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Small Business Innovation Research
2003 Program Solicitation
DTRS57-03-R-SBIR

IV. Method of Selection and Evaluation Criteria

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1. General

   All Phase I and Phase II proposals will be evaluated and judged on a competitive basis. Initially, all proposals will be screened to determine responsiveness to the solicitation. Proposals passing this screening will be evaluated to determine the most promising technical and scientific approaches. Each proposal will be judged on its own merit. The DOT is under no obligation to fund any proposal or any specific number of proposals on a given topic or subtopic. It may elect to fund several or none of the proposed approaches to the same topic or subtopic.

2. Evaluation Criteria

   The evaluation process involves the following factors:

   1. Scientific and technical merit and the feasibility of the proposal's commercial potential, as evidenced by:

      1. Past record of successful commercialization of SBIR or other research;

      2. Existence of second phase funding commitments from private sector or non-SBIR funding sources;

      3. Existence of third phase, follow-on commitments; and

      4. Presence of other indicators of the commercial potential of the idea.

   2. The adequacy of the work plan and approach to achieve specified work tasks and stated objectives of the proposed effort within budgetary constraints and on a timely schedule.

   3. Qualifications of the proposed principal/key investigator(s) including demonstrated expertise in a disciplinary field related to the particular research or R&D topic that is proposed for investigation.

   4. Adequacy of supporting staff and facilities, equipment, and data for the successful completion of the proposed research or R&D.

3. Prescreening

   Each proposal submission will be examined to determine if it is complete and contains an adequate amount of technical and pricing data. Proposals that do not meet the basic requirements of the solicitation will be excluded from further consideration. Each organization will be notified promptly by letter of such action.

4. Schedule

   All DOT reviews shall be completed and awards made within 5 months of the closing date for Phase I proposals.

5. Program Selection

   A Proposal Review Panel, chaired by the Department's SBIR Program Director and comprising senior management officials representing the Department's Operating Administrations and the Office of the Secretary, will arrange for review and evaluation of proposals by professionals, in their respective organizations, of all Phase I proposals that meet the requirements of this solicitation. The Proposal Review Panel will review the technical evaluations by the engineers and/or scientists and recommend to the SBIR Program Director the proposals for awards. The SBIR Program Director will announce the awards.

6. Contact with DOT

   Contact with DOT relative to this solicitation during the Phase I proposal preparation and evaluation period is restricted for reasons of competitive fairness. Technical questions pertaining to 2003 SBIR solicitation research topics must be submitted to the SBIR Program Office by e-mail: henebury@volpe.dot.gov. Technical questions will be researched and answers provided in as timely a manner as possible. Technical questions submitted to the SBIR Program Office during the few weeks prior to the closing date for receipt of Phase I proposals may not be able to be answered before the closing date.

   No information on proposal status will be available until the complete list of 2003 Phase I Award Recommendations to receive funding is posted on the DOT SBIR Program Web Page: http://www.volpe.dot.gov/sbir. For planning purposes the notification of 2003 Phase I Award Recommendations is expected to be posted on the DOT SBIR Program Web Page by October 1, 2003. Phase I proposals which are not included in the October 1st list of 2003 Phase I Award Recommendations will not receive funding. NO WRITTEN CORRESPONDENCE REGARDING PROPOSAL STATUS WILL BE MADE.

   After the 2003 Phase I Award Recommendations are posted on the DOT SBIR Program Web Page, a debriefing comprised of the overall comments on the proposal may be provided to the proposer upon request.

   Debriefing requests should be submitted to the Contracting Officer by e-mail to: dohertym@volpe.dot.gov, and must include the proposer's name, address, research topic number, and the proposal identification number assigned on the acknowledgement of receipt card. The identity of the evaluators will not be disclosed.

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