**DTRS57-04-R-SBIR**

![](media/image1.png){width="0.38125in" height="0.38125in"}\
**U. S. Department of Transportation**

**Office of the Secretary**

**of** **Transportation**

**PROGRAM SOLICITATION**

**Small Business Innovation**

**Research Program**

**Issue Date: February 17, 2004**

**Closing Date: May 3, 2004**

**DOT SBIR Program Office, DTS-22**

**U.S. DOT/RSPA/VNTSC**

**55 Broadway**

**Cambridge, MA 02142-1093**

**CONTENTS**

**SECTION PAGE**

I. PROGRAM DESCRIPTION 1

II\. DEFINITIONS 3

III\. PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS 5

IV\. METHOD OF SELECTION AND EVALUATION CRITERIA 8

### V. CONSIDERATIONS 10

### VI. SUBMISSION OF PROPOSALS 14

VII\. SCIENTIFIC AND TECHNICAL INFORMATION SOURCES 15

VIII\. RESEARCH TOPICS 16

IX\. SUBMISSION FORMS AND CERTIFICATIONS 23

**APPENDICES**

### A. PROPOSAL COVER SHEET 24

### B. PROJECT SUMMARY 25

### C. CONTRACT PRICING PROPOSAL (Schedule 1) 26

### D. PROPOSAL CHECKLIST 29

### E. PROPOSAL ACKNOWLEDGEMENT FORM 30

**DOT PROGRAM SOLICITATION FOR SMALL**

**BUSINESS INNOVATION RESEARCH**

**I. PROGRAM DESCRIPTION**

**A. Introduction**

This solicitation for research proposals is issued by the United States
Department of Transportation (DOT) pursuant to the Small Business
Innovation Development Act of 1982, P.L. 97‑219, as amended by P.L.
99‑443, and P.L. 103‑564, Small Business Research and Development Act of
1992, signed October 28, 1992.

On December 15, 2000, Congress reauthorized the Program by P.L. 106-554.
The law seeks to encourage the initiative of the private sector and to
use small business as effectively as possible in meeting Federal
research and development objectives.

The purposes of the Act are:

\(1\) To stimulate technological innovation;

\(2\) To use small business to meet Federal research and development
needs;

\(3\) To increase private sector commercialization

of innovations derived from Federal research and development; and

\(4\) To foster and encourage minority and disadvantaged participation
in technological innovation.

In consonance with the statutory obligations of the Act, the DOT has
established a Small Business Innovation Research Program ‑ hereinafter
referred to as the DOT SBIR Program.

The purpose of this solicitation is to invite small businesses with
their valuable resources and creative capabilities to submit innovative
research proposals that address high priority requirements of the DOT.

**B. Three‑Phase Program**

The DOT SBIR Program is a three‑phase process. **THIS SOLICITATION IS
FOR PHASE I PROPOSALS ONLY**.

**Phase I.** Phase I is for the conduct of feasibility-

related experimental or theoretical research or R&D efforts on research
topics as described herein. The dollar value of the proposal may be up
to \$100,000 unless otherwise noted and the period of performance may be
up to six months. The primary basis for award will be the scientific and
technical merit of the proposal and its relevance to DOT requirements.
**[Only awardees in Phase I are eligible to participate in Phase II (by
invitation only).]{.underline}**

**Phase II.** Phase II is the principal research or research and
development (R&D) effort having a period of performance of approximately
two years with a dollar value of up to \$750,000 unless otherwise noted.
Phase II proposals must be prepared in accordance with guidelines
provided by DOT to Phase I awardees receiving an invitation to submit a
Phase II proposal. DOT will accept Phase II proposals under the DOT SBIR
Program only from firms, which have previously received a DOT Phase I
award. Phase II awards will be based on results of Phase I efforts,
technical merit, agency priority and commercial applications, and the
availability of appropriated funds to support the Phase II effort.
Special consideration may be given to proposals that have obtained
commitments for follow‑on funding from non‑Federal sources for Phase
III.

**Phase III.** Phase III is to be conducted by the small business with
either non-Federal funds to pursue commercial applications of research
or R&D funded in Phases I and II, or non‑SBIR government funded
contracts for continued research or products or processes intended for
use by the United States Government.

**C. Eligibility**

Each concern submitting a proposal must qualify as a small business at
the time of award of Phase I and Phase II funding agreements. In
addition, **[the primary employment of the principal investigator must
be with the small business firm at the time of contract award and during
the conduct of the proposed research]{.underline}** unless otherwise
approved by the Contracting Officer. Primary employment means that more
than one‑half of the principal investigator\'s time

is spent with the small business. Also for both

Phase I and Phase II, the research or R&D work must be performed in the
United States. \"United States\" means the 50 states, the Territories
and possessions of the United States, the Commonwealth of Puerto Rico,
the Commonwealth of the Northern Mariana Islands, the Trust Territory of
the Pacific Islands, and the District of Columbia.

All types of small business organizations may submit proposals,
including high technology, R&D, manufacturing and service firms.
Companies with outstanding scientific or engineering competence in
highly specialized product, process or service areas may wish to apply
their expertise to the research topics in this solicitation through a
laboratory prototype. Ideally, the research shall make a significant
contribution to the solution of an important transportation problem and
provide the small business concern with the basis for new products,
processes, or services.

**D. General Information**

This is a solicitation for Phase I research proposals on advanced,
innovative concepts from small business firms having strong capabilities
in applied science or engineering.

The Phase I research proposals shall demonstrate a sound approach to the
investigation of an important transportation‑related scientific or
engineering problem categorized under one of the topics listed in
Section VIII.

A proposal may respond to any of the research topics listed in Section
VIII, but must be limited to one topic. The same proposal may not be
submitted under more than one topic. An organization may, however,
submit separate proposals on different topics, or different proposals on
the same topic, under this solicitation. Where similar research is
discussed

under more than one topic, the proposer shall choose that topic which
appears to be most relevant to the proposer\'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 element of the DOT to perform its mission.

Proposals shall be confined principally to scientific or engineering
research, which may be carried out through construction and evaluation.
Proposals must be for research or R&D, particularly on advanced or
innovative concepts, and shall not be for incremental or scaled‑up
versions of existing equipment or the development of technically proven
ideas. Proposals for the development of already proven concepts toward
commercialization, or which offer approaches already developed to an
advanced prototype stage or for market research shall not be submitted.
Commercialization is the objective of Phase III, in which private
capital or non‑SBIR funds are to be used to continue the innovative
research supported by DOT under Phase I and Phase II.

The proposal shall be self‑contained and checked carefully by the
proposer to ensure that all preparation instructions have been followed.

(See proposal checklist).

Requests for additional information or questions relating to the DOT
SBIR Program may be addressed to:

Joseph Henebury

DOT SBIR Program Director, DTS‑22

U.S. DOT/RSPA/VNTSC

55 Broadway

Cambridge, MA 02142‑1093

Telephone: (617) 494‑2051

Fax: (617) 494‑2370

E-Mail Address: henebury@volpe.dot.gov

Volpe Center Web Site: http://www.volpe.dot.gov/SBIR

**II. DEFINITIONS**

**A. Research or Research and Development**

Research or research and development (R or R&D) means any activity which
is:

\(1\) A systematic, intensive study directed toward greater knowledge or
understanding of the subject studied;

\(2\) A systematic study directed specifically toward applying new
knowledge to meet a recognized need; or

\(3\) A systematic application of knowledge toward the production of
useful materials, devices, and systems or methods, including design,
development, and improvement of prototypes and new processes to meet
specific requirements.

**B. Small Business Concern**

A small business concern is one that at the time of award of Phase I and
Phase II contracts meets the following criteria:

\(1\) Is independently owned and operated, is not dominant in the field
of operation in which it is proposing, and has its principal place of
business located in the United States and is organized for profit;

\(2\) Is at least 51 percent owned, or in the case of a publicly owned
business, at least 51 percent of its voting stock is owned by United
States citizens or lawfully admitted permanent resident aliens; and

\(3\) Has, including its affiliates, a number of employees not exceeding
500, and meets the other regulatory requirements found in 13 CFR Part
121. Business concerns, other than investment companies licensed, or
state development companies qualifying under the Small Business
Investment Act of 1958, 15 U.S.C. 661, [et seq]{.underline}., are
affiliates of one another when either directly or indirectly (A) one
concern controls or has the power to control the other; or (B) a third
party or parties controls or has the power to control both.

Control can be exercised through common ownership, common management,
and contractual relationships. The term \"affiliation\" is defined in
greater detail in 13 CFR 121.401. The term \"number of employees\" is
defined in 13 CFR 121.407. Business concerns include, but are not
limited to, any individual, partnership, corporation, joint venture,
association or cooperative.

**C. Minority and Disadvantaged Small Business Concern**

A minority and disadvantaged small business concern is one that is:

\(1\) At least 51 percent owned by one or more minority and
disadvantaged individuals; or in the case of a publicly owned business,
at least 51 percent of the voting stock of which is owned by minority
and disadvantaged individuals; and

\(2\) Whose management and daily business operations are controlled by
one or more such individuals.

A minority and disadvantaged individual is defined as a member of any of
the following groups:

\(1\) Black Americans.

\(2\) Hispanic Americans.

\(3\) Native Americans.

\(4\) Asian‑Pacific Americans.

\(5\) Subcontinent Asian Americans.

**D. Women‑Owned Small Business Concern**

A women-owned small business concern is one that is at least 51 percent
owned by a woman or women who also control and operate it. \"Control\"
in this context means exercising the power to make policy decisions.
\"Operate\" in this context means being actively involved in the
day‑to‑day management.

**E. Subcontract**

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

F.  **Historically Underutilized Business**

**Zone (HUBZone)**

> A small business concern meeting the following criteria:
>
> 1\. Located in "historically underutilized business zone" or HUBZone
> area located in one or more of the following:

a)  A qualified census tract(as defined in section 42(d)(5)(i)(l) of the
    Internal Revenue Code of 1986;

> b\) A qualified "non --metropolitan county"(as defined in section
> 143(k)(2)(B) of the Internal Revenue Code of 1986) with a median
> household income of less than 80 percent of the State median household
> income or with an unemployment of not less than 140 percent of the
> Statewide average based on US Department of Labor recent data; or
>
> c\) Lands within the boundaries of federally recognized Indian
> reservations.
>
> 2\. Owned and controlled by one or more U.S. Citizen(s).
>
> 3\. At least 35 percent of its employees must reside in a HUBZone.

**III. PROPOSAL PREPARATION**

**INSTRUCTIONS AND REQUIREMENTS**

A.  **Limitation on Length of Proposal**

**[In the Program Year 2004, proposals may]{.underline}**

**[be submitted either electronically or in hard copy]{.underline}**

**[format.]{.underline} (See Section VI for hard copy requirements)**

Please note that:

\(1\) SBIR Phase I proposals shall not exceed a total of 25 pages
(regular size type ‑ no smaller than 10 point font size ‑ single or
double spaced, standard 8 1/2\" X 11\" pages) including proposal cover
sheet, contract pricing proposal and all enclosures or attachments.

\(2\) Attachments, appendices and references are included in the 25 page
limitation. [Proposals in excess of 25 pages will not be considered for
review or award.]{.underline}

**[Electronic Submission Requirements:]{.underline}**

-   Each proposal shall not exceed 25 pages.

-   All proposals must be a PDF file attached to e-mail.

-   No duplicate proposals shall be sent by any other means.

-   Proposals must be sent via e-mail to:

> <henebury@volpe.dot.gov> .

-   Proposals must be received by 5:00 p.m. on May 3, 2004.

-   ***You must submit a completed and signed hardcopy of Appendices A,
    B, and C postmarked no later than May 3rd to: Joseph Henebury, DOT
    SBIR Program Director, DTS-22, U.S. DOT/RSPA/VNTSC, 55 Broadway,
    Cambridge, MA 02142-1093***

-   The proposal file name shall contain eight (8) characters-the first
    three shall be the topic number you are proposing to (i.e.,FH3,) and
    the remaining five characters shall be a unique abbreviation of your
    company's name.

Your proposal will have the same protection/security as DOT e-mail. It
will be available to only the team of DOT engineers and/or scientists
responsible for evaluating your proposal.

**If you intend to submit your proposal electronically, you must
register at our website:**
[www.volpe.dot.gov/sbir](http://www.volpe.dot.gov/sbir) **by April 15,
2004.**

**B. Proposal Cover Sheet**

Complete the proposal cover sheet in Appendix A as Page 1 of your
proposal. All pages shall be numbered consecutively, beginning with the
proposal cover sheet.

**C. Project Summary**

Complete the form in Appendix B as Page 2 of your proposal. The Project
Summary shall include a technical abstract with a brief statement of the
problem or opportunity, project objectives, and description of the
effort. Anticipated results and potential applications of the proposed
research shall also be summarized in the space provided. The Project
Summary of successful proposals may be published by the DOT and,
therefore, shall not contain classified or proprietary information. [The
technical abstract must be limited to two hundred words in the space
provided on the Project Summary form]{.underline}.

**D. Technical Content**

Submitted proposals must include the following:

\(1\) **Identification and Significance of the Problem or Opportunity.**
The specific technical problem or innovative research opportunity
addressed and its potential benefit to the national transportation
system shall be clearly stated.

\(2\) **Phase I Technical Objectives.** State the specific objectives of
the Phase I research or R&D effort, including the technical questions it
will try to answer to determine the feasibility of the proposed
approach.

\(3\) **Phase I Work Plan.** Describe the Phase I research or R&D plan.
The plan shall indicate what will be done, where it will be done, and
how the research or R&D will be managed or directed and carried out.
Phase I research or R&D shall address the objectives and the questions
cited in (2) above. The methods planned to achieve each objective or
task shall be discussed in detail, including the level of effort
associated with each task.

\(4\) **Related Research or R&D.** Describe significant research or R&D
that is directly related to the proposal including any conducted by the
project manager/principal investigator or by the proposing firm.
Describe how it relates to the proposed effort, and any planned
coordination with outside sources. The proposer must persuade reviewers
of his or her awareness of key recent research or 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 their directly
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
proposal page limitation.

\(6\) **Relationship with Future Research and Development.**

> \(a\) State the anticipated results of the proposed approach if the
> project is successful (Phase I and Phase II).
>
> \(b\) Discuss the significance of the Phase I effort in providing a
> foundation for Phase II research or R&D effort.

\(7\) **Facilities.** Provide a detailed description, availability and
location of instrumentation and physical facilities proposed for Phase
I.

\(8\) **Consultants.** Involvement of consultants in the planning and
research stages of the project is permitted. If such involvement is
intended, it shall be described in detail.

\(9\) **Potential Applications.** Briefly describe:

> \(a\) Whether and by what means the proposed project appears to have
> potential commercial application.
>
> \(b\) Whether and by what means the proposed project appears to have
> potential use by the Federal government.

\(10\) **Similar Proposals or Awards.** Warning - while it is
permissible, with proposal notification, to submit identical proposals
or proposals containing a significant amount of essentially equivalent
work for consideration under numerous Federal program solicitations, it
is unlawful to enter into contracts or grants requiring essentially
equivalent effort. If there is any question concerning this, it must be
disclosed to the soliciting agency or agencies before award.

If a firm elects to submit identical proposals or proposals containing a
significant amount of essentially equivalent work under other Federal
program solicitations, a statement must be included in each such
proposal indicating:

\(a\) The name and address of the agencies to which proposals were
submitted or from which awards were received;

> \(b\) Date of proposal submission or date of award;
>
> \(c\) Title, number, and date of SBIR Program solicitations under
> which proposals were submitted or awards received;
>
> \(d\) The applicable research topics for each SBIR proposal submitted
> or award received;
>
> \(e\) Titles of research projects; and

(f) Name and title of Project Manager or Principal Investigator for each

> proposal submitted or award received.

**E. Contract Pricing Proposal**

A firm fixed price Phase I Contract Pricing Proposal (Schedule 1) must
be submitted in detail as shown in Appendix C. Note: Firm Fixed Price
(FFP) is the type of contract to be used for Phase I SBIR awards. 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. It is important, however, to provide enough
information to allow the DOT to understand how the proposer plans to use
the requested funds if the contract is awarded. Phase I contract awards
may include profit.

**F. DUNS Identification Number**

A firm must note its Data Universal Numbering System (DUNS)
identification number on Appendix C, Contract Pricing Proposal,
Schedule 1. This number is assigned by Dun & Bradstreet, Inc.

**G. Acknowledgement of Proposal Receipt**

Proposers shall fill out the proposal acknowledgement form and include
it with the proposal to DOT.

**H. Prior SBIR Phase II Awards**

If the small business concern has received more than 15 Phase II awards
in the prior 5 fiscal years, submit name of awarding agency, date of
award, funding agreement number, amount, topic or subtopic title,
follow-on agreement amount, source and date of commitment and current
commercialization status for each Phase II. (This required proposal
information shall not be counted toward the proposal 25-page count
limitation.)

# IV. METHOD OF SELECTION

**AND EVALUATION CRITERIA**

**A. 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.

**B. 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:

> a\) Past record of successful commercialization of SBIR or other
> research;
>
> b\) Existence of second phase funding commitments from private sector
> or non-SBIR funding sources;
>
> c\) Existence of third phase, follow-on commitments; and
>
> d\) 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.

**C. 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]{.underline}. Each proposer
will be notified promptly by letter of such action.

**D. Schedule**

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

**E. 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 DOT SBIR Program Director the proposals for awards. The
DOT SBIR Program Director will announce the awards.

**F. 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 2004 DOT SBIR
solicitation research topics must be submitted to the DOT 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 DOT 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 [2004 Phase I Award Recommendations]{.underline} to receive
funding is posted on the DOT SBIR Program Web Page:
http://www.volpe.dot.gov/sbir. For planning purposes the notification of
[2004 Phase I Award Recommendations]{.underline} is expected to be
posted on the DOT SBIR Program Web Page by October 1, 2004. **Phase I
proposals which are not included in the October 1st list of [2004 Phase
I Award Recommendations]{.underline} will not receive funding.** **No
written correspondence regarding proposal status will be ANSWERED.**

After the [2004 Phase I Award Recommendations]{.underline} 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:]{.underline} 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]{.underline}. The identity of the evaluators will not be disclosed.

#   {#section .unnumbered}

# V. CONSIDERATIONS

**A. Awards**

It is estimated that during Fiscal Year 2004, DOT will award
approximately 12 Phase I contracts with an [anticipated
potential]{.underline} maximum of 13 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 DOT 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, and/or the Research and Special
Programs Administration. Phase I and Phase II awards for such research
will depend on the actual funding available.

**B. Reports**

Under Phase I SBIR contracts, three reports will be required which
consist of, two interim letter reports, and a comprehensive final
report.

**C. Payment Schedule**

Payments for Phase I contracts will be made in three equal installments
upon submission of invoices by the contractor in conjunction with the
submission of acceptable reports as described in paragraph B above.

**D. Innovations, Inventions, and Patents**

1\. **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.

2\. **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.

3\. **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.

4\. **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.

**E. 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.

**F.** **Profit or Fee**

A profit is allowed on awards to small business concerns under the DOT
SBIR Program.

**G. 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**

1\. **[For Phase I, a minimum of two‑thirds of the research and/or
analytical effort must be performed by the proposing firm]{.underline}**
unless otherwise approved in writing by the Contracting Officer.

2\. **[For Phase II, a minimum of one‑half of the research and/or
analytical effort must be performed by the proposing firm]{.underline}**
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.

1.  **Standards of Work.** Work performed under the contract must
    conform to high professional standards.

2\. **Inspection.** Work performed under the contract is subject to
Government inspection and evaluation at all times.

3\. **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.

4\. **Default**. The Government may terminate the contract if the
contractor fails to perform the work contracted.

5\. **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.

6\. **Disputes**. Any dispute concerning the contract which cannot be
resolved by agreement shall be decided by the Contracting Officer with
right of appeal.

7\. **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).

8\. **Equal Opportunity**. The contractor will not discriminate against
any employee or applicant for employment because of race, color,
religion, sex, or national origin.

9\. **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.

10\. **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.

11\. **Officials Not to Benefit**. No member of or delegate to Congress
shall benefit from the contract.

12\. **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.

13\. **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.

14\. **Patent Infringement**. The contractor shall report each notice or
claim of patent infringement based on the performance of the contract.

15. **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.

16\. **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](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.

**J. Additional Information**

1\. 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.

2.  Before award of an SBIR contract, the

Government may request the [proposer]{.underline} to submit certain
organizational, management, personnel,

and financial information to assure responsibility of the proposer.

3\. The Government is not responsible for any monies expended by the
proposer before award of any contract.

4\. 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.

5\. 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.

6\. 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.

7\. 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.

8\. 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.

**VI. SUBMISSION OF PROPOSALS**

**A. Submittal Instructions**

**Hard Copy Requirements**:

An original and four copies of each proposal submitted under the DOT
SBIR Program shall be sent to:

Joseph Henebury

> DOT SBIR Program Director, DTS‑22
>
> U.S. DOT/RSPA/VNTSC
>
> 55 Broadway
>
> Cambridge, MA 02142‑1093
>
> Telephone: (617) 494‑2051

Proposals must be postmarked [NO LATER]{.underline} than

May 3, 2004 to qualify for acceptance and consideration under the
current DOT SBIR Program. Proposals postmarked or received via e-mail
later than May 3, 2004 will not be accepted.

Proposals delivered to the DOT SBIR Program Office by any means other
than the U.S. Postal Service, must be received at the above address on
or before May 3, 2004.

**Electronic Submission Requirements**:

-   Each proposal shall not exceed 25 pages.

-   All proposals must be a PDF file attached to e-mail.

```{=html}
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```
-   No duplicate proposals shall be sent by any other means.

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```
-   Proposals must be sent via e-mail to:

<henebury@volpe.dot.gov> .

-   Proposals must be received by 5:00 p.m. on May 3, 2004.

```{=html}
<!-- -->
```
-   ***You must submit a completed and signed hardcopy of Appendices A,
    B, and C postmarked no later than May 3rd to: Joseph Henebury, DOT
    SBIR Program*** ***Director, DTS-22, U.S. DOT/RSPA/VNTSC, 55
    Broadway, Cambridge, MA 02142-1093***.

```{=html}
<!-- -->
```
-   The proposal file shall contain eight (8) characters-the first three
    shall be the topic number you are proposing to (i.e., FH3), and the
    remaining five characters shall be a unique abbreviation of your
    company's name.

Your proposal will have the same protection/security as DOT e-mail. It
will be available to only the team of DOT engineers and/or scientists
responsible for evaluating your proposal.

**If you intend to submit your proposal electronically you must register
at our website:**
[www.volpe.dot.gov/sbir](http://www.volpe.dot.gov/sbir) by April 15,
2004.

**B. Additional Information**

1\. **Bindings.** [Please do not use special bindings or
covers]{.underline}. Staple the pages in the upper left corner of the
cover sheet of the proposal with a single staple.

2\. **Packaging.** All copies of the proposal shall be sent in one
package together with the acknowledgement form which appears on the last
page of this document.

3\. **Confirmation.** The DOT SBIR Program Office will assign an
identification number to each proposal received at the above address by
May 3, 2004. This number will appear on the proposal acknowledgement
form which will be sent to the proposer by return mail confirming
receipt of the proposal.

**Proposers who submitted their proposals electronically will receive
their proposal number via e-mail no later than May 21, 2004.**

**VII. SCIENTIFIC AND**

**TECHNICAL INFORMATION SOURCES**

The following organizations may be sources for providing technology
search and/or document services and may be contacted directly for
service and cost information:

Center for Technology Commercialization Great Lakes Industrial
Technology Center

1400 Computer Drive 25000 Great Northern Corporation Center

Westborough, MA 01581 Suite 260

\(508\) 870-0042 Cleveland, OH 44070-5320

\(440\) 734-0094

Federal Information Exchange, Inc. Southern Technology Applications
Center

555 Quince Orchard Road, Suite 360 University of Florida

Gaithersburg, MD 20878 1900 SW 34^th^ Street, Suite 206

\(301\) 975-0103 Gainesville, FL 32608

\(352\) 294-7822

Midcontinent Technology Transfer Center National Technical Information
Service

Texas Engineering Extension Service 5285 Port Royal Road

The Texas A&M University System Springfield, VA 22161

301 Tarrow Street, Suite 119 (800) 553-6847

College Station, TX 77840-7896

\(409\) 845-8762

MidAtlantic Technology Applications Center Technology Transfer Center

University of Pittsburgh University of Southern California

3400 Forbes Avenue, 5^th^ Floor 3716 South Hope Street, Suite 200

Pittsburgh, PA 15260 Los Angeles, CA 90007-4344

\(412\) 383-2500 (213) 743-2353

VIII. **RESEARCH TOPICS**

Phase I research topics for DOT Operating Administrations are listed
below. These topics indicate the specific areas for which proposals are
to be considered for acceptance by DOT. The topics are not listed in any
order of priority. Each proposal must respond to one (and only one)
topic as described in this section. A proposal may, however, indicate
and describe its relevance to other topics.

**DOT OPERATING ADMINISTRATION/TOPIC POTENTIAL MAXIMUM**

> **FY04 PHASE I AWARDS**

**FEDERAL AVIATION ADMINISTRATION 1 AWARD**

Error: Reference source not found04-FA1 Development of the Airborne
Internet Collaborative Information Services Environment

**FEDERAL HIGHWAY ADMINISTRATION (FHWA) 3 AWARDS**

**Error: Reference source not found**04-FH1 In Vehicle Collision Warning
System Using Infrastructure Messages

[^1]04-FH2 Equipment for Undergrounding Utility Lines at Lower Cost

Error: Reference source not found04-FH3 Pedestrian Detection System for
Use With IVI Collision Warning and Signal Control Systems

**FEDERAL RAILROAD ADMINISTRATION (FRA) 1 AWARD**

[^2]04-FR1 Wireless Brake Shoe Force Measurement System for Railroad
Freight Cars

**FEDERAL TRANSIT ADMINISTRATION 3 AWARDS**

[^3]04-FT1 Commuter Rail Accessibility for Persons with Disabilities

^3^04-FT2 Introducing Children to Mass Transit

Error: Reference source not found04-FT3 Application of New Methods,
Techniques, and Technologies Designed to Increase Mass Transit Ridership

**NATIONAL HIGHWAY TRAFFIC SAFETY ADMINISTRATION (NHTSA) 2 AWARDS**

[^4]04-NH1 Development of a Device for Enhancing the Seating Position
for Short-Stature Older Drivers to Improve Safety and Mobility

Error: Reference source not found04-NH2 Development of a Low Cost
Ethanol Sensor System with Wireless Capabilities to Deter Repeat DWI
Offenders

**RESEARCH AND SPECIAL PROGRAMS ADMINSTRATION (RSPA) 2 AWARDS**

04-RS1 Transportation Infrastructure Renewal

04-RS2 Innovative Safety and Reliability Technologies for Pipeline
System Integrity Management

# 

# Federal Aviation Administration (FAA)

**Error: Reference source not found04-FA1 [Development of the Airborne
Internet Collaborative Information Services Environment]{.underline}**

Airborne Internet (A.I.) is a rapidly emerging data communications
capability for aircraft and transportation systems. A.I. will provide a
general purpose, multi-application data channel that will provide mobile
information connectivity to the aircraft. This research topic is focused
at exploring the extent of the development of the collaborative
information environment and information transfer that the A.I. will
facilitate (ie "web services"). The result of this work can be used as a
basis to publish the prototype Web services to the general public, tie
the prototype Web services into a data grid, and eventually to create a
Virtual Airborne Internet (all of which support the implementation of
the Airborne Internet Collaborative Information Services Environment).

Develop prototype Airborne Internet Web services to provide information
about and relative to Airport/Facility Directory, restricted airspace.
The web service must be useable with XML, SOAP, WSDL, and UDDI.

> a\. Create a Web service based on weather data from the NOAA Aviation
> Digital Data Service (ADDS) website
>
> ([[http://adds.aviationweather.noaa.gov]{.underline}](http://adds.aviationweather.noaa.gov/))
> using the Java 2 Platform, Enterprise Edition (J2EE) platform.
>
> b\. Create a Web service that contains Airport/Facility Directory
> information. (one possible solution might be to use the Microsoft .NET
> framework)
>
> c\. Create a "restricted airspace" Web service based on data available
> from the FAA NOTAM website
> ([[http://tfr.faa.gov/TFR/jsp/list.jsp]{.underline}](http://tfr.faa.gov/TFR/jsp/list.jsp)).

-   Must be able to write and create XML Web services

-   Must be able to define XML markup languages using XML Schema and

declare Namespaces

-   Must have previous work experience in the definition of Web service
    standards for aviation

-   Must have conceptual knowledge of and be able to articulate the
    Airborne Internet

# FEDERAL HIGHWAY ADMINISTRATION (FHWA)

**Error: Reference source not found04-FH1 [In Vehicle Collision Warning
System Using Infrastructure Messages]{.underline}**

The IVI Infrastructure Consortium is developing infrastructure based
warnings of potential collisions. The in vehicle system would utilize
Dedicated Short Range Communications (DSRC), High Accuracy Nationwide
Differential GPS (HANDGPS), and a handheld Linux based computer to
acquire and analyze the infrastructure warnings to alert drivers.

This project would use object oriented structured programming techniques
and JAVA and ADA to develop an interactive interface to the
infrastructure based intersection collision warning system for
intersections (stop sign, pretimed and actuated traffic signals) and
process its messages. The user interface would be based on concepts in
the Safety Warning System (SWS) and human factors concepts developed by
the Infrastructure Consortium. The interface and data analysis programs
would be copyrighted with the Free Software Foundation copyleft
statement. The vendor would be expected to make their profits through
support and maintenance of the tool and sale of the handheld devices
with the tool incorporated.

The model would be programmed in GNU software foundation ADA and Java
and run under an embedded Linux (such as the RTAI kernel ) to achieve
platform independence. The IV-ICWS would be able to import maps, data
and graphics files to use as templates, backgrounds or data. It would be
able to acquire and interpret data from the Infrastructure Consortium's
warning systems.

Phase I would develop a simple interface without import features. Phase
II would enhance compatibility with the Infrastructure Consortium's
devices, improve the human factors elements of the in-vehicle warning
provided by the device and add multiple data import features. Phase II
would be staged with interim deliverables. For this reason, experience
in human factors for traffic engineering, JAVA, ADA, real time
programming and traffic operations are critical.

Note: Although not required, it would be helpful if offerers provide a
working example to demonstrate their ability to work with Java and user
interfaces.

**Error: Reference source not found04-FH2 [Equipment for Undergrounding
Utility Lines at Lower Cost]{.underline}**

Each year, 1200 to 2000 people are killed and an additional 60,000 to
110,000 people are injured due to collisions

between motor vehicles and timber utility poles. The societal cost of
these run-off-road collisions is estimated to exceed

\$4 billion per year. This project will develop new and/or improved
equipment that can significantly reduce the cost of

installing utility lines underground. Undergrounding utility lines will
improve roadside safety by reducing the number of

utility poles in service.

Most of the utility poles are located on two lane roads. These utility
pole lines typically support more than one utility. For example, they
may support electric power, cable TV (CATV), telephone and fiber optic
lines. A line of utility poles costs about \$60,000 per mile. Converting
overhead utilities to underground utilities on existing highways is
expensive. Putting utility lines underground costs 4 to 10 times as much
as it does to construct a pole line. Consequently, converting to
underground utility lines has been done primarily for aesthetic reasons.
However, there are other advantages. Underground utility lines are less
susceptible to damage due to impacting vehicles, storms, vandals and
terrorists.

Utility companies currently use open trenching machines for direct
burial of utility lines

and conduits. Open trenching is preferred because it is the lowest cost
method. Directional boring machines are used to feed utility lines under
sidewalks, driveways and streets. There is a need to develop new and/or
improved equipment that can significantly reduce the cost of
undergrounding utility lines in both urban and rural areas. Equipment
for locating existing underground facilities can be part of the
installation system, but the emphasis in this study is on developing
equipment for placing utility lines underground.

Phase I of this study will investigate the feasibility of developing new
and/or improved equipment or novel undergrounding techniques. If
appropriate, conceptual designs of this equipment will be prepared. In
Phase II, detailed designs will be prepared and prototypes of the new
and/or improved equipment will be fabricated and field tested.

**Error: Reference source not found04-FH3 [Pedestrian Detection System
for Use With IVI Collision Warning and Signal Control
Systems]{.underline}**

Current pedestrian detectors do not do an adequate job of detecting and
tracking pedestrians to support collision warning systems. A pedestrian
detection system using stereo imaging and artificial intelligence
algorithms for pulling out and tracking pedestrians might significantly
increase this capability.

> Phase I would develop and demonstrate prototype software and hardware
> that would embody a simplified version of the system. The software
> would run on top of RTAI Linux or another open source Linux real time
> operating system to demonstrate the capabilities.
>
> Phase I would determine what the "real time" needs are for the
> algorithms to pass information to the IVI and traffic control
> applications. The software would be demonstrated at the TFHRC IVI
> intersection. The algorithms and software should be prototyped and
> validated using MathCad.
>
> Phase II would enhance the system algorithms and interface it to a
> real time ATC signal controller. Phase II would address issues related
> to making the system at least minimally functional during rain and
> snow events through data fusion with other sensors. This project
> requires significant experience in traffic engineering, real time
> control, Linux, video sensing and pedestrian detection. Phase II
> should be staged to produce interim demonstratable results. Phase II
> should provide final documented copies of the MathCad algorithms.

This project is needed to allow maximum benefit from the advanced
traffic controller (ATC) and intersection collision avoidance (IVI-ICA)
algorithms developed by FHWA for ITS. Current ATC controllers have the
processing power of minicomputers but still do not sensors and
interfaces to adequately handle pedestrians. Algorithms and MathCad
software developed under this project should be open source at the end
of Phase II to facilitate future research and development of pedestrian
detection.

Note: Although not required, it would be helpful if offerers provide a
working example to demonstrate their ability to sense pedestrians.

# Federal Railroad Administration (FRA)

**Error: Reference source not found04-FR1 [Wireless Brake Shoe Force
Measurement System for Railroad Freight Cars]{.underline}**

With the increasing desire to monitor actual braking capabilities there
is a need to develop a self powered system that

will permit the measurement of individual brake shoe forces and
transmitting this information in a wireless manner to a

car mounted sensor box. The shoe force measurement system must allow for
replacement of the shoe with minimal

effort. Railroad freight cars have four wheel truck suspensions on each
end. The suspensions incorporate brake beams

which force the individual brake shoes against the wheel tread surfaces.
It is expected that the data acquisition and

communication system will sample the shoe forces at a rate which is
appropriate for the monitoring function to be

performed.

# Federal Transit Administration (FTA)

**Error: Reference source not found04-FT1 [Commuter Rail Accessibility
for Persons with Disabilities]{.underline}**

Since 1990, the Americans with Disabilities Act (ADA) and other related
regulations have been implemented in mass transit, specifically to
provide accessible transportation to persons with disabilities. Agencies
that provide commuter rail service have developed methods for achieving
accessibility for persons using wheelchairs or with other disabilities
that preclude climbing stairs or traveling long distances in order to
board a train. However many of these alternatives present specific
drawbacks to both the passenger and the operator. A solution is needed
that will work for passengers, freight railroads, and commuter rail
operators.

One of the most difficult accessibility issues is level boarding from
platforms (or lifts) in areas where long platform-commuter rail car
setbacks are required because of freight service on the same track as
commuter rail service.

The goal of this project will be to identify solutions that meet the ADA
requirements for level boarding at commuter rail stations while
maintaining setbacks that freight railroads may require as a condition
of granting operating rights. Proposed solutions should include improved
accessibility to commuter rail trains for persons with disabilities
without sacrificing passenger safety or requiring boarding areas that
are long distances from the principal boarding area, or unduly adding
delays to tightly scheduled train service. The ultimate effect would be
to increase commuter rail ridership. An improved method or technology
for bridging the platform-rail car gap would achieve faster boarding for
all passengers (parents with strollers, etc.), and would result in
increased ridership and reduce train dwell times.

**Error: Reference source not found04-FT2 [Introducing Children to Mass
Transit]{.underline}**

Any long-term program for increasing transit ridership and sustaining
that ridership must target the inclusion of children. After all, if
people are not introduced to transit as a viable option and shown how it
enriches their lives when they are young, will they even consider
transit when they grow up? Use of transit is a learned behavior \-- not
an inherited behavior. This project will focus on the potential for
developing a package of commercially viable marketing tools/materials or
services designed to educate children about the benefits of riding
transit. The result should be a variety of methods that transit agencies
around the nation can use to introduce young people to public transit in
rich and rewarding ways that they will never forget.

**[Error: Reference source not found]{.underline}04-FT3 [Application of
New Methods, Techniques and Technologies Designed to Increase Mass
Transit Ridership]{.underline}**

One of the Federal Transit Administration's (FTA) goals is to encourage
the identification and implementation of methods, techniques, and
technologies that will increase transit ridership. This topic is
designed to elicit ideas for the development and application of cost
effective ITS technologies designed to increase transit ridership in a
Bus Rapid

Transit system or service.

# National Highway Traffic Safety Administration (NHTSA)

**Error: Reference source not found04-NH1 [Development of Device for
Enhancing the Seating Position of Short-Stature Older Drivers to Improve
Safety and Mobility]{.underline}**

Older drivers are the fastest growing group of drivers on the road today
(a 39 percent increase over the past decade alone), yet they also
account for nearly double the number of annual traffic fatalities in
comparison to their proportion in the general population. This proposed
SBIR topic suggests the development of a seating device to accommodate
short-statured drivers (5' 3" and below), with particular emphasis on
older drivers. Loss of height is an issue for many older drivers,
especially older women. Thus, this issue particularly affects seniors.

The goal is to develop a user-friendly product that will enhance
operation of a vehicle and improve both safety and mobility. Since the
use of a device for adjusting the seating position of the driver may
have implications for safety, consideration should also be given to
corollary products, such as pedal extenders, that would allow the driver
to sit further back from the driver's side airbag, which also affects
short-statured drivers. Research has shown that mobility is central to
qualify of life. Mobility involves the ability to travel independently
and this includes driving for many seniors. A seating position
enhancement may allow some senior drivers to drive more safely for a
longer period of time before they have to give up the keys.

The seating enhancement would also benefit younger drivers who are short
statured as well. Anecdotally we are aware that many short-statured
adults use pillows or other devices (like phone books) to sit higher in
the driver\'s seat. While some vehicles have mechanisms that allow the
driver\'s seat to be raised to an appropriate height, many vehicles do
not. Even those that do allow seat adjustments often do not adjust high
enough for the short-statured driver to see clearly in all directions.
Moreover, vehicles that do not have adjustable shoulder-belt harnesses
are often extremely uncomfortable for short-statured drivers who are
therefore more likely to not use or misuse the shoulder belt portion by
placing it behind their back or under their arm. A mechanism for
enhancing the seating position could help solve this problem by raising
the driver high enough so that the shoulder belt would fit properly.

In developing an approach, proposers should also consider
crashworthiness issues (e.g., air bag deployment) related to the use of
a device for enhancing a driver's seat position, including the
relationship between the position of the driver and the steering wheel.
In developing the system, the contractor should ensure that the proposed
product is compatible with relevant Federal Standards as specified in
CFR 49 and does not interfere with existing vehicle safety equipment.

**Error: Reference source not found04-NH2 [Development of a Low Cost
Ethanol Sensor System with Wireless Capabilities to Deter Repeat DWI
Offenders]{.underline}**

More than 17,000 persons died in alcohol-related (A/R) crashes in 2002.
With increasing attention directed at developing innovative approaches
for reducing the incidence of A/R), it appears that one promising
approach is to couple conventional deterrence with recent advances in
technology. Past research indicates that substantial reductions in A/R
crashes can be obtained when roadside alcohol checkpoints are frequently
used. Nevertheless, it is extremely difficult to detect alcohol-impaired
drivers during the brief interviews (lasting a few seconds) that are
typically conducted by police at checkpoints. Research has shown that
detection rates are low and many high-risk alcohol impaired drivers slip
through the system. Law enforcement officers have employed hand-held
passive alcohol detectors at roadside checkpoints to increase detection
rates, but these types of devices have problems that have limited their
applicability. The proposed approach would merge new, low cost sensor
technologies with wireless capabilities to provide a system with the
potential to allow authorities to screen for impaired *repeat-offenders*
at checkpoints more efficiently. Such a system would provide information
to supplement the information normally obtained at checkpoints through
the observation of drivers and the performance of standard field
sobriety tests.

The proposed system would consist of (1) an ethanol sensor to reliably
distinguish ethanol from other volatile substances in the air of a
driver's vehicle and (2) a combination of wireless technology (e.g.,
Bluetooth, WiFi) and "intelligence" on the specific vehicle (e.g.,
model, year, color), to transmit an alert to officers at roadside
checkpoints as an enhancement to the vehicle screening process.
Placement and implementation of such a system in the vehicles of
*repeat-offenders* would require consideration of a number of factors,
including, but not limited to, cost, operating temperature, detection
range, triggering concentration, sampling, placement, ease of
installation, immunity to both tampering and circumvention (e.g., open
window), low false positive rate, and acceptability in both the legal
and adjudicative domains. Consideration must also be given to the method
for providing information to checkpoint officers such that operation of
a "receiver" is hands free and easy to interpret and use. It should be
noted that actual measurement of ethanol concentration, although
desirable, would not be necessary, and that only the detection of the
presence of concentrations above a certain criterion level would be
required.

Proposals for the Phase I development effort should be based on concepts
for utilization of specific hardware, software and procedures. The
proposal should demonstrate a viable approach that would validate the
concepts and specifically demonstrate how the concept would provide a
practicable approach for screening vehicles passing through roadside
alcohol checkpoints. Upon successful completion of Phase I, the actual
development of the chosen concept for commercial deployment may be
undertaken.

# Research and Special Programs Administration (RSPA)

**04-RS1 [Transportation Infrastructure Renewal]{.underline}**

New and innovative material technologies for performing quick and
durable and sustained repair of concrete and pavement structures without
interference to transportation services or flow of traffic on highways.

**04-RS2** **[Innovative Safety and Reliability Technologies for
Pipeline System Integrity Management]{.underline}**

America receives over two-thirds of the crude and petroleum products for
more than 55 million residential and commercial customers, through more
than 160,000 miles of pipelines (based on year 2002 liquid pipeline
operator national mileage information). In addition, over 320,000 miles
of gas transmission pipeline transport natural gas to local companies
that distribute it to local customers. This supply of energy has too
often been disrupted by local pipeline leaks, such as recently occurred
in Arizona that significantly reduced the supply of petroleum to
Phoenix. RSPA/OPS has designed a SBIR topic for 2004 to help address
this continuing problem. The topic described below supports the DOT
Secretary's strategic vision of using SBIR funds to develop "safer,
simpler and smarter transportation solutions".

 

Historically, mechanical damage is the single largest cause of failures
on pipelines (transporting both natural gas and hazardous liquids).
Mechanical damage usually occurs after a pipeline has been constructed
and is caused by excavation equipment, which deforms the shape of the
pipe, scrapes away metal and coating, and changes the mechanical
properties of the pipe near the damage.

 

Phase I research is sought on the use of innovative tools or concepts
that allow for enhancing process management, pipeline monitoring and
detection of metal loss due to mechanical damage in liquid and or
natural gas applications. Areas of interest include but are not limited
to:

1\. Pipeline Integrity management software tools.

As an oversight tool, the development of a dynamic database, for safe,
smart operation of pipeline transportation infrastructure. From the
process management perspective, this tool could provide notification
protocols, critical punch list, and forms or documentation automation
with timelines. At the tasking level, the tool could identify ordered,
activities, notification and status distribution in accordance with OPS
protocols. This innovative workflow, process based, decision database
provides enhancements within operator's integrity management plans.

 

2\. Cost effective approaches for pipeline monitoring using aerial
surveillance.

Due to shorter visual inspection cycles, increased mileage and
non-continuous High Consequence Areas (HCA), lowering the cost for
aerial surveillance that incorporate monitoring technologies are needed.
Approaches using innovative technologies that can quickly detect
pipeline conditions, encroachments, and small leaks are desired. In
addition, innovative concepts to preempt third party damage to pipelines
by detecting encroachment of pipelines and their right-of-way will be
considered.

3\. Detection of coincidental metal loss from mechanical pipeline damage

Mechanical damage on pipelines cause dents to be formed. Those dents can
be divided into two basic groups called "Cup or Saucer" dents.

\"Saucer\" dents are smooth, typically non-injurious, and the presence
of coincidental metal loss is sometimes detectable. Even if detected at
these smooth internal surface transitions, the metal loss is rarely
evaluated properly due to the variables introduced by the upset in
curvature. Both the Magnetic Flux Leakage (MFL) and Compression wave
Ultrasonic Transmission (UT) devices require consistent and predictable
behavior of the sensor array as it passes an area of metal loss. Dents,
even smooth dents, introduce sensor upset that produces other variables
whose impacts are not known.

 

\"Cup\" dents and buckles are abrupt, very injurious, and the presence
of coincidental metal loss is much harder to detect. The more abrupt the
deformation causes a more injurious anomaly, resulting is less
definition of the material loss.

For enhanced safety and reliability of pipeline integrity management,
innovative in-line inspection technologies are sought that eliminate the
efforts of unpredictable sensor behavior as the metal loss devices
transverse an area of pipeline surface deformation.

# IX. SUBMISSION FORMS AND CERTIFICATIONS

> 1\. PROPOSAL COVER SHEET Appendix A
>
> 2\. PROJECT SUMMARY Appendix B
>
> 3\. CONTRACT PRICING PROPOSAL Appendix C
>
> 4\. PROPOSAL CHECKLIST Appendix D
>
> 5\. PROPOSAL ACKNOWLEDGEMENT FORM Appendix E

**APPENDIX A**

# U.S. DEPARTMENT OF TRANSPORTATION 

# SMALL BUSINESS INNOVATION RESEARCH PROGRAM

# SOLICITATION NO. DTRS57-04-R-SBIR

# PROPOSAL COVER SHEET

Project Title
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Research Topic No. \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Research
Topic Title
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Submitted by: Name
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

> City \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ State
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Zip +
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Amount Requested (Phase I) \$
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Proposed
Duration\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

(May be up to \$100,000 unless otherwise indicated) (in months) (Not to
exceed six months)

1\. The above concern certifies it is a small business firm

and meets the definition stated in Section II.B; and that it
Yes\_\_\_\_\_\_\_ No\_\_\_\_\_\_\_

meets the eligibility requirement in Section I.C.

2\. The above concern certifies it \_\_\_\_\_does\_\_\_\_\_does not

qualify as a minority and disadvantaged small business as

defined in Section II.C. (For statistical purposes only.)

3\. The above concern certifies it\_\_\_\_\_does\_\_\_\_\_does not

qualify as a women-owned small business as defined in

Section II.D. (For statistical purposes only.)

4\. This firm and/or Principal Investigator has submitted
Yes\_\_\_\_\_\_ No\_\_\_\_\_\_

> proposals containing a significant amount of essentially
>
> equivalent work under other federal program solicitations,
>
> or has received other federal awards containing a significant
>
> amount of essentially equivalent work. (If yes, identify

proposals in the Section III. D.10. \"Similar Proposals

or Awards\".)

5\. Will you permit the Government to disclose the title and
Yes\_\_\_\_\_\_\_ No\_\_\_\_\_\_\_

technical abstract of your proposed project, plus the name,

address, and telephone number of the Corporate Official

and Principal Investigator of your firm, if your proposal

does not result in an award, to any party that may be

interested in contacting you for further information?

6\. Do you qualify as a HUBZone-owned and meet the definition as stated
in this solicitation?

> (Note this item is for statistical purposes only) Yes\_\_\_\_\_\_\_
> No\_\_\_\_\_\_\_

Principal Investigator Corporate/Business Official

Name
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Name
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Title
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Title
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_Date\_\_\_\_\_
Signature\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_Date\_\_\_\_

Telephone No.\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Telephone No.\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**PROPRIETARY NOTICE (IF APPLICABLE, SEE SECTION V.D.1)**

> **APPENDIX B**

# U.S. DEPARTMENT OF TRANSPORTATION

**SMALL BUSINESS INNOVATION RESEARCH PROGRAM**

**SOLICITATION NO. DTRS57-04-R-SBIR**

**PROJECT SUMMARY**

  -------------------------------------------- --------------------------
  Name and Address of Proposer                 **FOR DOT USE ONLY**

                                               Proposal No.
  -------------------------------------------- --------------------------

+---------------------+------------------------------------------------+
| Name and Title of   |                                                |
| Principal           |                                                |
|                     |                                                |
| Investigator        |                                                |
+---------------------+------------------------------------------------+
| Project Title       |                                                |
+---------------------+------------------------------------------------+
| Research Topic No.  | Research Topic Title                           |
+---------------------+------------------------------------------------+
| Technical Abstract  |                                                |
| (Limited to two     |                                                |
| hundred words in    |                                                |
| this space only     |                                                |
| with no classified  |                                                |
| or proprietary      |                                                |
| information/data).  |                                                |
+---------------------+------------------------------------------------+
| Anticipated         |                                                |
| Results/Potential   |                                                |
| Commercial          |                                                |
| Applications of     |                                                |
| Results.            |                                                |
+---------------------+------------------------------------------------+
| Provide key words   |                                                |
| (8 maximum)         |                                                |
| description of the  |                                                |
| project useful in   |                                                |
| identifying the     |                                                |
| technology,         |                                                |
| research thrust     |                                                |
| and/or potential    |                                                |
| commercial          |                                                |
| application.        |                                                |
+---------------------+------------------------------------------------+

**U.S. DEPARTMENT OF TRANSPORTATION APPENDIX C**

**SMALL BUSINESS INNOVATION RESEARCH PROGRAM** (SCHEDULE 1)

**SOLICITATION NO. DTRS57-04-R-SBIR**

**CONTRACT PRICING PROPOSAL**

<table style="width:100%;">
<colgroup>
<col style="width: 8%" />
<col style="width: 2%" />
<col style="width: 0%" />
<col style="width: 1%" />
<col style="width: 6%" />
<col style="width: 2%" />
<col style="width: 0%" />
<col style="width: 5%" />
<col style="width: 2%" />
<col style="width: 1%" />
<col style="width: 12%" />
<col style="width: 0%" />
<col style="width: 5%" />
<col style="width: 0%" />
<col style="width: 4%" />
<col style="width: 0%" />
<col style="width: 6%" />
<col style="width: 0%" />
<col style="width: 2%" />
<col style="width: 1%" />
<col style="width: 4%" />
<col style="width: 1%" />
<col style="width: 0%" />
<col style="width: 9%" />
<col style="width: 18%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="12"><strong>PROPOSAL COVER SHEET</strong></td>
<td colspan="13">1. SOLICITATION/CONTRACT/MODIFICATION NUMBER</td>
</tr>
<tr class="even">
<td colspan="12">2a. NAME OF OFFEROR</td>
<td colspan="13">3a. NAME OF OFFEROR’S POINT OF CONTACT</td>
</tr>
<tr class="odd">
<td colspan="12">2b. FIRST LINE ADDRESS</td>
<td colspan="13">3b. TITLE OF OFFEROR’S POINT OF CONTACT</td>
</tr>
<tr class="even">
<td colspan="12">2c. STREET ADDRESS</td>
<td colspan="13"></td>
</tr>
<tr class="odd">
<td colspan="12"></td>
<td colspan="10">3c. TELEPHONE</td>
<td colspan="3">3c. FACSMILIE</td>
</tr>
<tr class="even">
<td colspan="5">2d. CITY</td>
<td colspan="3">2e. STATE</td>
<td colspan="4">2f. ZIP CODE</td>
<td colspan="4">AREA CODE</td>
<td colspan="6">NUMBER</td>
<td colspan="2">AREA CODE</td>
<td>NUMBER</td>
</tr>
<tr class="odd">
<td colspan="5"></td>
<td colspan="3"></td>
<td colspan="4"></td>
<td colspan="4"></td>
<td colspan="6"></td>
<td colspan="2"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="12">4. TYPE OF CONTRACT OR SUBCONTRACT
<em>(Check)</em></td>
<td colspan="13">5. PRIME OFFEROR</td>
</tr>
<tr class="odd">
<td><p> FFP</p>
<p> FPI</p></td>
<td colspan="9"><p> CPFF CPIF</p>
<p> OTHER <em>(Specify)</em></p></td>
<td> CPAF</td>
<td colspan="14"><p> SUBCONTRACTOR
____________________________________</p>
<p>PRIME OFFEROR’S NAME</p></td>
</tr>
<tr class="even">
<td colspan="25">6. ESTIMATED COST, FEE AND PROFIT INFORMATION</td>
</tr>
<tr class="odd">
<td colspan="4"></td>
<td colspan="11">A. ESTIMATED COST</td>
<td colspan="10"></td>
</tr>
<tr class="even">
<td colspan="4"></td>
<td colspan="11">B. FIXED FEE</td>
<td colspan="10"></td>
</tr>
<tr class="odd">
<td colspan="4"></td>
<td colspan="11">C. AWARD FEE</td>
<td colspan="10"></td>
</tr>
<tr class="even">
<td colspan="4"></td>
<td colspan="11">D. PROFIT</td>
<td colspan="10"></td>
</tr>
<tr class="odd">
<td colspan="4"></td>
<td colspan="11">E. TOTAL PRICE</td>
<td colspan="10"></td>
</tr>
<tr class="even">
<td colspan="4"></td>
<td colspan="11"></td>
<td colspan="10"></td>
</tr>
<tr class="odd">
<td colspan="25">7. PROVIDE THE FOLLOWING</td>
</tr>
<tr class="even">
<td colspan="14">NAME OF COGNIZANT CONTRACT ADMINISTRATIVE AGENCY</td>
<td colspan="11">NAME OF COGNIZANT GOVERNMENT AUDIT AGENCY</td>
</tr>
<tr class="odd">
<td colspan="14">STREET ADDRESS</td>
<td colspan="11">STREET ADDRESS</td>
</tr>
<tr class="even">
<td colspan="7">CITY</td>
<td colspan="2">STATE</td>
<td colspan="5">ZIP CODE</td>
<td colspan="9">CITY</td>
<td>STATE</td>
<td>ZIP CODE</td>
</tr>
<tr class="odd">
<td colspan="3">TELEPHONE</td>
<td colspan="3">AREA CODE</td>
<td colspan="8">NUMBER</td>
<td colspan="4">TELEPHONE</td>
<td colspan="5">AREA CODE</td>
<td colspan="2">NUMBER</td>
</tr>
<tr class="even">
<td colspan="3">FACSIMILE</td>
<td colspan="3">AREA CODE</td>
<td colspan="8">NUMBER</td>
<td colspan="4">FACSIMILE</td>
<td colspan="5">AREA CODE</td>
<td colspan="2">NUMBER</td>
</tr>
<tr class="odd">
<td colspan="2">NAME OF CONTACT</td>
<td colspan="11"></td>
<td colspan="4">NAME OF CONTACT</td>
<td colspan="8"></td>
</tr>
<tr class="even">
<td colspan="2">PROPERTY SYSTEM</td>
<td colspan="11"><p> Reviewed by cognizant contract administrative</p>
<p>agency and determined acceptable</p></td>
<td colspan="7">APPROXIMATE DATE OF LAST AUDIT</td>
<td colspan="5"></td>
</tr>
<tr class="odd">
<td colspan="2"></td>
<td colspan="11"><p> Reviewed by cognizant contract administrative</p>
<p>agency and determined not acceptable</p></td>
<td colspan="4">PURPOSE OF AUDIT</td>
<td colspan="8"></td>
</tr>
<tr class="even">
<td colspan="2"></td>
<td colspan="11"> Never reviewed</td>
<td colspan="4"></td>
<td colspan="8">(e.g. proposal review, establishment of billing rates,
finalize indirect rates, etc.)</td>
</tr>
<tr class="odd">
<td colspan="2">PURCHASING SYSTEM</td>
<td colspan="11"><p> Reviewed by cognizant contract administrative</p>
<p>agency and determined acceptable</p>
<p> Reviewed by cognizant contract administrative</p>
<p>agency and determined not acceptable</p></td>
<td colspan="4">ACCOUNTING SYSTEM</td>
<td colspan="8"><p> Audited and determined acceptable</p>
<p> Audited and determined not acceptable</p>
<p> Never audited</p></td>
</tr>
<tr class="even">
<td colspan="2"></td>
<td colspan="11"> Never reviewed</td>
<td colspan="8">OFFEROR’S FISCAL YEAR</td>
<td colspan="4"></td>
</tr>
<tr class="odd">
<td colspan="14">8a. NAME OF OFFEROR <em>(Typed)</em></td>
<td colspan="11">9. NAME OF FIRM</td>
</tr>
<tr class="even">
<td colspan="14">8b. TITLE OF OFFEROR <em>(Typed)</em></td>
<td colspan="11"></td>
</tr>
<tr class="odd">
<td colspan="19">10. SIGNATURE</td>
<td colspan="6">11. DATE OF SUBMISSION</td>
</tr>
</tbody>
</table>

> **APPENDIX C** Continued

**U.S. DEPARTMENT OF TRANSPORTATION**

**SMALL BUSINESS INNOVATION RESEARCH PROGRAM**

**CONTRACT PRICING PROPOSAL**

**Background**

> The following items, as appropriate, should be included in proposals
> responsive to this Solicitation.

**Cost Breakdown Items** (in this order, as appropriate) (See Section
III.E)

1\. Name of proposer

2\. Address of proposer

3\. Location where work will be performed

4\. Proposer\'s Project Title

5\. Research topic number and title from DOT SBIR Program Solicitation

6\. Total dollar amount of the proposal (dollars)

7\. Direct material costs

a\. Purchased parts (dollars)

b\. Subcontracted items (dollars)

c\. Other

\(1\) Raw materials (dollars)

\(2\) Standard commercial items (dollars)

d\. Total direct materials (dollars)

8\. Material overhead rate \_\_\_\_\_ % x total direct material =
dollars

9\. Direct labor (specify)

a\. Type of labor, estimated hours, rate per hour and dollar cost for
each type

b\. Total estimated direct labor (dollars)

10\. Labor overhead

a\. Identify overhead rate, the hour base and dollar cost

b\. Total estimated labor overhead (dollars)

11\. Special testing (include field work at Government installations)

a\. Specify each item of special testing, including estimated usage and
unit cost

b\. Estimated total special testing (dollars)

12\. Other special equipment

a\. If direct charge, specify each item of special equipment, including
usage and unit cost

b\. Estimated total other special equipment (dollars)

> **APPENDIX C** Continued

13\. Travel (if direct charge)

a\. Transportation (detailed breakdown and dollars)

b\. Per diem or subsistence (details and dollars)

c\. Estimated total travel (dollars)

14\. Consultants Service

a\. Identify each consultant, including purpose and dollar rates

b\. Total estimated consultant service costs (dollars)

15\. Other direct costs (specify)

a\. Total estimated direct cost and overhead (dollars)

16\. General and administrative expense

a\. Percentage rate applied

b\. Total estimated cost of G&A expense (dollars)

17\. Royalties (specify)

a\. Estimated cost (dollars)

18\. Fee or profit (dollars)

19\. Total estimated cost and fee or profit (dollars)

20\. The cost breakdown portion of a proposal must be signed by a
responsible official of the firm (include typed name and title and date
of signature).

21\. Provide a [yes]{.underline} or [no]{.underline} answer to each of
the following questions:

a\. Has any executive agency of the United States Government performed
any review of your accounts or records in connection with any other
government prime contract or subcontract within the past twelve months?
If yes, provide the name and address of the reviewing office, name of
the individual and telephone/extension.

b\. Will you require the use of any government property in the
performance of this proposal? If yes, identify.

c\. Do you require government contract financing to perform this
proposed contract? If yes, specify type as advanced payments or progress
payments.

22\. Type of contract proposed, [firm-fixed price]{.underline}.

23\. DUNS number, if
available\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

(See Section III.F)

24\. Tax Identification Number, if available.

# APPENDIX D

# U.S. DEPARTMENT OF TRANSPORTATION

**SMALL BUSINESS INNOVATION RESEARCH PROGRAM**

**SOLICITATION NO. DTRS57-04-R-SBIR**

**PROPOSAL CHECKLIST**

This is a CHECKLIST OF REQUIREMENTS for your proposal. Please review the
checklist carefully to assure that your proposal meets the DOT SBIR
requirements. Failure to meet these requirements may result in your
proposal being returned without consideration. (See Sections III and
IV.C of this Solicitation). [Do not include this checklist with your
proposal]{.underline}.

\_\_\_\_ 1. The proposal reflects the fact that for Phase I a minimum of
two-thirds (and for Phase II a minimum of one-half) of the research
and/or analytical effort will be performed by the proposing firm as
required (see Sections V.H.1 and V.H.2) and the primary employment of
the principal investigator (for both Phase I and Phase II) must be with
the small business firm at the time of award and during the conduct of
the proposed research as required (see Section I.C).

\_\_\_\_ 2. The proposal is 25 PAGES OR LESS in length. This limitation
does not apply to the additional information required by Section III.H.

\_\_\_\_ 3. The proposal is limited to only ONE of the research topics
in Section VIII.

\_\_\_\_ 4. The proposal budget may be up to \$100,000 unless otherwise
indicated and duration does not exceed six months.

\_\_\_\_ 5. The technical abstract contains no proprietary information,
does not exceed 200 words, and is limited to the space provided on the
Project Summary sheet (Appendix B).

\_\_\_\_ 6. The proposal contains only pages of 8 1/2\" x 11\" size.

\_\_\_\_ 7. The proposal contains no type smaller than 10 point font
size.

\_\_\_\_ 8. The COVER SHEET (Appendix A) has been completed and is PAGE
1 of the proposal.

\_\_\_\_ 9. The PROJECT SUMMARY (Appendix B) has been completed and is
PAGE 2 of the proposal.

\_\_\_\_ 10. The TECHNICAL CONTENT of the proposal begins on PAGE 3 and
includes the items identified in SECTION III.D of the Solicitation.

\_\_\_\_ 11. The Contract Pricing Proposal (Appendix C) has been
included as the last section of the proposal.

\_\_\_\_ 12. The acknowledgement of proposal receipt card on the back
cover of the solicitation has been detached, filled out and included
with the proposal package.

\_\_\_\_ 13. An original and four copies of the proposal are submitted.

\_\_\_\_ 14. The additional information on prior Phase II awards, if
required, in accordance with Section III.H.

\_\_\_\_ 15. The proposal must be postmarked (or delivered to the DOT
SBIR Program Office) no later than May 3, 2004 as required (see Section
VI.A). If submitted electronically, the proposal must be received by

May 3, 2004, as well.

+-----------------------------------------------------------------------+
| > **APPENDIX E**                                                      |
|                                                                       |
| **DOT SBIR PROGRAM SOLICITATION**                                     |
|                                                                       |
| **DTRS57-04-R-SBIR**                                                  |
+-----------------------------------------------------------------------+
| TO BE FILLED OUT BY THE PROPOSER:                                     |
|                                                                       |
| Project Title                                                         |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\                                           |
| _\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
|                                                                       |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\                       |
| _\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
+-----------------------------------------------------------------------+
| TO BE FILLED OUT BY THE DEPARTMENT OF TRANSPORTATION:                 |
|                                                                       |
| Date Received \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Proposal No.     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_                                        |
+-----------------------------------------------------------------------+

The form for acknowledging receipt of proposal appears above. Please
include it in the same package with the proposal submitted to DOT and
provide your address on the reverse side.

[^1]: Phase I may be up to \$96,000 and Phase II may be up to \$720,000

[^2]: Phase I may be up to \$100,000 and Phase II may be up to \$250,000

[^3]: Phase I may be up to \$100,000 and Phase II may be up to \$500,000

[^4]: Phase I may be up to \$100,000 and Phase II may be up to \$300,000