i

BROAD AGENCY ANNOUNCEMENT

BAA 2026–27

693JJ626R000001

Federal Railroad Administration

Office of Research, Development, and Technology

Research Initiatives in Support of Rail Safety

May 2026 ii

Contents

1. Introduction

Background

Purpose

2. Strategic Research Focus

Track Division

Rolling Stock Division

Train Control and Communication Division

3. Program Guidelines

Schedule

Communications Protocol

Data Sources and Points of Contact

Offeror Eligibility

Project Qualification Requirements

Program and Project Funding Limits

Contractor Partner Investment

Project Selection Process

Project Concept Papers

Project Proposals

Oral Presentations

Intellectual Property Rights

Patents

Authority incorporated by reference: 52.227-11 Patent Rights- Ownership by the Contractor (May 2014)

Proprietary Data Restrictions

4. Project Concept Papers

Cover Page

Technical Approach

Background

Scope of Work

Expected Outcomes and Impacts

Qualifications

Project Team

Experience

Unique Capabilities

Schedule and Cost Data

Quad Chart

5. Project Proposals

Cover Page

Volume I: Technical Proposal

Background

Statement of Work (SOW)

Technical Approach

Project Management Plan

Capabilities and Experience

Volume II: Cost and Pricing Proposal

General Requirements

Recommended Procurement Instrument and Pricing Arrangement

Volume III: Supplemental Information

System for Award Management (SAM) Registration

Intellectual Property Declaration

Subcontracting Plan

Key Personnel and Support Letters

Quad Chart

6. Past Performance

7. Oral Presentations

8. Evaluation and Award Process

Project Proposals

Technical Factors

Cost and Pricing Factors

Past Performance Factors

Oral Presentation

Concept Paper and Proposal Rating

Awards

Notifications and Negotiations

9. Appendix A — Project Quad Chart

10. Appendix B — Price Proposal Format and Preparation Instructions

Price Summary

Detailed Price (no page limit)

Equipment/Government Property

Authority: TAM 1235.014 Government Property and Title, FAR Part 35.014(b) Government Property and Title

11. Appendix C — BAA Research Topics_FY26.27

12. Appendix D — FAR 52.204-24 — Representation Regarding Certain Telecommunications and Video Surveillance Services or Equipment

13. Appendix E — Contractual Requirements

14. Appendix F – DD Form 882 – Report of Inventions and Subcontracts

15. Appendix G – Contractor Performance Self-Assessment Worksheet

16. Appendix H – FRA Title of Report Template

17. Appendix I – FRA Research Results Report Template

18. Appendix J – Monthly Report Template

19. Appendix K – Quarterly Report Template

20. Appendix L – FY 26_BAA_Quad Templates

All applicable Terms and Conditions herein will flow down to all FY 26/27 Broad Agency Announcement (BAA) Awards issued through this solicitation no. 693JJ626R000001

Important Note — New This Year:

• In an effort to expedite the Broad Agency Announcement (BAA) process, Concept

Papers will be reviewed on a rolling basis throughout the fiscal year. The only deadline is the end of the next fiscal year — September 30, 2027.

• However, FRA reserves the right to remove one or more Topic Areas from the Announcement once a sufficient number of Concept Papers have been received.

• The FY26–27 BAA has no Human Factors topics.

• DOT is moving from Microsoft to Google products, including the use of Google Docs and Google Sheets instead of MS Word and Excel. While BAA offerors may continue to submit Concept Papers and Proposals in MS Word and Excel, keep in mind that final deliverables (e.g., Technical Reports and Research Results) for awarded contracts may be required to be fully compatible with Google Docs at some future date (i.e., ensuring all formatting, formulas, functionality, and styles are preserved and editable).

Reminders:

• Submitted Concept Papers, Proposals, and associated documents must not be encrypted or password-protected.

• For multi-year projects, deliverables must include an annual Research Results report or a Technical Report (as appropriate) describing the work accomplished during the previous year. The submission of these interim reports will not absolve the Offeror from submitting a final Technical Report.

• All awards will be in the form of firm-fixed-price (FFP) contracts unless there is sufficient justification for a contract vehicle other than FFP.

• Concept Papers that lie outside the scope of the FY 2026–27 Research Topics will not be considered.

• The Concept Paper cover page should include the organization’s System for Award Management (SAM) Unique Entity Identifier code.

• This effort is completely a contracted effort for the entire benefit of FRA. This is not a grant effort. There are limited guidelines for patents and inventions in accordance with the Federal Acquisition Regulations.

1. Introduction Background

The Federal Railroad Administration (FRA) has a successful history of supporting the development of advanced rail technologies to meet the transportation needs of the country.

Over the last few decades, FRA has provided funding and technical support to facilitate the research and development of new equipment, infrastructure, and testing technologies to enhance the Nation’s rail transportation safety and efficiency. These efforts are undertaken in support of the U.S. Department of Transportation’s (DOT) mission:

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

https://railroads.dot.gov/research-development/rd-report-templates-and-guidelines

FRA’s Office of Research, Development, and Technology (RD&T) conducts research and development in support of improved railroad safety and national rail transportation policy.

These activities support the objectives of DOT, the mission critical needs of FRA, and the rail industry through technology development and demonstration, applied research, and information exchange with the rail industry.

Purpose The purpose of this BAA is to solicit a variety of applied technology research projects that will support RD&T’s strategic objectives and the research needs of three of the four FRA research divisions:

• Track

• Rolling Stock and Equipment

• Train Control and Communication

Projects shall develop technologies that improve the safety and efficiency of freight and passenger rail operations in the US. Such technologies will:

• Reduce the operational and program deployment risks associated with mixed-use rail lines.

• Improve safety by reducing human and technology failures.

• Bring about capital cost reductions in producing equipment and facilities.

• Reduce rail service operating costs by providing more efficient operations.

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

• Facilitate the development of domestic manufacture of rail equipment and infrastructure components.

2. Strategic Research Focus The following sections provide the strategic focus of FRA research, outlined in the RD&T Strategic Plan. Some of the research areas described in this section may be part of this BAA research announcement; see Appendix C — Research Topics for specific research topics.

Concept Papers that lie outside the purview of the FY 2026–27 Research Topics will not be considered. Additional research topics may be announced at any time during the open period of this BAA.

Safety is DOT’s primary Strategic Goal, and thus drives FRA’s BAA program. The aim is to reduce safety risk by reducing both the likelihood of accidents occurring and the consequences should they occur. Consequences can be defined as the harm to which an individual or group of people is exposed, which is the weighted summation of fatalities, injuries, shock, and trauma. Reducing risk over time will reduce the number of accidents and harm.

While being driven by the safety goal, the BAA seeks projects that also contribute toward the other DOT goals, including Infrastructure, Innovation, and Efficiency.

Track Division Track and infrastructure failure is the second-leading cause of train derailments in the U.S., and https://railroads.dot.gov/elibrary/research-development-and-technology-strategic-plan-2020-2024 problematic interactions between moving vehicles and the track is common among these failures.

Strategic priorities:

• Safety Assurance Performance Measures: Railroads are currently testing automated and autonomous technologies to supplement or replace manual safety inspections. RD&T will develop procedures to verify and validate the performance of these new systems to ensure their efficacy.

• Rail Safety Simulations and Testing: In direct support of the FRA Office of Railroad Safety, invest in computer modeling to improve the state of science of vehicle-track interaction, wheel and rail profiles and contact conditions, minimum track safety requirements, derailment root causes, defect initiation and crack growth rates, and evaluation methods for the qualification of new high-speed equipment.

• Advanced Defect Detection Measures: Invest in the research and development of methods to locate, monitor, and predict the performance of difficult-to-detect railroad track safety issues such as internal rail defects, longitudinal rail force-related issues, and ballast vertical and lateral restraint.

Rolling Stock Division Research in this division aims to reduce the likelihood of derailments from equipment failures and to mitigate the consequences should such derailments occur.

Strategic priorities:

• Automated Inspection Technologies and Techniques: Partner with the railroad industry to further the development of instrumented wayside and onboard inspection techniques and technologies.

• Improved Materials and Component Designs for Rolling Stock Components: Invest in testing and analysis to identify materials which can provide improved performance and durability in the railroad environment. Examine methods for developing electrical power systems for individual freight car applications.

• Occupant Protection Enhancements: Invest in the means for improving train occupant protection in the event of collisions and derailments by mitigating the potential for loss of occupied volume and minimizing the secondary impact velocity to which passengers are subjected.

• Improving the Safety of Hazardous Materials Transportation: Continue to develop, analyze, and test the means for improving the structural integrity of tank cars. Examine methods for protecting hazardous material tank cars from heat and the capability of these tanks to survive post-derailment fire conditions. Examine thermal protection levels for the safe transportation of energy products (e.g., cryogenics), and improve techniques for modeling thermal performance to enhance the safety of hazardous material transport in high temperature conditions.

Train Control and Communication Division Train control and communication research aims to eliminate train-to-train collisions, reduce over-speed derailments, and increase the safety of track workers.

Strategic priorities for this division are:

• Positive Train Control (PTC) Performance Monitoring and Reporting: Continue in the development and deployment of data collection and analysis tools for PTC systems under normal operating conditions to monitor and evaluate system performance.

• Next Generation PTC Technologies: Enhance existing PTC technologies that use advances in automation, communication, and sensor technologies to further improve safety.

• Intelligent Transportation Systems: Invest in connected vehicle technologies to ensure safe interaction of road vehicles with trains at grade crossings. Investigate levels of train automations and develop requirements and standards.

• AI and Computer Learning (CL): Incorporate AI and CL into research related to predictive analyses for PTC system performance and faults as well as identifying risky trespasser behavior around railroad tracks and crossings.

• Next Generation Grade Crossings: What new technologies can advance Grade Crossing Technology and thus increase safety.

3. Program Guidelines This BAA does not lend itself to the use of a common work statement due to its broad research focus. North American Industry Classification System codes will be specific to each individual contract award, as determined by the type of activity in which the Offeror will be engaged.

The Government reserves the right to select for award any, all, part, or none of the Concept Papers or Proposals received in response to this announcement. This BAA is an expression of interest only and does not commit the Government to pay any Concept Paper or Proposal preparation costs.

This announcement constitutes the public announcement, as contemplated by Federal Acquisition Regulation (FAR) 6.102(d)(2), and no formal Request for Proposals or other solicitation regarding this announcement will be issued.

All awards will be in the form of firm-fixed-price (FFP) contracts unless there is sufficient justification for other than FFP. By participating in this BAA, the Offeror agrees that if awarded a Firm-Fixed-Price type contract with quarterly payments, the Government’s acceptance of any effort performed shall not exceed the quarterly payment amount. The Offeror shall propose and implement a program consistent with this requirement. If it is determined that the Offeror’s performance under the contract is not progressing to the satisfaction of the Government, the Government retains the right to commence a process to modify or end performance, for cause or convenience. This process may be used in conjunction with FAR clause 52.242-15, Stop-Work Order.

Schedule The FY 2026–27 BAA will accept and review Concept Papers on a rolling basis; submissions will be accepted throughout both fiscal years. FRA may modify the schedule or research topics. If such changes are made, Appendix C — Research Topics, will be amended. This BAA and amendments issued thereto will be posted to the SAM.gov website. It is the responsibility of the Offeror and interested parties to be aware of BAA amendments, notifications, and updates by regularly checking the SAM.gov website.

https://sam.gov/content/home

Communications Protocol Those parties interested in responding to this BAA are encouraged to first contact RD&T via phone or e-mail (see below) to discuss the prospective project prior to devoting resources toward completing the project Concept Paper. All non-technical inquiries should be directed to the Contract Specialist and Contracting Officer. Any exchanges of information must be consistent with procurement integrity requirements of section 27 of the Office of Federal Procurement Policy Act (41 U.S.C. 423, as amended) (see FAR 3.104).

Communication between Offerors and FRA is encouraged prior to and throughout the project Concept Paper phase. After submission of project Proposals, all information exchanges of a technical nature will be conducted through the BAA Program Manager, and exchanges of a non-technical nature through the BAA Contracting Officer. There shall be no discussion of Proposals submitted by other Offerors or Proposal evaluation data.

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

Data Sources and Points of Contact All submittals shall be delivered in electronic format to the BAA Program Manager.

BAA Official Documents SAM.gov, FRA.gov

BAA Program Manager, Andrew Duffin 202-236-8540 FRABAA@dot.gov

FRA Contracting Officer Koren Wheeler koren.wheeler@dot.gov

System for Award Management SAM.gov

Offeror Eligibility Any responsible source may submit a Concept Paper for consideration, including, but not limited to, States or local governments, organizations of State or local governments, universities or institutions of higher education, hospitals, non-profit organizations, private individuals, corporations, and businesses or commercial organizations, except any businesses owned in whole or in part by the Federal Government. Although businesses owned in whole or in part by the Federal Government are not eligible for direct funding, they may subcontract with eligible Offerors. Cooperative arrangements (e.g., joint ventures, limited partnerships, teaming arrangements, or collaboration and consortium arrangements) are permitted and encouraged. All Offerors must be registered on the Federal Government’s System for Award Management (SAM; SAM.gov) systems prior to project award.

Small, Small Disadvantaged (SD), and Service-Disabled Veteran-Owned Business Concerns, and Veteran-Owned (VO), Woman-Owned (WO), and Historically Underutilized Business Zone (HUBZone) Small Business Concerns, and historically Black colleges and universities (HBCUs) and minority-serving institutions (MSIs) are encouraged to submit Concept Papers on their own and/or in collaboration with others. However, no portion of this BAA will be set aside or reserved exclusively for Small, SD, or Service-Disabled Veteran-Owned Business Concerns, or for VO, WO, or HUBZone Small Business Concerns, or for HBCUs and MSIs.

http://www.fra.dot.gov/ mailto:FRABAA@dot.gov

Project Qualification Requirements This BAA solicits research projects in response to specific research topics detailed in this document (Appendix C — Research Topics). Projects shall be designed to complete applied technology activities, to increase the scientific knowledge base of the rail industry, to exploit the potential of existing technologies, and to address issues that affect the safety and efficiency of rail operations, including high-speed rail, in the U.S. Projects designed to develop magnetic levitation (Maglev) technologies, or other non- traditional rail transport modes, will not be considered under this BAA. Transit-oriented research topics such as light rail, trolley, or monorail systems will not be considered. In the context of the technology readiness levels (TRL) defined below, this BAA is not designed for projects limited to Levels 1 and 2; preference will be given to those projects that are at least at the proof-of-concept testing stage (Level 3) and higher.

Technology Readiness Level Description

1. Basic principles observed and reported

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

2. Technology concept and/or application formulated

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

Examples are still limited to paper studies.

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

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

4. Component and/or breadboard validation in laboratory environment

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

5. Component and/or breadboard validation in relevant environment

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

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

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

Represents a major step up in a technology’s demonstrated readiness.

Examples include testing a prototype in a high-fidelity laboratory environment or in simulated operational environment.

7. System prototype demonstration in an operational environment

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

8. Actual system completed and qualified through test and demonstration

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

Technology Readiness Level Description

9. Actual system proven through successful deployment

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

Source: GAO/NSIAD-99-162

Program and Project Funding Limits Funding for this program is appropriated in the Federal budget for railroad research and development. FRA will determine if any submittals are consistent with the objectives of this BAA and of interest to the Government. The primary basis for selecting Concept Papers and Proposals for acceptance shall be technical, importance to agency programs, and funds availability. Cost realism and reasonableness shall also be considered to the extent appropriate.

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

Awards may be of any dollar value, but FRA anticipates that most individual awards will have dollar values ranging between $50,000 and $500,000.

Contractor Partner Investment Contractor partner investment is not mandatory under this BAA, but because of the potential for long-term benefits to those firms or institutions involved in these research, development, and demonstration activities, it is FRA policy to obtain cost investment participation whenever possible. This is preferred when FRA supports efforts where the principal purpose is ultimate commercialization and utilization of the technologies by the private sector, and when there are reasonable expectations that the Offeror will receive present or future economic benefits beyond the immediate contract/agreement. Research conducted under this BAA should be applicable to the development objectives of the program, and that the results of these research activities are practical for deployment within the railroad industry. Projects that include partnerships with, and partner investment from, railroad operators and other industry stakeholders will facilitate future industry adoption of developed technologies. Such projects are preferred. The Contractor shall include current and future lists of Partner Investments in response to this BAA.

Project Selection Process BAA project selection is a two-step process.

Project Concept Papers

Step 1: Submission and evaluation of project Concept Papers. As detailed in Section 4 and Section 3, the Concept Paper provides a brief overview of the research effort, including the current state of development, the next steps in the development plan, and rough order-of-magnitude price and schedule data. Concept papers will be used to gauge both the applicability and the Government’s interest in each technology research area. All Offerors must first submit a project Concept Paper to be considered for an award.

Discussions between the Offeror and FRA are encouraged at this point in the process to develop or refine project concepts and to avoid unnecessary work efforts, by either party, on project concepts that the Government has sponsored previously, does not value, or cannot fund.

Concept papers shall be submitted in electronic form via e-mail to Andrew Duffin via the FRA BAA mailbox (FRABAA@dot.gov), which is monitored by both the Office of Research, Development, and Technology and the Office of Acquisitions. FRA will work to complete Concept Paper evaluations within 60 days of receipt and will notify Offerors of final disposition.

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

Project Proposals

Step 2: Following Concept Paper evaluation and discussion, FRA may invite the Offeror to submit a detailed technical and price Proposal for award evaluation. Proposals shall be prepared in accordance with the requirements of Section 5 and Section 3. Submissions that are incomplete, materially lacking, not responsive to Concept Paper feedback, or not responsive to the technical requirements of this BAA may not be evaluated or evaluated as-is without further opportunity for revision, at the discretion of the FRA’s evaluation panel.

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

Oral Presentations

FRA may request that Offerors conduct an oral presentation of the Proposal following an initial evaluation. Oral presentations may be conducted in person or computer conference at the discretion of FRA. Oral presentations shall be prepared in a technical briefing format following the requirements of Section 6. FRA may ask technical questions for clarification during the oral presentation.

Intellectual Property Rights Authority incorporated by reference: FAR 52.227-14 Rights in Data-General (May 2014)

Awards will generally contain detailed provisions concerning patent rights, rights in technical data and computer software, data reporting requirements, and other terms and conditions which may be negotiated as part of the award process.

Offerors must describe any limitations on any intellectual property (patents, inventions, trade secrets, copyrights, or trademarks) that will affect an Offeror’s performance of the contract or impact the Government’s subsequent use of any deliverable under the contract. The Offeror must describe the intellectual property in sufficient detail to describe the limitations (data, including software, assertions of the Offeror or any subcontractor, potential patent licenses required by the Government, etc.), and describe why or how the Government can accomplish the stated objectives of this BAA with the limitations described or proposed by the Offeror. For example, if applicable, the Offeror must describe software it will bring in to perform the contract and any licenses the Government may need to use the contract deliverables during or after contract performance. In general, the Offeror will own intellectual property developed during@ contract performance, and unless otherwise restricted, and the Government receives a paid-up, nonexclusive, irrevocable, worldwide license to such intellectual property. This information must be included in Volume III, Supplemental Information, of the Proposal.

Patents

Authority incorporated by reference: 52.227-11 Patent Rights- Ownership by the Contractor (May 2014)

Offerors must list any known patents, patent applications, or inventions which may require the Government to obtain a license should the Offeror’s Proposal be selected for award. If any patent, patent application, or invention is owned by the Offeror, the Offeror must provide a mailto:FRABAA@dot.gov statement, in writing, that it either owns or possesses the appropriate licensing rights to patent, patent application, or invention for which the Government may require a license for this program. If an Offeror does not own or have license rights to license the Government for any such patent or patent application, the Offeror must explain how the Government may obtain a license or whether the Offeror plans to obtain these rights on behalf of the Government.

For any patent or patent application listed above, the Offeror must provide the patent number or patent application publication number, a summary of the patent or invention title, and indicate whether the Offeror is the patent or invention owner. If a patent or invention is not licensed by the Offeror, the licensor must be identified. Be advised that no patent, patent application, or invention disclosure will be accepted if identified in the Data Rights Assertion list described below. Rights in patents, patent applications, and invention disclosures are addressed in the patent rights clause to be included in the contract, and therefore no assertion of limited rights in patents or patent applications will be accepted. The list of patents, patent applications and inventions of this section must be a separate list from the Data Rights Assertion list described below.

Patent reporting obligations dictate the use of DD Form 882. The form is an attachment to this Broad Agency Announcement.

Proprietary Data Restrictions

Authority incorporated by reference: 41 USC 4703: Validation of proprietary data restrictions (4/21/2026)

Offerors are advised that project Concept Papers and/or Proposals may contain data the Offeror does not want disclosed to the public for any purpose or used by the Government except for evaluation purposes. If the Offeror wishes to restrict such data, the Contractor must furnish a written justification for any restriction the Contractor or subcontractor asserts on the right of the Federal Government to use the data. When restricting data, the cover page of all submittal documents must be marked with the following legend, and relevant sheets marked as follows:

This Proposal includes data that shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed — in whole or in part — for any purpose other than to evaluate this Proposal. However, if a contract is awarded to this Offeror because of — or in connection with — the submission of these data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract. This restriction does not limit the Government’s right to use information contained in these data if they are obtained from another source without restriction. The data subject to this restriction are contained in Sheets [insert numbers or other identification of sheets].

Each restricted data sheet shall be marked as follows:

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

4. Project Concept Papers All Concept Papers must respond to a specific research topic (Appendix C — Research Topics).

FRA will not evaluate Concept Papers that do not respond to a specific research topic. In the case of multiple project Proposals from a single Offeror, a separate Concept Paper is required for each project. No project will be considered for an award without an approved project Concept Paper.

Project Concept Papers shall be prepared simply and economically and shall provide a concise description of the proposed research project, organized as defined in the following sections.

Concept papers shall be no more than 5 pages in length (excluding cover page and Quad Chart), no less than 11-point font, on single-spaced, single-sided letter-size pages with 1” margins.

Concept Papers should not include promotional brochures, advertisements, taped recordings, or other extraneous material.

A complete Concept Paper submittal includes two documents:

• Concept paper with cover page (PDF)

• Project Quad Chart (fully compatible with MS PowerPoint)

All Concept Papers must be submitted electronically, via e-mail, to the BAA Program Manager (Section 3) at FRABAA@dot.gov.

Cover Page Project Concept Papers shall include a cover page containing the following information:

• Working title of the proposed project

• BAA Research Topic title and reference Number (Appendix C — Research Topics)

• Names, phone numbers, and mailing and e-mail addresses for the principal technical and contractual points of contact (person or persons authorized to negotiate on the behalf of the Offeror and who can contractually obligate the Offeror organization). The cover page should also include the organization’s Unique Entity Identifier code.

• Secondary Offeror organization names and addresses (project partners), if any

• Date of submittal

• Proprietary data restrictions, if any (see Section 3)

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

Background

In this section, the Offeror shall describe the following:

• Mission Statement: Briefly describe the technology proposed for research. State the Offeror’s vision of the fully developed technology and its impact on FRA’s specific research topic.

• Description of Need: Describe the specific issue intended to be solved or improved by the technology proposed for research and development. Discuss the proposed application to rail safety and/or efficiency improvement in the U.S. Estimate the probability of the rail industry adopting this technology and provide a rationale for this estimate.

• Technology Assessment: Quantify the maturity of the technology in the context of the technology readiness levels detailed in Section 3. Provide analytic and empiric evidence to support the assessment. Describe how the proposed research or technology is technically or scientifically innovative with respect to the research topic description.

• Development Framework: Describe the development history of the technology, both within the Offeror’s organization and from other sources, as applicable. Discuss the significant technical, financial, programmatic, or other factors that have affected the development of this technology to date, both positive and negative. Provide a technological risk assessment for the future development of this technology.

Scope of Work

The Offeror shall describe the general scope of work planned for their research activity, including information on the proposed major research, testing, and analysis activities. A detailed work structure breakdown is not required. The Offeror shall identify major progress milestones and associated deliverables in this section.

The Scope of Work shall identify all Offerors and associated stakeholders in the major activities of the project and shall indicate the estimated work effort required from each Offeror, expressed as a percentage of the total effort for each activity. In addition, the Offeror shall identify any required third-party resource needs; these resources may include Government-furnished equipment (GFE).

Expected Outcomes and Impacts

Identify the significant outcomes expected from the project and their impact on the safety and efficiency of the rail industry, including short-, medium-, and long-term effects.

Describe these outcomes and impacts in the context of the technology readiness levels and in terms of their impact on the realization of FRA goals as described by the specific research topic.

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

Project Team

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

Experience

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

Unique Capabilities

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

Schedule and Cost Data

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

Provide a rough order-of-magnitude cost data. Provide a uncertified costs data each organization in the project team. Provide a funding plan for the project. Identify each funding source and their contribution to the whole, expressed as a percentage. Include all anticipated sources, including Offeror internal sources, Government funds, and partner organizations.

Quad Chart Include a Quad Chart summarizing the project concept, per the example and instructions provided in Appendix A – Project Quad Chart.

5. Project Proposals Following review, evaluation, and discussion of the Concept Paper, FRA may invite the Offeror to submit a formal Proposal for the project. The project Proposal builds upon the contents of the Concept Paper, as modified through discussions between the Offeror and FRA, and driven by key comments in an FRA letter inviting the Offeror to submit a Proposal (the formal response to the Concept Paper). Additional content and more detailed information are required in the Proposal document, as described in the following sections.

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

Offerors are advised that FRA’s evaluation of a project for possible award is based solely on the contents of the Offeror’s project Proposal document, oral presentation documents (see Section 7), and the Offeror’s answers to any technical clarification questions, as transmitted through the FRA Program Manager.

It is the policy of FRA to treat all Proposals as competitive information and to disclose the contents only to government employees for the purposes of evaluation.

Please note that prior to an award, the Government reserves the right to perform a review of past performance. Sources for past performance may include the Past Performance Information Retrieval System, the Federal Award Performance system, the Integrity System (FAPIIS), and statements from Government Program Managers and Contracting Officers who are familiar with the Offeror’s relevant past performance.

A complete project Proposal submittal includes four documents:

• Volume I: Technical Proposal (20-page limit) with cover page (PDF)

• Volume II: Cost and Pricing Data (fully-compatible with Excel sheet(s) and PDF)

• Volume III: Supplemental Information (PDF)

• Project Quad Chart (fully-compatible with MS PowerPoint, in the template supplied)

All project Proposals must be submitted to the BAA Program Manager: FRABAA@dot.gov (Section 3).

Cover Page Project Proposals shall include a cover page containing the following information:

• Working title of the proposed project

• BAA Research Topic title and reference Number (Appendix C — Research Topics)

• “Project Proposal” written below the project title

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

• Unique Entity Identifier code

• Secondary Offeror organization addresses (project partners) if any

• Date of submittal

• Proprietary data restrictions, if any (see Section 3)

Volume I: Technical Proposal The Technical Proposal shall contain the following sections:

1. Background

2. Statement of Work

3. Technical Approach

4. Project Management Plan

5. Capabilities and Experience

Background

Offerors shall explain, specifically, how the proposed technology or method enhances the ability to meet the research topic goals; how it could be incorporated into existing railroad equipment, infrastructure, or operations (to include how major barriers, impediments, or obstacles could be overcome or mitigated); and the interface modifications required to accomplish a demonstration.

Explain how its application will bring about an improvement to capital equipment or infrastructure, operating methods, and safety and/or performance improvements. Also cite correlative benefits to general railroad operations, if any, since they can enhance the feasibility of passenger service added to freight routes. Quantitative support for these assertions should be provided.

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

Proposals shall include references to past relevant research describing capabilities, work, and significant accomplishments in areas directly associated with proposed research area or in closely related areas. A bibliography of relevant technical papers and research notes that support the technical concepts and innovative ideas described in this Proposal shall be included for technical reference.

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

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

• Technology Assessment: Quantify the maturity of the technology in the context of the TRLs detailed in Section 3. Describe the technology readiness in the context of the rail industry (operations, legal, regulatory, etc.). Provide analytic and empiric evidence to support the assessment. Describe how the proposed research or technology is technically or scientifically innovative with respect to the research topic description.

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

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

Statement of Work (SOW)

The SOW shall contain the following information:

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

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

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

o In keeping with the DOT move to Google products, bear in mind that final deliverables (e.g., Technical Reports and Research Results) for awarded contracts may be required to be fully compatible with Google Docs (i.e., ensuring all formatting, formulas, functionality, and styles are preserved and editable).

Technical Approach

Offerors shall provide a narrative description of the planned work, organized as it is expected to be performed. The technical approach shall include activities designed to integrate the rail industry into the development effort, either through active participation in the technology development or through demonstration and/or testing support. Describe the steps, tasks, and activities necessary to achieve the desired project results. Identify and describe all deliverables, presentations, demonstrations, tests, and periodic reports.

Describe the quality requirements for the project and identify the processes and/or procedures that will be employed to ensure these requirements are satisfied.

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

Project Management Plan

The Proposal shall contain a detailed management plan for the project based on the following minimum requirements.

• Work Breakdown Structure (WBS): Divide the project requirements into tasks and work packages. Hierarchically organize the project work down to the work package level. A table or chart format is preferred.

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

• Mobilization Plan: In the context of the project schedule, describe the plan to acquire and deploy the necessary resources, including personnel, facilities, equipment, and other resources (e.g., GFE) deemed necessary for project execution. The Offeror must provide a justification for why GFE should be retained by the Contractor and why it spurs long-term development and innovation.

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

• Subcontracts/Teaming/Partner Investments Management Plan: Identify and describe Offeror plans for subcontracting, teaming, and investment sharing. Clearly identify the roles and responsibilities of all organizations working within the project team, including technical and financial elements.

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

• Risk Mitigation: Offerors should include a description on how they intend to reduce the chances of risk in the course of conducting research and quantifying and qualifying tasks.

Capabilities and Experience

Identify and describe the relevant capabilities and experience of key project personnel and organizations. Describe any relevant technological, scientific, railroad, or other industrial or defense capabilities, experience, and resources (or those of team members) that demonstrate an ability to successfully conduct the proposed project. Describe the team member’s (or organization’s) familiarity with or position in the railroad community and access to critical project resources.

Describe any unique capabilities that the Offeror team possesses that may reduce project risk or duration and/or may improve project financial performance.