Stimulating Innovation and the U.S. Economy
through U.S. Department of Transportation’s
Small Business Innovation Research
(SBIR) Program
2011 National SBIR/STTR Fall Conference, New Orleans, LA
November 6 - 9, 2011
• 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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Clockwise from top: distraction.gov image, Wikimedia commons image, Volpe Center photo.
How SBIR Supports the Mission of DOT
Snapshot of participation in U.S. DOT’s SBIR
Program by Operating Administration
Federal Aviation Administration*
Federal Highway Administration
Federal Railroad Administration
Federal Transit Administration
Federal Motor Carrier Safety Administration
National Highway Traffic Safety Administration
Research and Innovative Technology
Administration/ITS Joint Program Office**
Pipeline and Hazardous Material Safety
Administration
Maritime Administration
St. Lawrence Seaway Development Corporation
2008
-X
X
X
X
X
2009
-X
X
X
X
X
2010
X
X
X
X
X
X
2011
-X
X
X
X
X
-X
X
X
X
X
X
X
---
---
---
---
*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
– 2012.1 Solicitation Closes
– Completed Technical Evaluations &
Recommendations for Award Due
– Awards Processed
•
February 13, 2012
February - March 2012
2012.2 Solicitation
–
–
–
–
–
Call for topics distributed to DOT agencies
Topic descriptions due to the SBIR Program Office
2012.2 Solicitation Opens
2012.2 Solicitation Closes
Completed Technical Evaluations &
Recommendations for Award Due
– Awards Processed
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October 11, 2011
December 12, 2011
January 9, 2012
February 24, 2012
April 2, 2012
June 5, 2012
July 16, 2012
August/Sept. 2012
12.1 Solicitation Research Topics
Topic Number & Title
Federal Highway Administration
12.1-FH1 Coating Existing Concrete Barriers to Reduce Rollover Potential
12.1-FH2 Fast Real Time Positioning using GNSS
Federal Motor Carrier Safety Administration
12.1-FM1 Communicating Towed unit (Trailer) Vehicle Identification Number(s)
(VIN) to the Powered Unit
12.1-FM2 Innovative Solutions to Effectively Enforce Anti-texting Rules on
Commercial Motor Vehicles (CMV) Drivers
Federal Railroad Administration
12.1-FR1 Locomotive Engine Exhaust Emissions Reduction Technology
12.1-FR2 Electronically Controlled Pneumatic Brake System Adaptor
Development
12.1-FR3 Advanced Locomotive Energy Storage System
Federal Transit Administration/Research and Innovative Technology
Administration
12.1-FT/RT1 Improved Transit Rider Experience
Pipeline and Hazardous Materials Safety Administration

Focus area 1 12.1-PH1Seal Sensor Network for Point-of-Source Leak
Detection

Focus area 2 12.1-PH1Pipeline Systems with Integrated Health Monitoring

Focus area 3 12.1-PH1Study, Develop and Demonstrate a Multi-channel
Insert and Assembly for Cased Pipelines
Maximum
Number of
Anticipated
Awards
Estimated
Award
Amount
Phase I
Estimated
Award
Amount
Phase II
$150K
$150K
$1M
$750K
$150K
$600K
1
$150K
$600K
1
1
$150K
$150K
$700K
$700K
1
$150K
$700K
2
$103K
$750K
$150K
$800K
2
1
1
3
http://www.volpe.dot.gov/sbir
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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 Director
Leisa.moniz@dot.gov
617.494.3793
Linda Duck, Program Office Analyst
Linda.duck@dot.gov
617.494.3435
Don MacGee, Program Contracting Officer
Donald.MacGee@dot.gov
617.494.2803
http://www.volpe.dot.gov/sbir
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