Stimulating Innovation and the U.S. Economy Stimulating Innovation and the U.S. Economy through U.S. Department of Transportation’sthrough U.S. Department of Transportation’s

Small Business Innovation Research Small Business Innovation Research (SBIR) Program(SBIR) Program

2011 National SBIR/STTR Fall Conference, New Orleans, LA2011 National SBIR/STTR Fall Conference, New Orleans, LANovember 6 - 9, 2011November 6 - 9, 2011

How SBIR Supports the Mission of DOT• SBIR is key element of DOT’s R&D Program that addresses high

priority research gaps• Research topics are developed to align with Secretary LaHood’s

strategic priorities and SBA guidance (manufacturing and energy efficiency/renewable energy) while also incorporating specific modal priorities

– Distracted driving

– Rail safety

– “Green” technologies

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Snapshot of participation in U.S. DOT’s SBIR Program by Operating Administration

2008 2009 2010 2011Federal Aviation Administration* -- -- X -- Federal Highway Administration X X X XFederal Railroad Administration X X X XFederal Transit Administration X X X XFederal Motor Carrier Safety Administration X X X X National Highway Traffic Safety Administration X X X XResearch and Innovative Technology Administration/ITS Joint Program Office** -- X X XPipeline and Hazardous Material Safety X X X X AdministrationMaritime Administration -- -- -- --St. Lawrence Seaway Development Corporation -- -- -- --

*Excused by Legislation: FAA contributed to the U.S. DOT’s SBIR Program from 1985 to 2005.**The Research and Innovative Technology Administration administers the SBIR Program through the

Volpe National Transportation Systems Center.

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2012 Solicitation Schedule

• 2012.1 Solicitation– 2012.1 Solicitation Opens October 11, 2011– 2012.1 Solicitation Closes December 12, 2011– Completed Technical Evaluations &

Recommendations for Award Due February 13, 2012– Awards Processed February - March 2012

• 2012.2 Solicitation– Call for topics distributed to DOT agencies January 9, 2012– Topic descriptions due to the SBIR Program Office February 24, 2012– 2012.2 Solicitation Opens April 2, 2012– 2012.2 Solicitation Closes June 5, 2012– Completed Technical Evaluations &

Recommendations for Award Due July 16, 2012– Awards Processed August/Sept. 2012

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12.1 Solicitation Research Topics

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Topic Number & Title Maximum Number of Anticipated

Awards

Estimated Award

Amount Phase I

Estimated Award

Amount Phase II

Federal Highway Administration12.1-FH1 Coating Existing Concrete Barriers to Reduce Rollover Potential 2 $150K $1M12.1-FH2 Fast Real Time Positioning using GNSS 1 $150K $750KFederal Motor Carrier Safety Administration12.1-FM1 Communicating Towed unit (Trailer) Vehicle Identification Number(s) (VIN) to the Powered Unit

1 $150K $600K

12.1-FM2 Innovative Solutions to Effectively Enforce Anti-texting Rules on Commercial Motor Vehicles (CMV) Drivers

1 $150K $600K

Federal Railroad Administration12.1-FR1 Locomotive Engine Exhaust Emissions Reduction Technology 1 $150K $700K12.1-FR2 Electronically Controlled Pneumatic Brake System Adaptor Development

1 $150K $700K

12.1-FR3 Advanced Locomotive Energy Storage System 1 $150K $700KFederal Transit Administration/Research and Innovative Technology Administration12.1-FT/RT1 Improved Transit Rider Experience

2 $103K $750K

Pipeline and Hazardous Materials Safety AdministrationFocus area 1 12.1-PH1Seal Sensor Network for Point-of-Source Leak DetectionFocus area 2 12.1-PH1Pipeline Systems with Integrated Health MonitoringFocus area 3 12.1-PH1Study, Develop and Demonstrate a Multi-channel Insert and Assembly for Cased Pipelines

3 $150K $800K

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

DOT Solicitation Process

• Solicitations are posted on the website at http://www.volpe.dot.gov/sbir and FedBiz Ops

• Requests for clarifications/questions on research topics can be submitted to the Program Office staff

• Submission of proposals via secured website is a requirement

• Recommendations for award are posted on website approximately 10-12 weeks after Solicitation is closed

• Program Office does not accept unsolicited proposals

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Phase I Proposal Submission Process DO’S

• Read the Solicitation and follow all the instructions for submission• Follow the procedures for requesting clarifications/questions on

research topics• Submit your proposals early

• Ensure your proposal aligns with the scope of the research topic

• Check to ensure completed appendices are all included

• Sign both technical and cost proposal

• Provide qualifications for key personnel other than PI• Submit completed proposal via secure website• Obtain CCR and DUNs numbers prior to proposal submission

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Phase I Proposal Submission Process DON’TS

• Proposals will not be accepted via email

• Do not send duplicate proposals

• The Program Office will not provide guidance on whether or not your company should submit a proposal

• Requests for extensions will not be approved

• Create arbitrary overhead, indirect or profit rates, be ready to provide the Government evidence and rationale to support the rate(s)

• Wait until the deadline to submit your proposal

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DOT SBIR Program – Proposal Evaluation Process – Phase I

• Evaluation teams are established for each research topic • Teams are comprised of 3 federal employees who are subject matter

experts (SMEs) • Teams have 60 days to complete evaluations and submit to the

Program Office• Four evaluation factors:

– Scientific and Technical Merit– Adequacy of the Work Plan– Qualifications of the Investigators– Adequacy of the Supporting Staff and Facilities

• Award Process – 8-10 weeks from receipt of completed evaluations and recommendations for award

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SBIR Program - Goals for FY 2012

• Greater emphasis on commercialization – re-engineered Phase II proposal requirements and evaluation criteria

• Collaborate with NIST MEP on Phase II, II B projects when appropriate

• Pilot Phase IIB Bridge Financing Program to further accelerate commercialization of program’s innovations

• Expedite processing of Phase II contracts by using various contract types

• Establish a pilot SBIR Technology Transfer (TT) approach that optimizes commercialization potential while expanding Federal TT

• Be poised to implement policy/process changes resulting from impending SBIR Reauthorization

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Opportunities outside of DOT SBIR Program• University Transportation Center Program – http://utc.dot.gov• Transportation Research Board – http://www.trb.org• Fed Biz Ops – http://www.fbo.gov• DOT/Office of Small and Disadvantaged Business Utilization –

http://www.osdbu.dot.gov• Challenge.gov• Check DOT agency websites for BAAs, RFIs and other research

opportunities

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U.S. DOT SBIR Contact Information

Leisa Moniz, Program DirectorLeisa.moniz@dot.gov617.494.3793

Linda Duck, Program Office AnalystLinda.duck@dot.gov617.494.3435

Don MacGee, Program Contracting OfficerDonald.MacGee@dot.gov617.494.2803

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

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