DOT_SBIR_DTRT5716RSBIR1.pdf

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

DTRT57-16-R-SBIR1

FY16.1

PROGRAM SOLICITATION

Small Business Innovation Research (SBIR) Program

NAICS CODE: 541712

Issue Date: October 14, 2015 Closing Date: December 16, 2015

Small Business Innovation Research (SBIR) Program Office, V-336 U.S. Department of Transportation (U.S. DOT) Office of the Assistant Secretary for Research and Technology John A. Volpe National Transportation Systems Center (Volpe Center) 55 Broadway Cambridge, MA 02142-1093

ADMINISTRATIVE AND TECHNICAL QUESTIONS

Administrative questions pertaining to the application process and requirements are listed in the Frequently Asked Questions (FAQs) page on the United States Department of Transportation (U.S. DOT) Small Business Innovative Research (SBIR) Program website: http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/frequently-asked-questions.

If you have any administrative questions not listed in the FAQs, or any technical questions pertaining to the FY16.1 U.S. DOT SBIR solicitation research topics, please submit such questions via email to the U.S. DOT SBIR Program Office at dotsbir@dot.gov. All questions must be submitted by email.

IMPORTANT DATES:

• Administrative and Technical questions will be accepted through November 23, 2015 at 11:59 pm ET. Questions received after November 23, 2015 may not be answered.

• Questions on the Cost Appendix (Appendix C) or saving it as a PDF will be accepted through December 9, 2015. Please contact the U.S. DOT SBIR Program Office at 617-494-2051 between the hours of 8:00 am and 5:00 pm ET no later than December 9, 2015.

Answers will be posted in the “Solicitations” section of the U.S. DOT SBIR Program website (http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/solicitations). They will also be posted on the Federal Business Opportunities website (https://www.fbo.gov/index?s=opportunity&mode=form&id=bef9a73d7ccaadf7a4c6530215102 603&tab=core&_cview=1) after the conclusion of the question period.

http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/frequently-asked-questions http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/frequently-asked-questions mailto:dotsbir@dot.gov http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/solicitations https://www.fbo.gov/index?s=opportunity&mode=form&id=bef9a73d7ccaadf7a4c6530215102603&tab=core&_cview=1 https://www.fbo.gov/index?s=opportunity&mode=form&id=bef9a73d7ccaadf7a4c6530215102603&tab=core&_cview=1

PRE-PROPOSAL WEBINAR

A pre-proposal webinar for small business concerns (SBCs) interested in applying to the FY16.1 U.S. DOT SBIR solicitation will be held on Wednesday, October 21, 2015 at 1:30 pm ET. SBCs will attend virtually via a webinar conference. All SBCs interested in applying are urged to attend this webinar, which will provide information on the application process and featured solicitation topics.

Each SBC interested in attending the webinar shall register at:

https://volpecenter.webex.com/volpecenter/onstage/g.php?MTID=e4179efce97c19b3a84a26a94 12960a36.

You may register any time prior to noon on the day of the conference. Upon receipt of your registration, you will receive information for connecting to the conference.

The webinar recording will be posted to the “Solicitation” section of the U.S. DOT SBIR Program website (http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/solicitations).

https://volpecenter.webex.com/volpecenter/onstage/g.php?MTID=e4179efce97c19b3a84a26a9412960a36 https://volpecenter.webex.com/volpecenter/onstage/g.php?MTID=e4179efce97c19b3a84a26a9412960a36 http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/solicitations http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/solicitations

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. U.S. DOT 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

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 Small Business Concern (SBC) 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 SIGNATURE PAGE (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 Aviation Administration (FAA)

B. Federal Highway Administration (FHWA)

C. Federal Transit Administration (FTA)

I. PROGRAM DESCRIPTION

A. Introduction

The United States Department of Transportation (U.S. DOT) welcomes small businesses to participate in the U.S. DOT’s Small Business Innovation Research (SBIR) program. The purpose of this solicitation is to invite small businesses (with their valuable resources and creative capabilities) to submit innovative research proposals that address high priority requirements of the U.S. DOT as described in Section IX herein. Under the SBIR Program, the U.S. DOT 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 R/R&D objectives. The Small Business Innovation Development Act of 1982 (P.L. 97-219 codified at 15 U.S.C. 638) established the SBIR program. In October 1986, through Public Law 99-443, Congress amended the Small Business Act, 15 U.S.C. 638, to extend the SBIR program through September 30, 1993. The Small Business R&D Enhancement Act of 1992 (P.L. 102-564), repealed the SBIR Program under the Small Business Innovation Development Act of 1982 and extended the SBIR Program under the Small Business Act through September 30, 2000. The Small Business Reauthorization Act of 2000 (P.L. 106-554) extended the SBIR Program through September 30, 2008. After a series of continuing resolutions, the SBIR/Small Business 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 .

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

B. Three Phase Program

The U.S. DOT SBIR Program is generally a three phase process.

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 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 shall be 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, its commercial potential, and its relevance to U.S. DOT requirements and current research priorities.

All U.S. DOT SBIR Phase I awardees are 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.

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 are referred to as Phase IIB awards and can be awarded for a period up to 24 months. The funding ceiling typically does not exceed the amount of the previous Phase II award. A small business may receive no more than two SBIR Phase II awards for the same R&D project, and the awards must be made sequentially.

Phase III. SBIR Phase III refers to work that derives from, extends, or logically concludes effort(s) performed under a U.S. DOT or another Department’s Phase I and/or Phase II funding agreement. Phase III is funded by sources other than the set-aside funds dedicated to the SBIR Program. Phase III work is typically oriented toward commercialization of SBIR research or technology and may be for products, production, services, R/R&D or a combination thereof. The following activities are types of SBIR Phase III work:

• Commercial application of SBIR-funded R/R&D financed by non-Federal sources of capital.

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

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

A Phase III award is by its nature an SBIR award and attaches 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 (SBC). 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 provision regarding an agency’s option to allow participation by firms that are majority-owned by multiple venture capital operating companies, private equity firms or hedge funds. The U.S. DOT elects at this time not to use the authority that would allow venture capital operating companies (VCOCs), hedge funds or private equity firms to participate in the SBIR Program. Proposals submitted by these parties will not be considered for award.

Each SBC submitting a proposal must qualify as a SBC at the time of award of Phase I, Phase II and IIB contracts (see Section I. E. for definition of SBC). In addition, the following requirements must be met:

• The primary employment of the principal investigator must be with the small business firm at the time of contract award and during the conduct of the proposed research.

Primary employment means that more than one-half of the principal investigator's time is spent working for the small business. This precludes full-time employment with another organization.

• For Phase I, a minimum of two-thirds of the research or analytical effort, measured in labor hours, must be performed by the awardee. For Phase II, a minimum of one-half of the research or analytical effort, measured in labor hours, must be performed by the awardee.

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

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 Federal Government, the Commonwealth of Puerto Rico, the Republic of the Marshall Islands, the Federated States of Micronesia, the Republic of Palau, and the District of Columbia.

Performance Benchmark Requirements for Phase I Eligibility

Section 4(a)(3) of the SBIR Policy Directive calls for each Federal agency participating in SBIR to set a Phase II transition rate benchmark in response to Section 5165 of the SBIR/STTR Reauthorization Act of 2011.

Before responding to this solicitation, all applicants should verify their Transition Rate eligibility for Phase I awards on SBA’s SBIR website. On June 1st of each year, Phase I applicants that meet the below criteria are eligible to submit a proposal for a new Phase I award.

General information on the Performance Benchmark requirements is available at https://www.sbir.gov/faqs/performance-benchmarks.The SBIR Performance Benchmark requirements are:

• Phase I to Phase II Transition Rate. All small business applicants that have received more than 20 Phase I awards Program-wide (from all Federal Agencies with SBIR programs) are subject to the Phase I to Phase II Transition Rate.

The U.S. DOT’s Phase I to Phase II Transition Rate uses a five-year period and counts an 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 U.S. DOT SBIR Phase I to II Transition Benchmark as published in the Federal Register is:

Effective July 25, 2013, for all U.S. DOT 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.

• Commercialization Rate. The Commercialization Rate is not a requirement for this Solicitation. It is expected to be introduced in the future by SBA and will apply only to SBIR Phase I applicants that have received more than 15 (16 or more) Phase II awards over the past 10 fiscal years, excluding the last two years. These companies must have realized, to date, an average of at least $100,000 of sales and/or investments per Phase II award (awarded during this period), or have received a https://www.sbir.gov/ https://www.sbir.gov/faqs/performance-benchmarks number of patents resulting from the SBIR work equal to or greater than 15% of the number of Phase II awards.

For more information on these performance benchmarks, visit http://www.sbir.gov/performance-benchmarks.

D. Contact Information

If you have any questions not listed in the FAQs, or any administrative or technical questions pertaining to the FY16.1 U.S. DOT SBIR solicitation or research topics, please submit such questions via email to:

U.S. DOT SBIR Program Office dotsbir@dot.gov NOTE: All questions must be submitted via email. Inquiries regarding proposal status will not be answered.

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

U.S. DOT’s SBIR Hotline

(617) 494-2051 dotsbir@dot.gov

In order to ensure full and open competition and comply with Procurement Integrity Act, 41 U.S.C. Section 2101-2107 requirements, contact with U.S. DOT relative to this solicitation during the Phase I proposal preparation and evaluation period is restricted to the officials stated in this solicitation. Contact with U.S. DOT officials from any U.S. DOT agency, other than those identified in this solicitation during the period of this solicitation particularly when the solicitation is open for proposal may result in rejection of the proposal.

E. Definitions

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

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

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

http://www.sbir.gov/performance-benchmarks mailto:dotsbir@dot.gov mailto:dotsbir@dot.gov

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

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

3. Small Business Concern (SBC)

SBA has amended the definition for the term “small business concern.” See 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%2FChap ter+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 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 or 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.

4. SBIR Technical Data All data generated during the performance of an SBIR award.

5. SBIR Technical Data Rights The rights an SBIR awardee obtains in data generated during the performance of any SBIR Phase I, Phase II, or Phase III award that an awardee delivers to the Government during or upon completion of a Federally-funded project, and to which the Government receives a license.

6. 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 its 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.

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

7. Women-Owned Small Business Concern A Women-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 Federal Acquisition Regulation (FAR) subpart 19.15).

8. 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.

9. 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.

10. Historically Underutilized Business Zone (HUBZone) The criteria to be a HUBZone 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

11. 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 a permanent and severe disability, or the spouse or permanent caregiver of such veteran.

12. Economically Disadvantaged Women-Owned Small Business (EDWOSB) An 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 http://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&SID=9096292d442b42246cbecf21f04833bd&r=PART&n=13y1.0.1.1.21%2313;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%2313;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%2313;1.0.1.1.21.1.295.4 disadvantaged. The EDWOSB automatically qualifies as a women-owned small business eligible for the Women-Owned Small Business (WOSB) Program.

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 U.S.

DOT programs. The reporting individual should indicate that the fraud, waste and/or abuse pertain to an SBIR contract. Additionally, the U.S. DOT SBIR Program website contains information and links to report potential fraud, waste, and abuse: http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/report-fraud-waste-and-abuse.

G. Other Information

Executive Order (EO) 13329, Encouraging Innovation in Manufacturing, February 26, “Encouraging Innovation in Manufacturing” requires SBIR agencies, to the extent permitted by law and in a manner consistent with the mission of that department or agency, to give high priority within the SBIR Programs to manufacturing-related R&D. “Manufacturing-related” is defined as “relating to manufacturing processes, equipment and systems; or manufacturing workforce skills and protection.”

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

Additionally, the SBA requires each agency with an SBIR program to develop a written policy on the implementation of E.O. 13329 and publish an annual report. The U.S. DOT SBIR Program Office Implementation Plan and Annual Report are posted on the Program website: http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/about-sbir .

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

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

The U.S. DOT SBIR Program Office solicits energy efficiency or renewable energy system R/R&D projects through the call for SBIR research topics distributed twice annually to each of mailto:hotline@oig.dot.gov http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/report-fraud-waste-and-abuse http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/report-fraud-waste-and-abuse http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/about-sbir the Department’s SBIR participating agencies. U.S. DOT SBIR projects that focus on conducting R/R&D in energy efficiency and/or renewable energy are reported annually to SBA.

Federal Leadership on Climate Change and Environmental Sustainability: Executive Order (EO) 13693 – Planning for Federal Sustainability in the Next Decade

Executive Order 13693 updated and replaced Executive Order 13514 and requires Federal agencies, to give high priority to including sustainability requirements in all federal contracts.

DOT strongly encourages all SBIR applicants to include sustainability in their research and development proposals. To learn more visit: https://www.whitehouse.gov/administration/eop/ceq/sustainability.

https://www.whitehouse.gov/administration/eop/ceq/sustainability

II. CERTIFICATIONS

All SBIR applicants are required to certify size and ownership as well as meet other SBIR Program requirements with the submission of their SBIR proposals, at the time of award, and during the funding agreement life cycle. A copy of the certification must be included with the proposal submission (see Appendix D).

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 SBC shall choose that topic which appears to be most relevant to the SBC's technical concept.

The proposed research must have relevance to the improvement of some aspect of the national transportation system or to the enhancement of the ability of an operating element of the U.S.

DOT 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.

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).

All proposals must be submitted using the U.S. DOT’s SBIR online submittal page: https://hostedsites.volpe.dot.gov/SBIR/SubmitProposal.aspx. An automated notice will be sent via email when the proposal is received through the SBIR Program’s electronic submission process.

https://hostedsites.volpe.dot.gov/SBIR/SubmitProposal.aspx

B. Proposal Submission Requirements

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

1. SBA Company Registry Database – Each SBC applying to the program is required to complete its registration in the SBA's Company Registry (http://sbir.gov/registration) prior to submitting its application. Registration requires at least a Data Universal Numbering System (DUNS) identification number or Tax Identification Number (TIN).

Completed registrations will receive a unique SBC Control ID and PDF file, which may be submitted as the first page of the Technical Proposal.

2. Proposal Layout – Proposals must be submitted using the SBIR Program’s electronic submission process during open solicitation periods only. Proposals must be submitted as three separate files:

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

i. The Technical Proposal shall not exceed 25 pages; the Prior Phase II Awards and SBA Company registry Confirmation do not count towards the 25 pages.

ii. Font size shall be no smaller than 10 point.

iii. Proposals shall be on standard letter size pages (8.5" by 11") with 1" margins.

iv. All pages shall be numbered consecutively.

b. Cost Proposal (Appendix C) – The Cost Proposal (Appendix C) can be submitted as an Excel document or PDF and must contain the required supporting information described in the table below. It does not count towards the 25-page limit.

c. Appendices A, B, and D – All other Appendices (A, B, and D) must be saved as one single PDF file.

http://sbir.gov/registration

Required Proposal Sections Technical Proposal (PDF file) Includes SBA Registry Confirmation, Technical Portion, and Prior Phase II Awards SBA Company Registry Confirmation

All SBIR applicants are required to be registered in SBA’s company registry database. The confirmation from registering in the database should be included as the first page of the PDF document. It does not count towards the 25-page limit.

See https://www.sbir.gov/registration to register or print your registration confirmation.

Technical portion not to exceed 25 pages

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 question(s) the research 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, when it will be done, and how the R/R&D will be managed or directed and carried out. Phase I R/R&D shall address the objectives and the question(s) cited above in No. 2. Discuss in detail the methods planned to achieve each objective or task, including the level of effort associated with each task.

4. Related Research or R&D. Describe significant R/R&D that is directly related to the proposal including any R/R&D conducted by the project manager/principal investigator or by the proposing firm. Describe how related research affects the proposed effort, and any planned coordination with outside sources. The SBC must persuade reviewers of its awareness of recent key R/R&D conducted by others in the specific topic area.

5. Key Personnel and Bibliography of Directly Related Work.

Identify key personnel involved in Phase I including 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 https://www.sbir.gov/registration 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 Technical portion not to successful (Phase I and Phase II). Discuss the significance of the exceed 25 pages Phase I effort in providing a foundation for a Phase II R/R&D (cont’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. Describe any intended involvement in detail. Consultants are permitted to conduct no more than one-third of the work.

9. Potential Post Applications. Briefly describe whether and how the proposed project appears to have (1) potential commercial application; and (2) potential use by the Federal Government.

10. Similar Proposals or Awards. While it is allowed, 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 an SBC elects to submit similar or identical proposals containing equivalent work under other federal program solicitations, a statement must be included in each 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;

• Titles of research projects;

• Name and Title of Principal Investigator or Program Manager for each proposal submitted or award received.

Technical portion not to exceed 25 pages (cont’d)

11.

12.

Human Factors, Research that involves human subjects may be subject to additional regulations found in 49 C.F.R. Part 11 (Part

11) as well as other applicable federal and state laws and regulations. Research will be considered to involve human subjects under Part 11 if the research obtains (1) data through intervention or interaction with an individual(s), and/or (2) identifiable private information. Unless exempt under 49 C.F.R.

§11.101(b) or §11.101(i), human subject research must adhere to the regulations of Part 11, which includes review and approval of the research by a federally approved Institutional Review Board (IRB). To receive funding, a proposal that involves research on human subjects must sufficiently show that the human subject research (1) is exempt from Part 11 or (2) will comply with Part 11 requirements.

Vendors may work with an established federally approved IRB or may create a new IRB. It can be a lengthy process to obtain federal approval of a new IRB. Any vendor considering obtaining approval for a new IRB should review 49 C.F.R. §11.103-11.108.

The amount of time required for the IRB to review and approve human subject research will vary depending on such things as the IRB’s procedures, the complexity of the research, the level of risk to study participants and the responsiveness of the Investigator. The average IRB approval process can last between one and three months. Once the IRB has approved the research, DOT will review the IRB determination to ensure that the research will be conducted in compliance with DOT regulations.

Ample time should be allotted to complete both the IRB and DOT approval processes. No funding may be used for research involving human subjects until all applicable Part 11 requirements are met.

Sustainable Acquisition Requirement. The SBC’s technical proposal will also be used as the Statement of Work (SOW) under any contract award resulting from this solicitation under SBIR Phase I or II. Consistent with FAR Part 23, each SBC is expected to include and abide by the following provision in its technical proposal:

“Sustainable Acquisition Requirement: To the maximum extent possible and consistent with FAR Part 23, during the performance of the work required under this technical proposal, the Contractor will provide or use products that are: energy efficient (ENERGY STAR® or Federal Energy Management Program (FEMA)-designated); water-efficient; biobased;

environmentally preferable (e.g., EPEAT-registered, or non-toxic or less toxic alternatives); 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.

Inclusion of this general requirement does not relieve the SBC from including in its technical proposal explicit sustainability requirements applicable to the required services being offered (see BioPreferred website).”

Prior SBIR Phase II Awards does not count towards the 25-page limit

If the SBC has received more than a total of 15 Phase II awards in the prior five fiscal years, submit the name of the awarding agency, date of award, funding agreement number, dollar amount, topic or subtopic title, follow-on agreement dollar amount, source and date of commitment, and current commercialization status for each Phase II. Provide the name and title of the project manager or principal investigator for each proposal submitted or award received.

http://www.biopreferred.gov/BioPreferred/

Cost Proposal (Appendix C) (Excel or PDF) Appendix C is available on our website here in Microsoft Excel 2010 format.

Specific instructions for filling out Appendix C are located here.

See the sample cost proposal here.

A firm fixed price Phase I Contract Pricing Proposal (Schedule 1) must be submitted in detail using the template provided in Appendix C. Some cost breakdown items of Appendix C may not apply to the proposed project. If such is the case, there is no need to provide information for each and every item. When completing your cost proposal, please consider the following:

• It is important to provide enough information to allow the U.S.

DOT to understand how the SBC plans to use the requested funds if a contract is awarded.

• Phase I contract awards may include profit. Note: Firm fixed price is the type of contract used for Phase I SBIR awards.

• Travel is not anticipated for Phase I projects.

• A firm must note its TIN and Data Universal Numbering System

(DUNS) identification number in Appendix C, in the Cost and Pricing Proposal Coversheet. The DUNS is assigned by Dun & Bradstreet, Inc. (See III (D) below). If you are not able to receive a DUNS number before the solicitation deadline, please indicate “Pending” in the DUNS field in the cost proposal. You must have a DUNS number before a contract can be awarded.

Please fill out the spreadsheets as directed. If you are submitting supporting information (e.g., price quotes or subcontractor commitments) then save the entire workbook as a PDF. To do this, click on the ‘Acrobat’ tab in the main ribbon of Excel, then choose “entire Workbook” from Conversion Range option at top of window.)

If you have any trouble accessing the Appendix C spreadsheet or saving it as a PDF please contact the U.S. DOT SBIR Program Office at 617-494-2051 between the hours of 8:00 am and 5:00 pm ET no later than December 9, 2015.

Proposals that exceed the Phase I Estimated Award Amount listed in Section IX will not be considered for award.

http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/161-appendix-c http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/161-cost-proposal-appendix-c-instructions http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/sample-cost-proposal-appendix-c

Appendices A, B, and D (PDF) Signature Page (Appendix A)

Pages 1 of PDF

Complete the signature page in Appendix A. All pages shall be numbered consecutively beginning with the signature page.

Project Summary (Appendix B)

Page 2 of PDF

Complete the Project Summary Sheet in Appendix B as Page 2 of the proposal. The Project Summary of successful proposals may be published by the U.S. DOT and, therefore, shall not contain classified or proprietary information.

The Project Summary must include at a minimum:

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

o The technical abstract shall be limited to 200 words in the space provided on the Project Summary sheet. Any words or statements beyond the 200-word limit may not be considered for award purposes.

2. Anticipated results and potential applications of the proposed research

SBIR Funding Agreement Certification (Appendix D)

Pages 3-6 of PDF

All SBIR applicants are required to certify size and ownership as well as meet other SBIR Program requirements with the submission of their SBIR proposals, at the time of award, and during the funding agreement life cycle. A copy of the certification must be included with the proposal submission (see Appendix D).

C. Other Proposal Information

1. Proposals will be available only to the U.S. DOT team of engineers and/or scientists responsible for evaluating the proposal, the U.S. DOT 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. Cancellation of the topic within a solicitation;

b. A proposal being deemed non-responsive;

http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/161-appendix-a http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/161-appendix-b http://www.volpe.dot.gov/work-with-us/small-business-innovation-research/161-appendix-d

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

d. 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 purpose of the Technical Assistance, as defined by the SBA Policy Directive, is to assist SBIR awardees in: (1) making better technical decisions on SBIR projects; (2) solving technical problems that arise during SBIR projects; (3) minimizing technical risks associated with SBIR projects; and (4) commercializing the SBIR products or processes.

The U.S. DOT SBIR Program will provide assistance to Phase I awardees in the area of commercialization planning and strategy. The program shall be referred to as the DOT SBIR Commercialization Assistance Program (CAP).

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

a. The U.S. DOT SBIR Program Office has a contract with Dawnbreaker that can provide support to Phase I and Phase II awardees. Once a proposal is recommended for award, the prospective awardees will receive notification from the U.S. DOT SBIR Program Office identifying the services available and guidance on how to obtain these services at no cost to the small business. These services for Phase I include a kick-off meeting with the CAP vendor and an individualized Commercialization Readiness Assessment to support the development of the Phase II proposal’s commercialization strategy, OR

b. Awardees can receive Technical Assistance outside of the SBIR Program Office;

however, this technical assistance must be focused on commercialization. To do so, Offerors must, through its own efforts, obtain its own subcontractor to provide such technical assistance. If recommended for award, the awardee must provide at that time an outline of the specific technical assistance services its proposed subcontractor will provide, and the detailed qualifications and experience of the proposed subcontractor/consultant. If approved by the U.S. DOT SBIR Program Officer and Contracting Officer, the awardee must submit a revised cost proposal (Appendix C) that will provide up to $5,000 for such technical services.

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

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

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

Any business that would like to work with the Federal government under a Federal Acquisition Regulation (FAR)-based contract is mandated to be registered in the System for Award Management (SAM) before being awarded a contract. Additional information on SAM and the registration process is provided on the SAM website: https://www.sam.gov. Businesses that already have a DUNS number can register online at https://www.sam.gov by following the prompts. Instructions for obtaining a DUNS number can be found at: http://fedgov.dnb.com/webform/displayHomePage.do.

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

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 by a team of topic experts 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 SBC whose proposal provides the best value to the Government, based on the technical and scientific merit of the proposal. The U.S. DOT is under no obligation to fund any proposal or any specific number of proposals on a given topic. For any given topic, U.S. DOT may elect to award more or less than the anticipated quantity of awards stated in Section IX.

A Phase II award may be made to the responsive and responsible SBC who successfully completed a Phase I contract and whose offer provide the best value to the Government, based on the Technical Proposal and Cost Proposal. Phase II awards may be made to those SBCs 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 data. A proposal that does not meet the requirements of the solicitation as described in Section III.B. may be excluded from consideration, and the SBIR Program Office will send the SBC an email notifying the SBC of its proposal ineligibility for consideration.

D. Schedule

All U.S. DOT evaluations will be completed and recommendations for award submitted to the U.S. DOT SBIR Program Office within ten weeks of the closing date for Phase I proposals.

E. U.S. DOT Technical Evaluation Process

Each of the Department’s participating Operating Administrations will establish technical evaluation teams comprised of Federal staff, including engineers and/or scientists, who will evaluate proposals and make recommendations for award to the U.S.