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U.S. Department of
Transportation
Office of the Secretary
of Transportation
Small Business Innovation Research
2003 Program Solicitation
DTRS57-03-R-SBIR
V. Considerations
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Awards
It is estimated that during Fiscal Year 2003, DOT will award approximately 9 Phase I contracts with an anticipated potential maximum of 10 awards, depending on actual funding available and the responses from small business firms to the solicited research topics in Section VIII.
All Phase I awards will be firm fixed-price contracts and may be up to $100,000 each unless otherwise noted. Phase II awards anticipate cost-plus-fixed-fee contracts with a value of up to $750,000 each unless otherwise noted. Phase II awardees will be required to have acceptable accounting systems to receive a cost-plus-fixed-fee contract.
Only recipients of Phase I contracts will be eligible to compete for Phase II awards.
DOT's Operating Administrations contribute to SBIR funding. Each Operating Administration's contribution may be used only to support research of concern to that Operating Administration. For example, funds furnished by the Federal Highway Administration may not support research solely of concern to the National Highway Traffic Safety Administration. Based on anticipated funding levels, there may not be adequate funding within the SBIR Program to support Phase I and/or Phase II awards for research which is solely of concern to the following Operating Administrations: Federal Aviation Administration, Federal Highway Administration, Federal Motor Carrier Safety Administration, Federal Railroad Administration, Federal Transit Administration, National Highway Traffic Safety Administration, Research and Special Programs Administration, and/or the U.S. Coast Guard. Phase I and Phase II awards for such research will depend on the actual funding available.
Reports
Under Phase I SBIR contracts, three reports will be required which consist of, two interim letter reports, and a comprehensive final report.
Payment Schedule
Payments for Phase I contracts will be made in three equal installments upon presentation of invoices by the contractor in conjunction with the submission of acceptable reports as described in paragraph B above.
Innovations, Inventions, and Patents
Proprietary Information. Information contained in unsuccessful proposals will remain the property of the proposer. The Government may, however, retain copies of all proposals. Public release of information in any proposal submitted will be subject to existing statutory and regulatory requirements.
If proprietary information is provided by a proposer in a proposal which constitutes a trade secret, proprietary commercial or financial information, confidential personal information or data affecting the national security, it will be treated in confidence, to the extent permitted by law, provided this information is clearly marked by the proposer with the term "confidential proprietary information" and provided the following legend appears on the title page of the proposal:
"For any purpose other than to evaluate the proposal, these data shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed in whole or in part, provided that if a contract is awarded to this proposer as a result 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 contract. This restriction does not limit the Government's right to use information contained in the data if it is obtained from another source without restriction. The data subject to this restriction is contained in pages ________ of this proposal."
Any other legend may be unacceptable to the Government and may constitute grounds for return of the proposal without further consideration and without assuming any liability for inadvertent disclosure. The Government will limit dissemination of such information to within official channels.
The DOT prefers that proposers avoid inclusion of proprietary data in their proposals. If the inclusion of proprietary data is considered essential for meaningful evaluation of a proposal submission, then such data should be provided on a separate page with a numbering system to key it to the appropriate place in the proposal. Rights in Data Developed under SBIR Contracts. Rights in technical data, including software developed under any contract resulting from this solicitation, shall remain with the contractor except that the Government shall have the limited right to use such data for Government purposes and shall not release such data outside the Government without permission of the contractor for a period of four years from completion of the project from which the data were generated. However, effective at the conclusion of the four-year period, the Government shall retain a royalty-free license for Federal government use of any technical data delivered under an SBIR contract whether patented or not. Copyrights. With prior written permission of the Contracting Officer, the contractor normally may copyright and publish (consistent with appropriate national security considerations, if any) material developed with DOT support. The DOT receives a royalty-free license for the Federal government and requires that each publication contain an appropriate acknowledgement and disclaimer statement. Patents. Small business firms normally may retain the principal worldwide patent rights to any invention developed with Government support. The Government receives a royalty-free license for Federal government use, reserves the right to require the patent holder to license others in certain circumstances, and requires that anyone exclusively licensed to sell the invention in the United States must normally manufacture it domestically. To the extent authorized by 35 U.S.C. 205, the Government will not make public any information disclosing a government-supported invention for a two-year period to allow the contractor a reasonable time to pursue a patent.
Cost-Sharing
Cost-sharing is permitted for Phase II proposals under the topic areas identified in this solicitation; however, cost-sharing is not required nor will it be a factor in proposal evaluations.
Profit or Fee
A profit is allowed on awards to small business concerns under the DOT SBIR Program.
Joint Ventures or Limited Partnerships
Joint ventures and limited partnerships are permitted provided the entity created qualifies as a small business concern in accordance with the Small Business Act, 15 U.S.C. 631, and the definition included in this solicitation.
H. Research and Analytical Work
For Phase I, a minimum of two-thirds of the research and/or analytical effort must be performed by the proposing firm unless otherwise approved in writing by the Contracting Officer. For Phase II, a minimum of one-half of the research and/or analytical effort must be performed by the proposing firm unless otherwise approved in writing by the Contracting Officer.
I. Contractor Commitments
Upon award of a contract, the awardee will be required to make certain legal commitments through acceptance of numerous contract clauses. The outline that follows is illustrative of the types of clauses to which the contractor would be committed. This list shall not be understood to represent a complete list of clauses to be included in Phase I contracts, nor to be the specific wording of such clauses. A complete copy of terms and conditions will be provided upon issuance of the model contract for signature prior to award.
Standards of Work. Work performed under the contract must conform to high professional standards. Inspection. Work performed under the contract is subject to Government inspection and evaluation at all times. Examination of Records. The Comptroller General (or a duly authorized representative) shall have the right to examine any directly pertinent records of the contractor involving transactions related to this contract. Default. The Government may terminate the contract if the contractor fails to perform the work contracted. Termination for Convenience. The contract may be terminated at any time by the Government if it deems termination to be in its best interest, in which case the contractor will be compensated for work performed and for reasonable termination costs. Disputes. Any dispute concerning the contract which cannot be resolved by agreement shall be decided by the Contracting Officer with right of appeal. Contract Work Hours. The contractor may not require an employee to work more than eight hours a day or forty hours a week unless the employee is compensated accordingly (i.e., overtime pay). Equal Opportunity. The contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. Affirmative Action for Veterans. The contractor will not discriminate against any employee or applicant for employment because he or she is a disabled veteran or veteran of the Vietnam era. Affirmative Action for Handicapped. The contractor will not discriminate against any employee or applicant for employment because he or she is physically or mentally handicapped. Officials Not to Benefit. No member of or delegate to Congress shall benefit from the contract. Covenant Against Contingent Fees. No person or agency has been employed to solicit or secure the contract upon an understanding for compensation except bonafide employees or commercial agencies maintained by the contractor for the purpose of securing business. Gratuities. The contract may be terminated by the Government if any gratuities have been offered to any representative of the Government to secure the contract. Patent Infringement. The contractor shall report each notice or claim of patent infringement based on the performance of the contract. Procurement Integrity. Submission of a proposal under this solicitation subjects the proposer to the procurement integrity provision (27) of the Office of Federal Procurement Policy Act (41 U.S.C. 423). This statute, as implemented by Federal Acquisition Regulation (FAR, 48 CFR) 3.104, prescribes the following conduct by competing contractors during an agency procurement: offering or discussing future employment or business opportunities with an agency procurement official; promising or offering a gratuity to an agency procurement official; and/or soliciting or obtaining proprietary or source selection information regarding the procurement. Violations of the statute may result in criminal and/or civil penalties, disqualification of a proposer, cancellation of the procurement, or other appropriate remedy. Section 508 Access Board Standards. All electronic and information technology deliverables rendered must comply with Section 508 of the Rehabilitation Act and the Access Board Standards available for viewing at http://www.section508.gov. Unless otherwise indicated, the contractor represents by signature on a contract that all deliverables will comply with the Access Board Standards.
Additional Information
This solicitation is intended for informational purposes and reflects current planning. If there is any inconsistency between the information contained herein and the terms of any resulting SBIR contract, the terms of the contract are controlling. Before award of an SBIR contract, the Government may request the proposer to submit certain organizational, management, personnel, and financial information to assure responsibility of the proposer. The Government is not responsible for any monies expended by the proposer before award of any contract. This solicitation is not an offer by the Government and does not obligate the Government to make any specific number of awards. Also, awards under this program are contingent upon the availability of funds. The DOT SBIR Program is not a substitute for existing unsolicited proposal mechanisms. Unsolicited proposals shall not be accepted under the DOT SBIR Program in either Phase I or Phase II. See www.volpe.dot.gov/procure/unsolguide.html for specifics on unsolicited proposal submission requirements. If an award is made pursuant to a proposal submitted under this solicitation, the contractor will be required to certify that he or she has not previously been, nor is currently being paid for essentially equivalent work by any agency of the Federal government. When purchasing equipment or a product with funds provided under the DOT SBIR Program, purchase only American made equipment and products, to the extent possible in keeping with the overall purposes of the program. In accordance with FAR 52.233-2, Service of Protest, the following Service of Protest procedures shall be followed. Protests, as defined in Section 33.101 of the FAR that are filed directly with an agency, and copies of any protests that are filed with the General Accounting Office (GAO), shall be served on the Contracting Officer (addressed as follows) by obtaining written and dated acknowledgement of receipt from: Mary E. Doherty, DOT/RSPA/Volpe Center, 55 Broadway, DTS-853, Cambridge, MA 02142-1093.
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