic number, and the proposal identification number assigned and provided through an automated email notification sent to you upon receipt of your proposal. The identity of the evaluators will not be http://www.volpe.dot.gov/sbir mailto:Jeanne.Rossetsky@dot.gov disclosed. Debriefings may be conducted through the issuance of a letter by the SBIR Program Contracting Officer and will summarize the comments received from the technical evaluation team.

V. CONSIDERATIONS

A. Awards

The Government anticipates awarding approximately eight Phase I contracts with the possibility for additional or fewer awards. The actual number of contract awards is subject to the availability of funding and the responses from small business firms to the solicited research topics described in Section IX.

1. Dollar Value of Awards. The SBIR Program Policy Directive sets the maximum thresholds for Phase I and Phase II awards at $150,000 and $1,000,000, respectively. SBA will adjust these amounts every year for inflation and will post the adjusted numbers on www.sbir.gov.

Additionally, the Policy Directive states that agencies may exceed these thresholds by no more than 50%, unless the agency requests and is granted a waiver from SBA.

a. Phase I contract awards. All Phase I awards will be firm fixed price contracts and may be funded up to $150,000. The period of performance for a Phase I contract is 6 months. Funding levels for each topic are determined by the agency sponsoring the research and are provided in Section IX.

b. Phase II contract awards. Phase II contracts can be funded up to $1,000,000.

Funding estimates are determined by the agency sponsoring the research. The period of performance for a Phase II contract is up to two years. Phase II funding estimates are provided in Section IX. Phase II awards may be Firm-Fixed Price or Cost-Plus- Fixed-Fee contracts.

c. Sequential Phase II awards. The SBIR Program Policy Directive permits agencies to issue one additional, sequential Phase II award to continue the work of an initial Phase II award. These awards will be referred to as Phase IIB awards and can be funded up to $1,000,000 for a period not to exceed 2 years. Therefore, a small business may receive no more than two SBIR Phase II awards for the same R&D project, and the awards must be made sequentially.

2. Accounting System Audits. Phase II awardees will be required to have an acceptable accounting system in place to receive a cost reimbursement type contract. If a small business has not had an audit of its accounting system, Defense Contract Audit Agency (DCAA) may conduct an on-site pre-award audit prior to contract award. This process can take several months in addition to the time for processing an award. For information pertaining to DCAA accounting system requirements and audits, please go to the DCAA webpage, http://www.dcaa.mil. The Contracting Officer may consider a fixed-price type contract if a cost reimbursement type contract is not feasible.

http://www.sbir.gov/ http://www.dcaa.mil/

3. USDOT SBIR Program Set-aside Budget. Beginning in FY 2013, USDOT’s Operating Administrations will contribute 2.7% of their agency’s Extramural Research Budget for SBIR Program funding. Each USDOT Operating Administration's SBIR contribution may only be used to support research of concern to that Operating Administration. For example, funds furnished by the Federal Highway Administration (FHWA) may not support research solely of concern to the National Highway Traffic Safety Administration (NHTSA). Based on anticipated funding levels, there may not be adequate funding within the USDOT SBIR Program to support Phase I and/or Phase II awards for research which is solely of concern to the following Operating Administrations: Federal Highway Administration (FHWA), Federal Motor Carrier Safety Administration (FMCSA), Federal Railroad Administration (FRA), Federal Transit Administration (FTA), National Highway Traffic Safety Administration (NHTSA), Research and Innovative Technology Administration (RITA), and Pipeline Hazardous Materials Safety Administration (PHMSA). The Phase I and Phase II awards for such research will be subject to the availability of funding.

B. Reports

1. Under Phase I SBIR contracts, three reports will be required, consisting of two interim narrative reports, and a comprehensive final report. These reports are spaced at two month intervals starting at the end of month two.

2. Under Phase II, IIB and Phase III SBIR contracts, monthly progress reports, monthly cost reports (if required), commercialization reports (due every six months), and a summary of results will be required.

C. Payment Schedule

Payments for Phase I contracts will be made in three equal installments upon submission of invoices by the contractor in conjunction with or after the submission of acceptable reports as described in above Paragraph B.

The specific payment schedule (including payment amounts) for each contract will be incorporated into the contract upon completion of negotiations between the USDOT and the successful Phase II, Phase IIB and Phase III offeror. Successful offerors may be paid periodically as work progresses in accordance with the negotiated price and payment schedule.

In all phases, USDOT must make payment to recipients under SBIR funding agreements in full, subject to audit, or on or before the last day of the 12 month period beginning on the date after the completion of award.

D. Innovations, Inventions, and Patents

1. Proprietary Information. Information contained in the proposals will remain the property of the offeror. The Government may, however, retain copies of all proposals. Public release of information in any proposal submitted will be subject to existing statutory and regulatory requirements.

If proprietary information is provided by a offeror in a proposal which constitutes a trade secret, proprietary commercial or financial information, confidential personal information or information effecting national security, it will be treated in confidence, to the extent permitted by law, provided this information is clearly marked by the offeror with the terms "confidential proprietary information" and provided the following legend appears on the title page of the proposal:

"For any purpose other than to evaluate the proposal, this proprietary information shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed in whole or in part, provided that if a contract is awarded to this offeror as a result of or in connection with the submission of this information, the Government shall have the right to duplicate, use, or disclose the information to the extent provided in the contract. This restriction does not limit the Government's right to use information contained in the document if obtained from another source without restriction. The information subject to this restriction is contained in page(s) ________ of this proposal."

Any other legend may be unacceptable to the Government and may constitute grounds for return of the proposal without further consideration and without assuming any liability for inadvertent disclosure. The Government will limit dissemination of such information to within official channels.

2. USDOT prefers that offerors avoid inclusion of proprietary data in their proposals. If the inclusion of proprietary data is considered essential for meaningful evaluation of a proposal submission, then such data should be provided on a separate page with a numbering system to key it to the appropriate place in the proposal.

3. Rights in Data Developed under SBIR Contracts. Rights in technical data, including software developed under any contract resulting from this solicitation, shall remain with the contractor except that the Government shall have the limited right to use such data for Government purposes and shall not release such data outside the Government without permission of the contractor for a period of four years from completion of the project from which the data was generated. However, effective at the conclusion of the four-year period, the Government shall retain a royalty free license for Federal Government use of any technical data delivered under an SBIR contract whether patented or not.

4. Copyrights. With prior written permission of the Contracting Officer, the contractor normally may copyright and publish (consistent with appropriate national security considerations, if any) material developed with USDOT support. The USDOT receives a royalty free license for the Federal Government and requires that each publication contain an appropriate acknowledgement and disclaimer statement.

5. Patents/Invention Reporting. Small business firms normally may retain the principal worldwide patent rights to any invention developed with Government support.