U.S. DOT FY21 SBIR Solicitation.pdf

6913G621QSBIR1

FY 2021

Small Business Innovation Research (SBIR) Program

PHASE I PROGRAM SOLICITATION

NAICS CODE: 541715

Issue Date: February 4, 2021

Closing Date: March 8, 2021 3:00 PM ET

Small Business Innovation Research (SBIR) Program Office, V-330A 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

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

i

INFORMATION ABOUT IMPORTANT DATES

Date Description February 4, 2021 Solicitation Open Date with amended topics (see below)

Pre-solicitation Questions & Answers (Q&A) available on the U.S. DOT SBIR website (see Section I.D)

February 10, 2021, 5:00 PM ET Registration Deadline for Pre-Offer Webinar (see below) February 11, 2021, 1:00 PM ET Pre-Offer Webinar (see below) March 1, 2021, 5:00 PM ET Administrative and Contract Pricing Worksheet

(Appendix C) Questions Due (see Section I.D) March 8, 2021, 3:00 PM ET Solicitation Closing Date (See Section V) On or about May 4-6, 2021 Pitch Day (see Section III.D)

Solicitation Open with Amended Topics The proposed topic list shared during the pre-solicitation has been amended for the U.S. DOT FY21 Phase I Solicitation as follows:

• Topic FT1, Robots for Unmanned Disinfection and Decontamination of Transit Assets, has been updated with clarifications.

• Topic FH3, Accelerating Performance Testing Using the Asphalt Mixture Performance Tester (AMPT) Equipment, has been updated with additional links to technical references.

• Topic FH4, Reference Hardware for Infrastructure GPS Abnormality Detector for Connected and Automated Vehicle Applications, has been updated with clarifications.

Pre-Offer Webinar The Pre-Offer Webinar will be held on Thursday, February 11, 2021 at 1:00 PM ET. The Government encourages all small businesses and persons that are interested in or considering submitting an offer to attend the pre-offer webinar. Small businesses may attend this webinar only virtually via a webinar conference. Come learn about the U.S. DOT’s SBIR program, this year’s topics, and Pitch Day. Administrative questions about the solicitation will be collected during the webinar, but no technical questions regarding the research topics will be accepted.

To register, visit: https://volpe-events.webex.com/volpe-events/onstage/g.php?MTID=efbf8f5000804aefdc8dfbaecf9260ffd

The deadline to register for the webinar is Wednesday, February 10, 2021 at 5:00 PM ET.

After the webinar, a captioned recording will be posted to the U.S. DOT SBIR Program website (https://www.volpe.dot.gov/work-with-us/small-business-innovation-research).

https://volpe-events.webex.com/volpe-events/onstage/g.php?MTID=efbf8f5000804aefdc8dfbaecf9260ffd https://volpe-events.webex.com/volpe-events/onstage/g.php?MTID=efbf8f5000804aefdc8dfbaecf9260ffd https://www.volpe.dot.gov/work-with-us/small-business-innovation-research ii

Closing Date Offers must be received through the U.S. DOT’s automated proposal website, no later than 3:00 PM ET on Monday, March 8, 2021. The U.S. DOT’s automated proposal website is located at:

https://usg.valideval.com/teams/USDOTSBIR_FY21/signup.

Pitch Day Offerors who submitted offers that receive the highest rating(s) for the respective research topics will have an opportunity to make a virtual oral presentation to the Government promoting its offer. Pitch Day is scheduled on or around May 4-6, 2021. For more information, see Section

III.D.

https://usg.valideval.com/teams/USDOTSBIR_FY21/signup

CONTENTS

INFORMATION ABOUT IMPORTANT DATES ............................................................................................................ I

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. OFFER PREPARATION INSTRUCTIONS AND REQUIREMENTS

A. OVERVIEW

B. SOLICITATION REQUIREMENTS

1. SBA Company Registry Confirmation

2. Submission of Offer

3. Offer File Names

4. Offer Submission Deadline

5. Duplicate Offers

6. Specific Instructions for the Four Separate Offer Files:

C. OTHER INFORMATION

1. Offer Control

2. Fraudulent Information

3. Technical and Business Assistance (TABA)

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

(MEP)

D. SYSTEM FOR AWARD MANAGEMENT (SAM) AND DATA UNIVERSAL NUMBERING SYSTEM (DUNS) IDENTIFICATION NUMBER

III. METHOD OF SELECTION AND EVALUATION CRITERIA

A. BASIS OF AWARD

B. PHASE I EVALUATION CRITERIA

C. OFFER RESPONSIVENESS REVIEW

D. EVALUATION AND SELECTION OF AWARDEES

E. TIME TO AWARD REQUIREMENTS

F. DEBRIEFING REQUESTS

IV. CONSIDERATIONS

A. FUNDING AWARDS

B. REPORTS

C. PAYMENT SCHEDULE

D. INNOVATIONS, INVENTIONS, AND PATENTS

E. COST SHARING

F. PROFIT

G. JOINT VENTURES OR LIMITED PARTNERSHIPS

H. RESEARCH AND ANALYTICAL WORK

I. AWARDEE COMMITMENTS

J. SUMMARY STATEMENTS

K. ADDITIONAL INFORMATION

V. SUBMISSION OF OFFERS

VI. SCIENTIFIC AND TECHNICAL INFORMATION SOURCES

A. FEDERAL HIGHWAY ADMINISTRATION (FHWA)

B. FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION (FMCSA)

C. FEDERAL RAILROAD ADMINISTRATION (FRA)

D. FEDERAL TRANSIT ADMINISTRATION (FTA)

E. NATIONAL HIGHWAY TRAFFIC SAFETY ADMINISTRATION (NHTSA)

F. PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION (PHMSA)

VII. SUBMISSION FORMS AND CERTIFICATION (APPENDICES)

A. OFFER SIGNATURE PAGE (APPENDIX A)

B. PROJECT SUMMARY (APPENDIX B)

C. CONTRACT PRICING WORKSHEET (APPENDIX C)

D. OFFER SUBMISSION CHECKLIST (APPENDIX D)

VIII. RESEARCH TOPICS

A. FEDERAL HIGHWAY ADMINISTRATION (FHWA)

21-FH1: Device for Assessing Environmental Impact of Post-Consumer Waste Plastic in Highway and Airfield Materials and Pavements 21-FH2: In-situ Determination of Pore Solution Resistivity 21-FH3: Accelerating Performance Testing Using the Asphalt Mixture Performance Tester (AMPT) Equipment 21-FH4: Reference Hardware for Infrastructure GPS Abnormality Detector for Connected and Automated Vehicle Applications

B. FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION (FMCSA)

21-FM1: Automated Vehicles: Deployment of Traffic Warning Devices (Triangles) 21-FM2: Readiness Assessment Technology

C. FEDERAL RAILROAD ADMINISTRATION (FRA)

21-FR1: Passenger Train Exterior Side Door Safety 21-FR2: Wheel Measuring Device

D. FEDERAL TRANSIT ADMINISTRATION (FTA)

21-FT1: Robots for Unmanned Disinfection and Decontamination of Transit Assets 21-FT2: Using Artificial Intelligence (AI) to Inspect, Repair and Sanitize Transit Vehicles

E. NATIONAL HIGHWAY TRAFFIC SAFETY ADMINISTRATION (NHTSA)

21-NH1: Securing Safe Passage when Crossing a Roadway to Board Buses 21-NH2: Ignition Interlock Device Data-Integrated Mobile Device App

F. PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION (PHMSA)

21-PH1: Lithium Ion Battery Packaging

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 ideas and solutions in response to the topics identified by the U.S. DOT as described in Section VIII. Under the SBIR Program, the U.S. DOT does not accept unsolicited proposals.

The goals and objectives of the SBIR Program are to:

• Stimulate technological innovation;

• Meet Federal research or research and development (R/R&D) 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 R/R&D funding.

The SBIR Program encourages small businesses to engage in R/R&D that has the potential for commercialization and meets Federal R/R&D objectives. The Small Business Innovation Development Act of 1982 (Public Law (P.L.) 97-219 codified at 15 U.S.C. 638) established the SBIR Program. More information is available at https://www.sbir.gov/about/about-sbir.

B. Three Phase Program

The U.S. DOT SBIR Program is a three phase program.

THIS SOLICITATION IS FOR PHASE I OFFERS ONLY.

Phase I. Phase I is the conduct of feasibility-related experimental or theoretical research or R/R&D efforts on research topics described herein. For the U.S. DOT SBIR Program, Phase I offers can be funded up to $150,000 unless otherwise noted in Section VIII. The period of performance of the resulting contract shall be six months. The basis for award is the scientific and technical merit of the offer, its commercial potential, and its relevance to U.S. DOT requirements and current research priorities. The U.S. DOT intends to award Firm-Fixed-Price (FFP) purchase orders utilizing Federal Acquisition Regulation (FAR) Part 13 Simplified Acquisition Procedures. A purchase order is an offer by the Government to buy supplies or services, including research and development, upon specified terms and conditions (in this instance, this solicitation and the contractor’s offer). The U.S. DOT will require written https://www.sbir.gov/about/about-sbir acceptance of the purchase order by the SBC at the time of award via the SBC signing the purchase order, thus creating a binding contract between the SBC and the Government. Award of a bilaterally signed purchase order is subject to the availability of funding.

All U.S. DOT SBIR Phase I awardees who have successfully completed Phase I are eligible to submit a Phase II proposal for evaluation and possible selection for award.

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

Award of a contract for a Phase II effort is based on the results of Phase I, the scientific and technical merit of the Phase II proposal, and the commercial potential of the proposed Phase II project. Commercial potential includes the capability to transition the technology to private sector applications, Government applications, or Government contractor applications. For the U.S. DOT SBIR Program, contracts for Phase II proposals can be funded up to $1,000,000 (except where a lower ceiling is specifically identified) and can have a period of performance of up to 24 months from the date of contract award. The Government is not obligated to fund any specific Phase II proposal.

The U.S. DOT typically awards Firm-Fixed-Price (FFP), FFP-Level-of-Effort (FFPLOE), or Cost-Plus-Fixed-Fee (CPFF) negotiated contracts for Phase II efforts utilizing FAR Part 15 Contracting by Negotiation procedures. Approximately 30 days prior to the end of Phase I efforts, the U.S. DOT SBIR Program Office will provide Phase I contract awardees details on the due date, content, submission requirements, and evaluation criteria for Phase II proposals. A summary of Phase II proposal submission requirements can be found on the U.S. DOT’s SBIR website at: https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/submit-proposal.

A Phase II awardee may receive one additional, sequential Phase II award to continue the work of an initial Phase II award.

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 Agency’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 SBIR work, funded by non-SBIR sources of Federal funding including R/R&D.

https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/submit-proposal

C. Eligibility

Size Rule On December 27, 2012, the Small Business Administration (SBA) amended its regulations governing size and eligibility requirements for the SBIR program. The implementing provisions of the National Defense Authorization Act for Fiscal Year 2012 revised 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 revision 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. Offers submitted by these parties will not be considered for award.

Each SBC submitting an offer must qualify as a SBC at the time of award of Phase I and Phase II contracts (see Section I. E. for the definition of a SBC). A SBC, together with its affiliates, must not have more than 500 employees. 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 at all times during the conduct of the proposed research. “Primary employment” means that more than one-half of the principal investigator's employment time is spent working for the small business. This typically precludes full-time employment with another organization.

• For Phase I, a minimum of two-thirds of the research or analytical effort, measured in total contract dollars using simple math, must be performed by the awardee (i.e., 66.7% of total contract cost must be for other than subcontractor/consultant costs).

• For Phase II, a minimum of one-half of the research or analytical effort, measured in total contract dollars on costs incurred for personnel, must be performed by the awardee (i.e., labor and indirect rates minus costs such as material, travel, and subcontractor/consultant).

• For both Phase I and Phase II, 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.

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

Performance Benchmark Requirements for Phase I Eligibility Section 4(a)(3) of the SBIR Policy Directive requires each Federal agency participating in SBIR to set a Phase II transition rate benchmark per Section 5165 of the SBIR/STTR Reauthorization Act of 2011. General information on the Performance Benchmark requirements is available at https://www.sbir.gov/faqs/performance-benchmarks.

Before submitting an offer to this solicitation, all potential offerors should verify their Transition Rate eligibility for Phase I awards on SBA’s SBIR website at https://www.sbir.gov/. On June 1st of each year, Phase I applicants that meet the Phase I to Phase II transition rate identified below are eligible to submit an offer for a new Phase I award. General information on the Performance Benchmark requirements is available at https://www.sbir.gov/faqs/performance-benchmarks.

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 offeror’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 fiscal year. The U.S. DOT SBIR Phase I to II Transition Benchmark is: at least 0.25.

Commercialization Rate: The Commercialization Rate (described at https://www.sbir.gov/faqs/performance-benchmarks) is not a requirement for this Solicitation.

D. Contact Information

If you have any administrative questions not listed on our Frequently Asked Questions (FAQs) website page (https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/frequently-asked-questions), or questions regarding this Solicitation’s Appendix C:

Contract Pricing Worksheet, please submit such questions via email to:

U.S. DOT SBIR Program Office dotsbir@dot.gov

All administrative and Appendix C questions must be submitted no later than 5:00 PM ET on Monday, March 1, 2021. Questions received after 5:00 PM ET on March 1, 2021 may not be answered. The Government reserves the right to address a late question, if the Government determines an answer is in the best interests of the Government.

Effective July 25, 2013, for all U.S. DOT SBIR Program Phase I offerors that have received 20 or more Phase I awards over the past 5-year period, the ratio of Phase II awards received to Phase I awards received must be at least 0.25.

https://www.sbir.gov/faqs/performance-benchmarks https://www.sbir.gov/ https://www.sbir.gov/faqs/performance-benchmarks https://www.sbir.gov/faqs/performance-benchmarks https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/frequently-asked-questions https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/frequently-asked-questions mailto:dotsbir@dot.gov

PLEASE NOTE:

• Technical questions pertaining to the research topics will not be answered during the solicitation period as technical questions were only permitted during the pre-solicitation period. To review the technical questions and answers, visit:

https://usdot.uservoice.com/forums/932932-u-s-dot-fy-2021-phase-i-pre-solicitation-q-a.

• Inquiries regarding offer 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 support full and open competition and comply with the Procurement Integrity Act, 41 U.S.C. Sections 2101-2107 requirements, during the Phase I submittal and evaluation period, offeror or potential offeror contact with U.S. DOT relative to this Solicitation is restricted to the officials identified in this Solicitation. During the open period of this Solicitation (from solicitation issuance until release of award recommendation list), contact with U.S. DOT officials (excluding certain offices and positions such as the DOT Office of the Inspector General (see herein) and the U.S. DOT/Office of the Secretary) from or at any U.S. DOT agency, other than those U.S. DOT officials identified in this Solicitation, may result in rejection of the offer determined related to such unauthorized contact.

E. Definitions

Funding Agreement Any contract, 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.

NOTE: The U.S. DOT does not award grants or cooperative agreements under the SBIR Program.

Research or Research and Development (R/R&D) Any activity that is:

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

• A systematic study directed specifically toward applying knowledge and innovation to meet a recognized but unmet need; or

• A systematic application of knowledge and innovation toward the production of useful materials, devices, and systems or methods, including design, development, and https://usdot.uservoice.com/forums/932932-u-s-dot-fy-2021-phase-i-pre-solicitation-q-a improvement of prototypes and new processes to meet specific requirements.

Subcontract Subcontract means any agreement, other than one involving an employer-employee relationship, entered into by an awardee of a funding agreement calling for supplies or services for the performance of the original funding agreement.

SBIR Data All data developed or generated during the performance of an SBIR award, including Technical Data and Computer Software developed or generated in the performance of an SBIR award. The term does not include information incidental to contract administration, such as financial, administrative, cost or pricing or management information.

SBIR Data Rights The Government’s license rights in properly marked SBIR Data during the SBIR protection period as follows: SBIR Technical Data Rights in SBIR Data that are Technical Data or any other type of Data other than Computer Software and SBIR Computer Software Rights in SBIR Data that is Computer Software. Upon expiration of the protection period for SBIR Data, the Government has a royalty-free license to use, and to authorize others to use on its behalf, these Data for Government purposes, and is relieved of all disclosure prohibitions and assumes no liability for unauthorized use of these Data by third parties, except that any such Data that is also protected under a subsequent SBIR award shall remain protected through the protection period of that subsequent award. The Government receives unlimited rights in all Form, Fit, and Function Data, Operations, Maintenance, Installation, or Training Purposes (OMIT) Data, and unmarked SBIR Data.

Small Business Concern (SBC) A concern that meets the SBIR program eligibility requirements set forth in 13 CFR § 121.702, which can be found here: https://www.law.cornell.edu/cfr/text/13/121.702.

Veteran-Owned SBC A Veteran-owned SBC means a SBC:

(1) Not less than 51% of which is 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,

(2) The management and daily business operations of which are controlled by one or more veterans.

Women-Owned SBC (WOSB) A WOSB is an SBC that is at least 51% owned by one or more women; or, in the case of any publicly owned business, at least 51% of the stock is owned by women; and women control the https://www.law.cornell.edu/cfr/text/13/121.702 management and daily business operations.

Socially and Economically Disadvantaged SBC (SDB) For Eligibility, and Certification, Relating to Federal Small Disadvantaged Business Programs, See 13 CFR § 124, Subpart B at: https://www.law.cornell.edu/cfr/text/13/part-124/subpart-B.

Historically Underutilized Business Zone (HUBZone) A HUBZone SBC means a SBC, certified by the SBA, that appears on the List of Qualified HUBZone SBCs maintained by the SBA (13 CFR § 126.103 at:

https://www.law.cornell.edu/cfr/text/13/part-126)

F. Report SBIR Fraud, Waste, and Abuse

The U.S. DOT Office of Inspector General Hotline (Phone: 800-424-9071, Email:

hotline@oig.dot.gov) accepts tips from all sources about allegations of fraud, waste, abuse, and mismanagement in U.S. DOT programs. If the allegations of fraud, waste, abuse or mismanagement pertain to the SBIR Program, then the reporting individual should indicate that the alleged fraud, waste and/or abuse pertains to an SBIR solicitation or contract. Additionally, the U.S. DOT SBIR Program website contains information and links to report potential fraud, waste, and abuse: https://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 EO 13329 as well as publish an annual report. More information about the U.S. DOT SBIR Program Office Implementation Plan and Annual Report is posted on the Program website: https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/frequently-asked-questions.

https://www.law.cornell.edu/cfr/text/13/part-124/subpart-B https://www.law.cornell.edu/cfr/text/13/part-126 mailto:hotline@oig.dot.gov https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/report-fraud-waste-and-abuse https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/report-fraud-waste-and-abuse

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 priority to small business concerns that participate in or conduct energy efficiency or renewable energy system research and development projects. 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: EO 13693 – Planning for Federal Sustainability in the Next Decade EO 13693 superseded EO 13514 and requires Federal agencies to include sustainability requirements in all federal contracts. DOT strongly encourages all SBIR applicants to include sustainability in their research and development offers. To learn more visit:

https://www.energy.gov/sites/prod/files/2015/09/f26/EO13693.pdf.

https://www.energy.gov/sites/prod/files/2015/09/f26/EO13693.pdf

II. OFFER PREPARATION INSTRUCTIONS AND REQUIREMENTS

A. Overview

This is a solicitation for Phase I R/R&D offers on advanced, innovative concepts from small business concerns (SBCs) having strong capabilities in applied science or engineering. The Phase I R/R&D offers 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 VIII.

An offer may respond to any of the research topics listed in Section VIII herein, but must be limited to one topic. No one offer may be accepted under more than one topic. An SBC may, however, submit separate offers on different topics, or different offers 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 Administration of the U.S. DOT to perform its mission. Offers shall be confined principally to scientific or engineering research, which may be carried out through construction and evaluation. Offers must be for R/R&D, particularly on advanced or innovative concepts.

Each offer shall be self-contained and checked carefully by the offeror to ensure compliance with all preparation instructions (see Appendix D, Offer Submission Checklist).

B. Solicitation Requirements

The following requirements must be met by the submission deadline for the offer to be evaluated for award:

1. SBA Company Registry Confirmation – Each SBC applying to the SBIR program is required to complete its registration in SBA's Company Registry (http://sbir.gov/registration) prior to submitting its application. At a minimum, registration requires 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 should be submitted as the first page in the Technical Section of the Offer.

All offers must be submitted using the U.S. DOT’s SBIR online submittal page:

https://usg.valideval.com/teams/USDOTSBIR_FY21/signup.

http://sbir.gov/registration

2. Submission of Offer – Offers must be submitted using the U.S. DOT SBIR Program’s electronic submission process during open solicitation periods only. Offers must be complete, accurate and submitted as four separate files:

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

i. The technical section shall not exceed 15 pages. The SBA Company Registry Confirmation, and Prior Phase II Awards do not count towards the 15 pages.

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

iii. Offers shall be on standard letter size pages (8.5" by 11").

iv. All pages should be numbered consecutively.

b. Appendices A and B – Appendix A: Signature Page and Appendix B: Project Summary must be saved as one single PDF file, which does not count toward the 15 page limit for the technical section.

c. Appendix C: Contract Pricing Worksheet – The Contract Pricing Worksheet must be submitted as an Excel file. This section does not count towards the 15 page limit for the technical section. SBCs must use the template provided by the U.S. DOT SBIR Program Office in order to be considered responsive.

d. Contract Pricing Worksheet Supporting Documentation – Supporting documentation for Appendix C: Contract Pricing Worksheet must be submitted as a PDF file, and must include the required supporting information described on page 15 of this Solicitation and in Appendix C. This section does not count towards the 15 page limit for the technical section. There is no limit on the number of pages for the Contract Pricing Worksheet Supporting Documentation.

3. Offer File Names – Offer file names for each of the four separate files shall include the following:

a. The first three characters shall be the topic number that the offer is associated with (e.g., FH2).

b. The remaining characters must include an abbreviation of the company’s name and a distinct character to designate each file (e.g., 1, 2, 3, and 4).

4. Offer Submission Deadline – Offers must be received no later than 3:00 PM ET on Monday, March 8, 2021 through the U.S. DOT’s automated proposal website at:

https://usg.valideval.com/teams/USDOTSBIR_FY21/signup. Offers received after that time will be automatically rejected; no exceptions will be permitted. Please be aware that the submittal process requires answering several questions; be sure to allow ample time to complete the multi-step submittal process. Offers will not be considered received by the Government until this multi-step process is complete. Offerors are encouraged to submit their offers as early as possible.

5. Duplicate Offers – Only one offer shall be submitted through the U.S. DOT’s automated proposal website. No duplicate offers shall be sent by any other means. An offer may respond to any of the research topics listed in Section VIII herein, but must be limited to one topic. No one offer may be accepted under more than one topic. A SBC may, however, submit separate offers on different topics, or multiple separate offers on the same topic under this solicitation. Note: To submit a separate offer in the proposal website, submit the form a second time by adding the new topic number or other distinction at the end of the company name in the Company Name field (e.g., Small Business, Inc. – FH1). This will create a second profile.

6. Specific Instructions for the Four Separate Offer Files:

Technical Section (PDF) Includes SBA Registry Confirmation, Technical Section, and Prior Phase II Awards.

SBA Company Registry Confirmation (does not count toward the 15 page limit)

Page 1 of PDF

All SBIR applicants are required to be registered in SBA’s company registry database. The confirmation page from registering in the database should be included as the first page of the Technical Section. It does not count towards the 15 page limit. See https://www.sbir.gov/registration to register or print your registration confirmation.

Technical Section (not to exceed 15 pages)

Submitted offers 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 seeks 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.

https://www.sbir.gov/registration

4. Related Research or R&D. Describe significant R/R&D that is directly related to the offer 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 related education, experience, and bibliographic information. Where vitae are extensive, summaries that focus on the most relevant experience or publications are desired and may be necessary to meet page limitation.

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

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

8. Subcontractors/Consultants. Involvement of consultants in the planning and research stages of the project is permitted. Describe any intended consultant involvement in detail. For Phase I, a maximum of one-third of the research or analytical effort, measured in total contract dollars using simple math, may be performed by subcontractors/consultants.

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 Offers and/or Awards. While it is allowed, with notification, to submit identical offers or offers containing a significant amount of essentially equivalent work for consideration under numerous federal program solicitations, it is unlawful to enter into funding agreements 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 offers containing equivalent work under other Federal program solicitations, a statement must be included in each offer indicating:

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

• Date of offer submission or date of award;

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

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

• Titles of research projects;

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

11. 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). Due to the short timeframe associated with Phase I of the SBIR process, the DOT does not recommend the submission of Phase I offers that require the use of Human Subjects Testing. For more information, visit the FAQ at:

https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/frequently-asked-questions.

Prior SBIR Phase II Awards (does not count toward the 15 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 offer submitted or award received.

Appendices A and B (PDF)

Signature Page (Appendix A)

Page 1 of PDF

Complete the signature page in Appendix A.

https://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/21-appendix-a

Project Summary (Appendix B)

Page 2 of PDF

Complete the Project Summary Sheet in Appendix B. The Project Summary of successful offers 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.

a. The technical abstract shall be prepared in accordance with the instructions on the Appendix B Project Summary sheet, e.g., word limit using space on form, no proprietary/classified information.

2. Anticipated results and potential applications of the proposed research.

Appendix C: Contract Pricing Worksheet (Excel)

The required Appendix C template is available on our website here in Microsoft Excel 2016 format.

A Phase I Contract Pricing Worksheet must be submitted using the template provided. SBCs must use the template provided by DOT. 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 offer, 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 an award is made.

• Phase I contract awards may include profit. Note: FFP purchase orders are the type used for Phase I SBIR awards.

• Travel is allowable, however, unusual, for Phase I projects.

• The SBC must note its TIN and DUNS identification number in

Appendix C, in the Contract Pricing Worksheet Coversheet. The DUNS number 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 of Appendix C. An offeror must have a DUNS number before a funding agreement can be awarded.

If you have any trouble accessing the Appendix C spreadsheet please contact the U.S. DOT SBIR Program Office via email at dotsbir@dot.gov no later than March 1, 2021.

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

https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/21-appendix-b https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/21-appendix-c

Contract Pricing Worksheet Supporting Documentation (PDF)

See the first two tabs of Appendix C for instructions and further examples of supporting documentation.

Supporting documentation for the costs and pricing proposed in Appendix C must be submitted as a separate file in PDF format. Supporting documentation must be provided for all costs proposed (e.g., materials quotes, subcontractor proposals, indirect rate calculations, etc.).

7. Specific Instructions for Pitch Deck:

PITCH DECK (FOR INVITED OFFERORS ONLY)

Not part of the initial offer submission.

Pitch Deck (not to exceed 15 slides)

Upon invitation only and separate from the initial submission, offerors invited to Pitch Day must submit a pitch deck in MS PowerPoint or PDF via email to the SBIR Program Office (dotsbir@dot.gov) no later than 3 business days prior to the event. There is no set format for the slide content.

Pitch deck slides are not to be submitted with the initial offer and will not be considered.

C. Other Information

1. Offer Control. Offers will be available only to Government employees in the U.S. DOT team of engineers and/or scientists responsible for evaluating the offer, the U.S. DOT SBIR Program Office, and/or Volpe Center staff pertinent to the SBIR program. The Government reserves the right to have different evaluators participate in Pitch Day.

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

a. An offer being deemed non-responsive;

b. A recommendation for Phase I award being rescinded;

c. Termination of an award; or

d. Possible referral to the Suspension and Debarment authority for review and action.

3. Technical and Business Assistance (TABA). The SBIR Program Policy Directive permits an agency to provide technical and business assistance to an SBIR awardee. For https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/21-appendix-c https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/21-appendix-c the U.S. DOT, this amount shall be up to and not exceed $6,500 for Phase I awards. This amount is in addition to the award amount for Phase I awards.

The purpose of TABA, 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.

A U.S. DOT SBIR awardee can receive support through TABA in one of two ways:

a. The U.S. DOT SBIR Program Office has a Blanket Purchase Agreement (BPA) with

Foresight Science & Technology Incorporated (34 Hayden Rowe St., Hopkinton, MA) that can provide support to Phase I and Phase II awardees. Once an offer is recommended for award, the prospective awardee 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 TABA vendor and an individualized Commercialization Readiness Assessment report to support the development of the Phase II proposal’s commercialization strategy, OR

b. Awardees can receive assistance in an amount not to exceed $6,500 not using the BPA of the SBIR Program Office. To do so, an awardee must, through its own efforts, obtain a vendor to provide TABA services.

If recommended for award, the awardee must provide at that time of award recommendation an outline of the specific services its proposed vendor will provide and the detailed qualifications and experience of the proposed vendor, as well as pricing information. This information should not be included in the initial offer, the pitch deck (if selected for pitch day), or the Appendix C contract pricing worksheet.

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.

http://www.nist.gov/mep

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

Any business that seeks to work with the Federal Government under a FAR-based contract is mandated to register in SAM before being awarded a contract. It is recommended that such business register in SAM before submitting an offer as some items in SAM are due at the time of or before offer submission. Additional information on SAM and the registration process is provided on the SAM website at: https://sam.gov/SAM/. Businesses that already have a DUNS number can register on the SAM website by following the prompts. Instructions for obtaining a DUNS number can be found at: http://fedgov.dnb.com/webform/displayHomePage.do.

https://sam.gov/SAM/ http://fedgov.dnb.com/webform/displayHomePage.do

III. METHOD OF SELECTION AND EVALUATION CRITERIA

A. Basis of Award

All Phase I offers will be evaluated and judged on a competitive basis. Initially, all offers will be screened to determine responsiveness to the solicitation. All non-responsive offers will be rejected by the Government and will not be further evaluated.

Each offer will be judged on its own merit. A Phase I contract award will be made to the responsive and responsible SBC(s) whose offer provides the best value to the Government, based on the technical and scientific merit of the offer. The U.S. DOT is under no obligation to fund any offer or any specific number of offers on a given topic. For any given topic, the U.S.

DOT reserves the right to award more or less than the anticipated quantity of awards stated in Section VIII, and to make no awards under a given topic.

B. Phase I Evaluation Criteria

Offerors will be evaluated based on the criteria outlined below. Selections will be based on best value to the Government considering the following criteria, which are listed in descending order of importance. Details of what are considered within each criteria are included below.

Technical Merit & Feasibility Demonstration of understanding of the problem and solution alignment with the topic description; innovative approach; scientific feasibility

Experience, Qualifications, and Facilities

Description of technical personnel; equipment and facilities;

and partnerships/subcontracts (when applicable)

Effectiveness of Proposed Work Plan

Clarity of technical plan and timeline

Commercial Potential Market understanding and awareness of regulatory, compliance, or legal issues

Offer Quality Quality of narrative and supporting evidence

C. Offer Responsiveness Review

Each offer will be examined to determine if it is complete and contains adequate technical data.

An offer that does not meet the requirements of the solicitation as described in Section II.B may be excluded from further consideration.

D. Evaluation and Selection of Awardees

Responsive offers will be evaluated in a two-step process in order to reduce the time from submission to selection and award.

1. Each responsive offer will be evaluated against the evaluation criteria described in Section III.B. After evaluations are complete, the highest rated offerors within each topic will be invited by the Government to move on to the next evaluation step, Pitch Day, and have an opportunity to be considered for award. At the time the Government identifies the offerors that will participate in Pitch Day, all offerors will be notified of their evaluation status. Offerors invited to Pitch Day will receive instructions on how to prepare a short (15-slide maximum) Pitch Deck to present at the event.

2. The highest rated offerors will be invited to attend a virtual Pitch Day event on or around May 4, 2021. At Pitch Day, offerors will have no more than 15 minutes (timed) to present their Pitch Decks to the team of Government evaluators and respond to Government Q&A on the presented pitch.

It is recommended that no more than three individuals attend Pitch Day, and no more than five shall be permitted. Further logistical information will be made available closer to the event.

Pitches will be evaluated against the evaluation criteria described in Section III.B independently of the initial offer. Once Pitch Day evaluations are complete, all Pitch Day offerors will be notified of the offers that the Government is recommending for award. At this time, the U.S. DOT SBIR Program Office will also post a listing of all Phase I offers recommended for award on the U.S. DOT SBIR Program webpage:

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

E. Time to Award Requirements

The SBIR Program Policy Directive requires all SBIR agencies to make Phase I awards within 180 days after the close of the solicitation.

The U.S. DOT SBIR Program Office intends to make recommendations for SBIR Phase I awards no later than 90 days after the closing date of this solicitation.