**DTRT57-08-R-SBIR2**

![](media/image1.png){width="1.5284722222222222in"
height="1.0597222222222222in"} **FY08.2**

Office of the Secretary

of Transportation

**PROGRAM SOLICITATION**

**Small Business Innovation**

**Research Program**

**Issue Date: July 18, 2008**

**Closing Date: September 5, 2008**

**DOT SBIR Program Office, RTV-1A**

**U.S. DOT/RITA/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 7

### V. CONSIDERATIONS 9

VI\. SCIENTIFIC AND TECHNICAL INFORMATION SOURCES 13

VII\. RESEARCH TOPICS 14

VIII\. SUBMISSION FORMS AND CERTIFICATIONS 22

**APPENDICES**

### A. PROPOSAL COVER SHEET 23

### B. PROJECT SUMMARY 24

### C. CONTRACT PRICING PROPOSAL (Schedule 1) 25

### D. PROPOSAL CHECKLIST 29

**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 (codified at 15 U.S.C. 638) as amended by the Small Business

Innovation Research (SBIR) Program, Extension, P.L. 99-443 which
extended the program through September 30, 1993. On October 28,1992,
through the Small Business Innovation Research and Development Act of
1992 (P.L. 102-564), Congress reauthorized and extended the SBIR program
for another seven years (2000). Subsequently, on December 21, 2000,
through the Small Business Reauthorization Act of 2000 (P.L. 106-554)
Congress again reauthorized the SBIR program through September 30, 2008.

The SBIR program encourages small business concerns to engage in
research or research and development (R/R&D) that has the potential for
commercialization to meet Federal research or research and development
objectives.

The purposes of the SBIR program are:

\(1\) To stimulate technological innovation;

\(2\) To use small business to meet Federal R/R&D needs;

\(3\) To increase private sector commercialization

of innovations derived from Federal R/R&D; and

\(4\) To foster and encourage participation by minority and
disadvantaged persons 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 provides support for the conduct of
feasibility-related experimental or theoretical research or R/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 is generally six months. The basis for award will be the
scientific and technical merit of the proposal and its relevance to DOT
requirements and priorities. **[Only awardees in Phase I are eligible to
participate in Phase II which is by invitation only.]{.underline}**

**Phase II.** Phase II is the principal R/R&D effort having a period of
performance of approximately two years with a dollar value of up to
\$750,000 unless otherwise noted. 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 proposals must be prepared in
accordance with guidelines provided by DOT to Phase I awardees receiving
an invitation to submit a Phase II proposal. Phase II awards will be
based on the 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.** SBIR Phase III award logically follows SBIR Phase II and
may be a continuation of the work under Phase II or commercialization of
the research under the previous SBIR phases. Like SBIR Phase II, the
award process is exempted from FAR subpart 5.2 requirements. Only those
vendors who were awarded both a SBIR Phase I and Phase II may receive a
SBIR Phase III award. There is no limit on the performance period length
or dollar value of a SBIR Phase III, and the small business size limits
for Phase I and Phase II awards do not apply to SBIR Phase III awards.

Phase III is to be conducted by the small business with either:

-   non-Federal funds to pursue commercial

> applications of R/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 contracts. 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 R/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 should 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 R/R&D proposals on advanced,
innovative concepts from small business firms having strong capabilities
in applied science or engineering.

The Phase I R/R&D 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 offeror shall choose that topic
which appears to be most relevant to the offeror\'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 R/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
offeror to ensure that all preparation instructions have been followed.

(See Proposal Checklist, Appendix D).

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

Joseph Henebury

DOT SBIR Program Director, RTV-1A

U.S. DOT/RITA/VNTSC

55 Broadway

Cambridge, MA 02142‑1093

Telephone: (617) 494‑2051

Fax: (617) 494‑2370

Email Address: Joseph.Henebury@dot.gov

Volpe Center Website: http://www.volpe.dot.gov/sbir

**II. DEFINITIONS**

A.  **Research or Research and Development**

> **(R/R&D)**

R/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 all of the following criteria:

\(1\) Is independently owned and operated, is not dominant in the field
of operation in which it is proposing, and has a place of business in
the United States and operates primarily within the United States or
makes a significant contribution to the U.S. economy, and is organized
for profit.

\(2\) Is (a) at least 51% owned and controlled by one or more
individuals who are citizens of, or permanent resident aliens in, the
United States or (b) it must be a for-profit business concern that is at
least 51% owned and controlled by another for-profit business concern
that is at least 51% owned and controlled by one or more individuals who
are citizens of, or permanent resident aliens in, the United States.

\(3\) Has, including its affiliates, an average number of employees for
the preceding 12 months of less than 500, and meets the other regulatory
requirements found in 13 CFR Part 121. Business concerns are generally
considered to be 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/parties controls or has the power to control
both.

Control can be exercised through common ownership, common management,
and contractual relationships. The term \"affiliates\" is defined in
greater detail in 13 CFR 121.103. The term \"number of employees\" is
defined in 13 CFR 121.106.

A business concern may be in the form of an individual proprietorship,
partnership, limited liability company, corporation, joint venture,
association, trust, or cooperative. Further information may be obtained
at <http://www.sba.gov/size>, or by contacting the Small Business
Administration's Government Contracting Area Office or Office of Size
Standards.

**C. Socially and Economically Disadvantaged Small Business Concern**

A socially and economically disadvantaged small business concern is one
that is at least 51% owned and controlled by one or more socially and
economically disadvantaged individuals, or an Indian tribe, including
Alaska Native Corporations (ANCs), a Native Hawaiian Organization (NHO),
or a Community Development Corporation (CDC). Control includes both
strategic planning (as that exercised by boards of directors) and the
day-to-day management and administration of business operations. See 13
CFR 124.109, 124.110, and 124.111 for special rules pertaining to
concerns owned by Indian Tribes (including ANCs), NHOs, or CDCs,
respectively.

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

A woman-owned small business concern is one that is at least 51% owned
and controlled by a woman or women. Control includes both the strategic
planning (as that exercised by boards of directors) and the day-to-day
management and administration of business operations.

**E. Veteran Owned Small Business**

A veteran-owned small business concerns is one that is at least 51
percent owned and controlled by one or more veterans (as defined at 38
U.S.C. 101(2) or, in the case of any publicly owned business, not less
than 51 percent of the stock of which is owned by one or more veterans,
and the management and daily business operations of which are controlled
by one or more veterans.

**F. 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.

**G. Historically Underutilized Business**

**Zone (HUBZone)**

> A HUBZone small business concern is one that meets 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% of the state median household income
> or with an unemployment of not less than 140% of the statewide average
> based on U.S. 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% of its employees must reside in a HUBZone.

**III. PROPOSAL PREPARATION**

**INSTRUCTIONS AND REQUIREMENTS**

A.  **[Proposal Submission Requirements]{.underline}**

-   Each proposal shall not exceed 25 pages (regular size type -- no
    smaller than 10 point font size -- single or double spaced, standard
    8 ½" by 11" pages) including proposal cover sheet, contract pricing
    proposal, and all enclosures or attachments.

-   Proposals must be a PDF file and submitted online

-   No duplicate proposals shall be sent by any

> other means.

-   Proposals may only be submitted online, a link to the web form can
    found here: <http://www.volpe.dot.gov/sbir/current.html>
    Instructions are included on the submission page.

```{=html}
<!-- -->
```
-   Proposals must be received no later than 5:00 p.m. EST on September
    5, 2008.

-   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.

It will be available to only the team of DOT engineers and/or scientists
responsible for evaluating your proposal.

**B. Proposal Cover Sheet**

Complete the Proposal Cover Sheet in Appendix A as Page one 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 two 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 200
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 R/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 R/R&D plan. The plan
shall indicate what will be done, where it will be done, and how the
R/R&D will be managed or directed and carried out. Phase I R/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 R/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 offeror must persuade reviewers of his or her
awareness of key recent R/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 limitations.

\(6\) **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 R/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 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 offeror plans to use the requested
funds if the contract is awarded. Phase I contract awards may include
profit.

**F. Central Contracting Registration (CCR) and Data Universal Numbering
System (DUNS) Identification Number**

Since October 1, 2003, it is federally mandated that any business
wishing to do business with the Federal Government under a Federal
Acquisition Regulation (FAR)-based contract must be registered in CCR
before being awarded a contract. You can find more information on CCR
and the registration process in their handbook,
<http://www.ccr.gov/handbook.asp>. You can register online at
[http://]{.underline}[www.ccr.gov](http://www.ccr.gov/) by clicking on
"Start New Registration" if you already have a DUNS number. If you need
a DUNS number, you can find instructions at

<http://fedgov.dnb.com/webform/displayHomePage.do>

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

**G. Prior SBIR Phase II Awards**

If the small business concern has received more than 15 Phase II awards
in the prior five 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 Phase III funding commitments from private sector or
> non-SBIR funding sources; and
>
> c\) 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 R/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 R/R&D.

**C. Prescreening**

Each proposal submission will be examined to determine if it is complete
and contains adequate technical and pricing data. [Proposals that do not
meet the basic requirements of the solicitation will be excluded from
further consideration]{.underline}. Each offeror will be notified
promptly by email of such action.

**D. Schedule**

All DOT reviews shall be completed and awards recommended within twelve
weeks s of the closing date for Phase I proposals.

**E. Program Selection**

A Proposal Review Panel, chaired by the DOT 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 the FY08.2 DOT
SBIR solicitation research topics must be submitted to the DOT SBIR
Program Office by e-mail to: Linda.Duck@.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 [FY08.2 Phase I Award Recommendations]{.underline} is posted on
the DOT SBIR Program Webpage: http://www.volpe.dot.gov/sbir. For
planning purposes the notification of

[FY08.2 Phase I Award Recommendations]{.underline} is expected to be
posted on the DOT SBIR Program Webpage by December 19, 2008. **Phase I
proposals which are not included in the December 19^th^ list of [FY08.2
Phase I Award Recommendations]{.underline} will not receive an award.**
**No written correspondence regarding proposal status will be
ANSWERED.**

After the [FY08.2 Phase I Award Recommendations]{.underline} are posted
on the DOT SBIR Program Webpage, a

debriefing comprised of the overall comments on the proposal may be
provided to the offeror upon request.

[Debriefing requests should be submitted to the Contracting Officer by
e-mail to:]{.underline} Orin.Cook@dot.gov[, and must include the
offeror'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 FY08.2, DOT will award approximately 3 Phase
I contracts with an [anticipated potential]{.underline} maximum of 5
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 an
acceptable accounting system 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, Research and Innovative
Technology Administration, and Pipeline Hazardous Materials Safety
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, consisting
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 offeror. 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 offeror in a proposal which
constitutes a trade secret, proprietary commercial or financial
information, confidential personal information or data affecting
national security, it will be treated in confidence, to the extent
permitted by law, provided this information is clearly marked by the
offeror 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 offeror 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 obtained from another source
without restriction. The data subject to this restriction is contained
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.

DOT prefers that offerors 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 the 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 40 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 offeror 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 offeror, 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 [offeror]{.underline} shall
    complete Online Representations and Certifications Application:
    [https://orca.bpn.gov](https://orca.bpn.gov/)

3\. The Government may request the offeror to submit additional
management, personnel, and financial information to assure
responsibility of the offeror.

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

5\. 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.

6\. 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
<http://www.volpe.dot.gov/procure/unsolguide.html> for specifics on
unsolicited proposal submission requirements.

7\. 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.

8\. 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.

9\. 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 Government Accountability
Office (GAO), shall be served on the Contracting Officer (addressed as
follows) by obtaining written and dated acknowledgement of receipt from:
Orin Cook, DOT/RITA/Volpe Center, 55 Broadway, RTV-6D1, Cambridge, MA
02142-1093

#   {#section-1 .unnumbered}

# VI. 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

1400 Computer Drive

Westborough, MA 01581

\(508\) 870-0042

Federal Information Exchange, Inc.

555 Quince Orchard Road, Suite 360

Gaithersburg, MD 20878

\(301\) 975-0103

Midcontinent Technology Transfer Center

Texas Engineering Extension Service

The Texas A&M University System

301 Tarrow Street, Suite 119

College Station, TX 77840-7896

\(409\) 845-8762

MidAtlantic Technology Applications Center

University of Pittsburgh

3400 Forbes Avenue, 5^th^ Floor

Pittsburgh, PA 15260

\(412\) 383-2500

Great Lakes Industrial Technology Center

25000 Great Northern Corporation Center, Suite 260

Cleveland, OH 44070-5320

\(440\) 734-0094

Southern Technology Applications Center

University of Florida

1900 SW 34^th^ Street, Suite 206

Gainsville, FL 32608

\(352\) 294-7822

National Technical Information Service

5285 Port Royal Road

Springfield, VA 22161

\(800\) 553-6847

Technology Transfer Center

University of Southern California

3716 South Hope Street, Suite 200

Los Angeles, CA 90007-4344

\(213\) 743-2352

> **VII. 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/TOPICS AND**

**POTENTIAL MAXIMUM FY08.2 PHASE I AWARDS**

**FEDERAL HIGHWAY ADMINISTRATION 2 AWARDS**

082-FH1 Dilemma Zone Detection and Warning System

082-FH2  Origin-Destination -- Travel Time Measurement and
Characterization

**FEDERAL RAILROAD ADMINISTRATION 1 AWARD**

[^1]082-FR1 Cursory and Non-regulatory Removable Safety Appliances for
Intermodal or Semi-Permanently Attached Railcars

# Federal Highway Administration (FHWA)

# 082-FH1 Dilemma Zone Detection and Warning System

**BACKGROUND**

The dilemma zone problem is a major safety problem at high-speed
signalized intersections. During a Green-Yellow signal transition
period, drivers in a roadway section near the intersection usually have
a difficult time in making a decision whether to go or to stop. In this
case, the section is called a Dilemma Zone (DZ), since there might be no
sufficient braking distance to stop, nor sufficient yellow time to go
through the intersection. The former may cause an unsafe hard braking
with the risk of a rear-end collision, and the latter may cause running
through an intersection on red with the risk of a lateral collision.

For decades, researchers and traffic engineers have studied and
delivered many methods to deal with the dilemma zone problem. The major
methods include (i) defining dilemma zone boundaries (1), (ii) extending
green phase to avoid forming a dilemma zone (2, 3), (iii) placing
warning sign (see fig. 1) at upstream of the intersections (4, 5), and
(iv) choosing the right time for the green-yellow transition to minimize
the number of vehicles to be trapped in a dilemma zone (6).

Figure 1

![](media/image2.jpeg){width="2.9in" height="2.175in"}

Due to the limitations in the available technologies and their
associated costs, two major problems still remain and thus, impede the
effectiveness of the above methods. The first problem is that the actual
boundary of a dilemma zone is not clear, and the second one is that
current warning system approaches are not effective in assisting the
driver in deciding what to do. It is hypothesized that solving these two
problems can significantly improve safety at high-speed signalized
intersections.

An effective detection system is the fundamental tool to define the
location and boundary of a dilemma zone, and to assess the risk of a
vehicle being trapped in a dilemma zone. With a good detection system,
many safety measures, such as green phase extension, can be well applied
to improve the safety.

An effective warning display will provide valuable information to help
drivers making a right decision (to go or not to go) early, so a dilemma
zone situation can also be avoided.

In existing practices, most detection systems use inductive loops or
radars to detect if there are vehicles running into pre-defined dilemma
zones. If a vehicle is predicted to be in a dilemma zone while the
signal is still green, the green phase may be extended to allow this
vehicle's passing through the intersection. Due to the difficulties in
the detection system, the actual boundary of a dilemma zone is not
clear; the pre-defined DZ boundary is based on statistics and
assumptions, such as the average speed, as based on prior studies. With
such a detection system, it is not certain that a vehicle predicted to
be in a DZ will actually be in dilemma zone situation.

The DZ warning display is normally a single sign (either active or
passive) located about 700 ft upstream of the stop bar at an
intersection, and the sign will flash few seconds before the end of the
green phase. When a driver sees the active sign starting to flash, the
traffic light is still green, and the driver is still having a difficult
time in making a decision even though the sign means "Prepare to Stop."
These technical difficulties significantly limit the effectiveness of
such systems.

**THE PROPOSED SYSTEM**

In this concept of operations, a new system is proposed which uses
advanced concept of operations and technologies. [Compared to the
existing systems, the proposed system will have much better performance
with almost the same or lower cost]{.underline} because it takes the
advantage of following up-to-date technologies that did not exist 20-30
years ago when most DZ studies were conducted. These technologies
include: (1) high computing power within a small processing board, (2)
low power LED flashers, (3) reliable, low-cost wireless communications;
and, (4) effective, low-cost magnet sensors. Since these technologies
are COTS products with low cost, they provide a promising opportunity
for safety improvements at high-speed intersections.

The concept of operations can be described as follows:

First, the detection system will use either a digital radar or multiple
magnet sensors to [track]{.underline} every vehicle that could run into
a DZ. The tracking data will be sent to a central processing board for
data processing.

Second, the processing board will run a sophisticated formula to
determine if a vehicle is likely to run into a DZ. The board will
determine how to send the warning messages to different drivers (e.g.,
drivers in leading vehicles as well as in following vehicles).

Third, multiple, low-power LED flashers will be installed along the
roadside with strategically designed locations. Each flasher is
controlled by the central processing board or a computer through
wireless or line communication. The drivers who would be trapped in a DZ
and need to reduce speed will see the flashing along their path; while
the drivers who can proceed through intersection safely will not see the
flashing. In this way, a DZ situation can be eliminated or significantly
reduced.

Fourth, the processing board will determine if a green extension can be
implemented to avoid a DZ, or determine the best time to implement a G-Y
transition should a max-out situation occur. In this way, the system
will ensure safety improvement with less disruption of traffic flow.

Figures 2 -- 5 are graphic expressions of an example of operations.

Fig. 2 shows that the detection system is tracking all the vehicles and
determined that vehicle No. 2 will run into a dilemma zone, based on the
signal timing and the vehicle speed data. And, vehicle No. 1 will not be
in the DZ.

![](media/image3.jpeg){width="5.992361111111111in"
height="3.207638888888889in"}

Fig. 3 shows that the system implements a flashing pattern to warning
vehicle No. 2 and No. 3 only. Vehicle No. one will not see the flashing.

![](media/image4.jpeg){width="5.992361111111111in"
height="3.207638888888889in"}

Fig. 4 shows that the system implements more flashing downstream to keep
warning vehicle No. 2.

![](media/image5.jpeg){width="5.992361111111111in"
height="3.207638888888889in"}

Fig. 5 shows that No. 1 has passed through the intersection and No. 2 &
No. 3 have slowed down to prepare a stop. In this way, [a dilemma zone
is avoided!]{.underline}

![](media/image6.jpeg){width="5.992361111111111in"
height="3.207638888888889in"}

The above figures describe only one example, but the basic principle is
the same for other scenarios. The key requirement for this concept is
using up-to-date technologies meanwhile keeping the cost low. There are
many innovative ways to implement these scenarios using modern
technologies.

**Functionality and General Specifications of the System**

(i) The detection system shall have tracking capacity up to 800 ft
    upstream, using either multiple low cost point sensors or a single
    radar sensor.

(ii) The warning display system shall have continuous coverage for the
     vehicles likely running into a DZ. Each of the LED flashers can be
     controlled by a central computer, and the flasher group should be
     configurable.

(iii) Communication shall be built among sensors, central computer (or
      processing board), and flashers.

**Knowledge, Skills and Abilities needed to implement this concept of
operations:**

\(i\) The approach of using new system to solve the dilemma zone
problems

> \(ii\) Work experience on systems integration
>
> \(iii\) Good understanding of dilemma zone problems and the existing
> methods to
>
> deal with the problems
>
> \(iv\) Experiences on sensor applications, software development, and
> systems
>
> communications.
>
> \(v\) Knowledge of traffic data collection and analysis for systems
> validation.

**Expected Deliverables**

A prototype system is expected by the end of Phase I, which can
demonstrate the concept of operations and the functionality. The
prototype is not required to perform at live intersections.

In Phase II, a final product is expected which will be tested and
operated at live intersections.

**Reference**

(1) Traffic Detection Handbook; 3^rd^ Edition, FHWA-HRT-06-139, 2007

(2) Parsonson, P; Use of EC-DC Detector for Signalized Intersections;
    Transportation Research Record No. 737, Transportation Research
    Board 1979.

(3) Large-Area Detection at Intersection Approaches, Southern Section of
    ITE, Traffic Engineering, June, 1976.

(4) Pant, P.; Evaluation of Detection and Signing Systems for High Speed
    Signalized Intersection; Report FHWA/OH-95/016, 1996.

(5) Huang, P.; Simulation-Neural Network Model for Evaluating Dilemma
    Zone Problems at High-Speed Signalized Intersections; Transportation
    Research Record 1456, Transportation Research Board, 1994.

(6) Zimmerman and Bonneson; In-Service Evaluation of a Detection-Control
    System for High-Speed Signalized Intersections, Report
    FHWA/TX-05/5-4022-1, 2005.

##### 082-FH2  Origin-Destination -- Travel Time Measurement and Characterization

Travel time and origin-destination data and characterization are key to
developing algorithms for improved traveler information systems, traffic
control systems and planning. The objective of this project is to
develop a technology for monitoring the travel time and
origin-destination of vehicles.

Creation of either new technologies or new applications of existing
technologies, such as Bluetooth, WiFi, and other open source standards,
to detect vehicles and to re-identify them and calculate the travel time
between measurement points anonymously, is key to the success of this
project..

The objective of measuring travel time has several aspects. First, the
vehicle must be accurately yet anonymously sensed at the first location.
Second, it must be accurately yet anonymously sensed at a second
location. Third, it must be possible to measure accurately the elapsed
time between the two identifications while providing anonymity to the
driver. Fourth, it must be possible to assemble these identifications
into origin-destination tables.

The software for processing the unique id number data, tracking the
travel time measurements from the unique id's and calculating the
origin-destination data from the unique id's must be both open source
and use the GNU pretty good privacy algorithms. The open source
requirement is to ensure full and continued inspectability of the
algorithms. The GNU OpenPGP is an encryption standard which facilitates
full privacy and anonymity.

<http://www.gnupg.org/>

<http://www.ietf.org/rfc/rfc4880.txt>

In phase I, field tests must demonstrate that the technology can
successfully track vehicles between two points without violation driver
anonymity. Statistical characterizations of the number of vehicles that
can be successfully identified at the first location and then
re-identified at the second location must be made. These should be
compared to ground truth against the total vehicle population traveling
between the two points. This will demonstrate the test and evaluate the
potential of the new technology or enhancement of an existing
technology.

Phase II would develop the new or enhanced technology and then
demonstrate the prototype at the a sequence of intersections and or
freeway locations. The technology should be evaluated at a sequence of
permanent traffic count stations for establishment of a rigorous
statistical measurement of the accuracy of the technology against
"ground truth" in the real world during a variety of weather conditions.

NOTE: The specific technology(ies) for this SBIR have not been
specified.

Preferred strengths for the project team include experience with system
integration, traffic engineering, experience on sensor applications,
software development and system communications. Also preferred are
experience with traffic data collection and analysis for systems
validation.

**Relationship to FHWA Strategic Objectives:**

Goal: Mobility & Productivity\
Desired Outcome: Improved descriptions of travel time from origin to
destination. Increase the reliability of trip time estimations for the
Individual Transportation User.

Performance Objective: MP1-- Mitigate congestion and improve system
reliability through actions targeted at key causes of congestion (VF).\
Performance Measures: Allow deployments of traffic monitoring systems
which can accurately measure travel times under Transportation
Technology and Innovation.

This outcome cannot be reached unless systems can reliably and
accurately detect and characterize traffic travel times and
origin-destination patterns in all weather and lighting conditions.
Existing technologies do not adequately provide these capabilities.
Probe vehicle methods and survey methods are expensive and difficult to
technologies to use on a regular basis.

**Federal Railroad Administration (FRA)**

[**^1^082**-**FR1** **Cursory and Non-regulatory Removable Safety
Appliances for Intermodal or Semi-Permanently Attached
Railcars**]{.underline}

Situations arise during transport of Continuous Welded Rail (CWR)
Maintenance of Way equipment with traditional couplers where railroad
employees at times may have to apply handbrakes while the car is in
motion. To do so, railroad employees would need to operate the handbrake
and the current handholds above the deck of the flat car provide safe
operation of its intended use. The rail movement in a CWR rail train at
intermediate locations prohibits the safety appliance placement and thus
handholds are removed to allow the transporting of the rail to its
destination. Removal of the handholds to transport rail causes the car
to be non-compliant, as per 49 CFR 231.6 and as identified in Motive
Power and Equipment (MP&E) Technical Bulletins (TB) 98-69 (MP&E 98-69)
Safety Appliance Arrangements For Flat Cars and MP&E TB 00-07. After
removal of the handholds, the railroad must request a one-time movement
from the Federal Railroad Administration in order to move the cars to
its destination. At its destination, the railcar must be brought back
into compliance by reattaching the safety appliance prior to any
movement.

The purpose of this SBIR project is to develop a collapsible or
retractable cursory handhold to eliminate the need for a railroad to
remove the handholds and provide an enhanced safe operational
environment for railroad employees as they perform their duties. The
proposed deign must be acceptable to the Federal Railroad Administration
as an alternate compliant type safety appliance based on the regulations
provided in 49 CFR 231 Safety appliance standards, MP&E TB 98-69, MP&E
TB 00-07, the requirement for "securely fastened" and railroad employee
safety rules for three point protection.

The contractor shall develop a set of design requirements for an
advanced handhold device that accomplishes the goals above. A
preliminary proof of concept design shall be developed and demonstrated.
The contractor must also evaluate the prospect of commercialization of
the proposed device. The contractor must possess knowledge of railcar
Safety appliance standards as it pertains to the Federal regulation,
railroad safety and operating safety rules, practices, and standards.
The information generated in the course of this project shall be
summarized and presented in a public forum at the discretion of the
Government. The contractor shall also develop a final report describing
the methodology and approach used to develop the technology.

# VIII. 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
>
> (do not include with your proposal -- for your use only)

**APPENDIX A**

# U.S. DEPARTMENT OF TRANSPORTATION 

# SMALL BUSINESS INNOVATION RESEARCH PROGRAM

# SOLICITATION NO. DTRT57-08-R-SBIR2

**FY08.2**

# 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 socially or economically 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/Business

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 Section II. F (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. DTRT57-08-R-SBIR2**

**FY08.2**

**PROJECT SUMMARY**

  -------------------------------------------- --------------------------
  Name and Address of Offeror                  **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   |                                                |
| (eight 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. DTRT57-08-R-SBIR2**

**FY08.2**

**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: 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="11"><strong>PROPOSAL COVER SHEET</strong></td>
<td colspan="13">1. SOLICITATION/CONTRACT/MODIFICATION NUMBER</td>
</tr>
<tr class="even">
<td colspan="11">2a. NAME OF OFFEROR</td>
<td colspan="13">3a. NAME OF OFFEROR’S POINT OF CONTACT</td>
</tr>
<tr class="odd">
<td colspan="11">2b. FIRST LINE ADDRESS</td>
<td colspan="13">3b. TITLE OF OFFEROR’S POINT OF CONTACT</td>
</tr>
<tr class="even">
<td colspan="11">2c. STREET ADDRESS</td>
<td colspan="13"></td>
</tr>
<tr class="odd">
<td colspan="11"></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="2">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="2"></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="11">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="8"><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="24">6. ESTIMATED COST, FEE, AND PROFIT INFORMATION</td>
</tr>
<tr class="odd">
<td colspan="4"></td>
<td colspan="10">A. ESTIMATED COST</td>
<td colspan="10"></td>
</tr>
<tr class="even">
<td colspan="4"></td>
<td colspan="10">B. PROFIT</td>
<td colspan="10"></td>
</tr>
<tr class="odd">
<td colspan="4"></td>
<td colspan="10">C. TOTAL PRICE</td>
<td colspan="10"></td>
</tr>
<tr class="even">
<td colspan="4"></td>
<td colspan="10"></td>
<td colspan="10"></td>
</tr>
<tr class="odd">
<td colspan="24">7. PROVIDE THE FOLLOWING</td>
</tr>
<tr class="even">
<td colspan="13">NAME OF COGNIZANT CONTRACT ADMINISTRATIVE AGENCY</td>
<td colspan="11">NAME OF COGNIZANT GOVERNMENT AUDIT AGENCY</td>
</tr>
<tr class="odd">
<td colspan="13">STREET ADDRESS</td>
<td colspan="11">STREET ADDRESS</td>
</tr>
<tr class="even">
<td colspan="6">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="7">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="7">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="10"></td>
<td colspan="4">NAME OF CONTACT</td>
<td colspan="8"></td>
</tr>
<tr class="even">
<td colspan="2">PROPERTY SYSTEM</td>
<td colspan="10"><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="10"><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="10"> 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="10"><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="10"> Never reviewed</td>
<td colspan="8">OFFEROR’S FISCAL YEAR</td>
<td colspan="4"></td>
</tr>
<tr class="odd">
<td colspan="13">8a. NAME OF OFFEROR <em>(Typed)</em></td>
<td colspan="11">9. NAME OF FIRM</td>
</tr>
<tr class="even">
<td colspan="13">8b. TITLE OF OFFEROR <em>(Typed)</em></td>
<td colspan="11"></td>
</tr>
<tr class="odd">
<td colspan="18">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**

**FY08.2**

**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)

<table>
<colgroup>
<col style="width: 6%" />
<col style="width: 23%" />
<col style="width: 22%" />
<col style="width: 2%" />
<col style="width: 5%" />
<col style="width: 0%" />
<col style="width: 6%" />
<col style="width: 8%" />
<col style="width: 7%" />
<col style="width: 2%" />
<col style="width: 14%" />
</colgroup>
<tbody>
<tr class="odd">
<td>1</td>
<td colspan="10">Name of offeror</td>
</tr>
<tr class="even">
<td>2.</td>
<td colspan="10">Address of offeror</td>
</tr>
<tr class="odd">
<td>3.</td>
<td colspan="10">Location where work will be performed</td>
</tr>
<tr class="even">
<td>4.</td>
<td colspan="10">Offeror's Project Title</td>
</tr>
<tr class="odd">
<td>5.</td>
<td colspan="10">Research topic number and title from DOT SBIR Program
Solicitation</td>
</tr>
<tr class="even">
<td>6.</td>
<td colspan="8"><strong>Total Proposal Amount</strong></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td rowspan="7">7.</td>
<td colspan="10"><strong>Direct Material Costs</strong></td>
</tr>
<tr class="even">
<td colspan="8">a. Purchased Parts</td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td colspan="8">b. Subcontracted Items</td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="even">
<td colspan="8">c. Other</td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td colspan="8">(1) Raw Materials</td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="even">
<td colspan="8">(2) Standard Commercial Items</td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td colspan="8"><strong>Total Direct Materials (TDM)</strong></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="even">
<td rowspan="3">8.</td>
<td colspan="10"><strong>Material Overhead (TDM x Rate %)</strong></td>
</tr>
<tr class="odd">
<td colspan="3"></td>
<td colspan="5">Rate</td>
<td colspan="2">Amount</td>
</tr>
<tr class="even">
<td colspan="3"><strong>Total Material Overhead (TMO)</strong></td>
<td colspan="5"><mark>___________________%</mark></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td>9.</td>
<td colspan="8"><strong>Total Materials (TDM + TMO)</strong></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="even">
<td rowspan="6">10</td>
<td colspan="10"><strong>Direct Labor</strong></td>
</tr>
<tr class="odd">
<td colspan="3">Type / Personnel</td>
<td colspan="4">Hours</td>
<td>Rate ($ / Hr)</td>
<td colspan="2">Cost</td>
</tr>
<tr class="even">
<td colspan="3"></td>
<td colspan="4"></td>
<td></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td colspan="3"></td>
<td colspan="4"></td>
<td></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="even">
<td colspan="3"></td>
<td colspan="4"></td>
<td></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td colspan="8"><strong>Total Direct Labor (TDL)</strong></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="even">
<td rowspan="4">11.</td>
<td colspan="10"><strong>Labor Overhead</strong> (TDL x Overhead
Rate)</td>
</tr>
<tr class="odd">
<td colspan="3"></td>
<td colspan="5">Rate</td>
<td colspan="2">Amount</td>
</tr>
<tr class="even">
<td colspan="3"><strong>Total Labor Overhead (TLO)</strong></td>
<td colspan="5"><mark>___________________%</mark></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td colspan="8"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td rowspan="3">12.</td>
<td colspan="10"><strong>Labor: Fringe Benefits</strong> (TDL x Benefit
Rate)</td>
</tr>
<tr class="odd">
<td colspan="3"></td>
<td colspan="5">Rate (% or $ / Hr)</td>
<td colspan="2">Amount</td>
</tr>
<tr class="even">
<td colspan="3"><strong>Fringe Benefits</strong></td>
<td colspan="5"><mark>_______________________</mark></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td>13.</td>
<td colspan="8"><strong>Total Labor (TDL + TLO + Fringe)</strong></td>
<td colspan="2"><p>Amount</p>
<p><mark>$____________</mark></p></td>
</tr>
<tr class="even">
<td rowspan="7">14</td>
<td colspan="10"><strong>Direct Costs: Special Testing</strong> (Include
field work at Government installations)</td>
</tr>
<tr class="odd">
<td colspan="4">Item &amp; Anticipated Use</td>
<td colspan="4">Unit Cost</td>
<td colspan="2">Estimated Cost</td>
</tr>
<tr class="even">
<td colspan="4"></td>
<td colspan="4"></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td colspan="4"></td>
<td colspan="4"></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="even">
<td colspan="4"></td>
<td colspan="4"></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td colspan="4"></td>
<td colspan="4"></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="even">
<td colspan="8"><strong>Estimated Total Special Testing</strong></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td>15.</td>
<td colspan="10"><strong>Direct Costs: Special Equipment</strong></td>
</tr>
<tr class="even">
<td rowspan="5"></td>
<td colspan="4">Item &amp; Anticipated Use</td>
<td colspan="4">Unit Cost</td>
<td colspan="2">Amount</td>
</tr>
<tr class="odd">
<td colspan="4"></td>
<td colspan="4"></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="even">
<td colspan="4"></td>
<td colspan="4"></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td colspan="4"></td>
<td colspan="4"></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="even">
<td colspan="8"><strong>Estimated Total Special Equipment</strong></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td rowspan="5">16</td>
<td colspan="10"><strong>Direct Costs: Travel</strong></td>
</tr>
<tr class="even">
<td>Travel Location</td>
<td>Mode of Travel</td>
<td colspan="4"># of Trips</td>
<td colspan="2">Per Diem</td>
<td colspan="2">Amount</td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td colspan="4"></td>
<td colspan="2"></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td colspan="4"></td>
<td colspan="2"></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td colspan="8"><strong>Travel</strong></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="even">
<td rowspan="5">17</td>
<td colspan="10"><strong>Direct Costs: Consultant Services</strong></td>
</tr>
<tr class="odd">
<td colspan="8">Description of Service</td>
<td colspan="2">Amount</td>
</tr>
<tr class="even">
<td colspan="8"></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td colspan="8"></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="even">
<td colspan="8"><strong>Total Consultant Services</strong></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td rowspan="6">18</td>
<td colspan="8"><strong>Direct Costs: Other Direct Costs (ODC) not
previously accounted for.</strong></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td colspan="5">Item &amp; Anticipated Use</td>
<td colspan="3">Unit Cost if applicable</td>
<td colspan="2">Amount</td>
</tr>
<tr class="odd">
<td colspan="5"></td>
<td colspan="3"></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="even">
<td colspan="5"></td>
<td colspan="3"></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td colspan="5"></td>
<td colspan="3"></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="even">
<td colspan="8"><strong>Total Other Direct Costs</strong></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td rowspan="2">19</td>
<td colspan="8"><strong>Total Direct Costs (TDC) (Sum of Line No. 14 –
18)</strong></td>
<td colspan="2">Amount</td>
</tr>
<tr class="even">
<td colspan="8"></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td rowspan="3">20</td>
<td colspan="10"><strong>General &amp; Administrative Expense ((Total
Materials + Total Labor + Total ODC) x Rate)</strong></td>
</tr>
<tr class="even">
<td colspan="4" rowspan="2"></td>
<td colspan="4">Rate %</td>
<td colspan="2">Amount</td>
</tr>
<tr class="odd">
<td colspan="4"><mark>___________________</mark></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="even">
<td>21</td>
<td colspan="10"><strong>Royalties</strong></td>
</tr>
<tr class="odd">
<td rowspan="3"></td>
<td colspan="8">Description</td>
<td colspan="2">Amount</td>
</tr>
<tr class="even">
<td colspan="8"></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td colspan="8">Total</td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="even">
<td rowspan="2">22</td>
<td colspan="8" rowspan="2"><strong>Total Cost (Sum of lines 9, 13, 19,
20 &amp; 21)</strong></td>
<td colspan="2">Amount</td>
</tr>
<tr class="odd">
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="even">
<td rowspan="3">23</td>
<td colspan="8"><strong>Profit (Total Cost x Profit Rate)</strong></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td colspan="5" rowspan="2"></td>
<td colspan="3">Rate %</td>
<td colspan="2">Calculated Amount</td>
</tr>
<tr class="even">
<td colspan="3"><mark>___________________</mark></td>
<td colspan="2"><mark>$____________</mark></td>
</tr>
<tr class="odd">
<td>24</td>
<td colspan="5"><strong>Total Firm Fixed Price Amount (Total Cost +
Profit)</strong></td>
<td colspan="5"><mark>$_________________</mark></td>
</tr>
<tr class="even">
<td>25</td>
<td colspan="10"><span class="smallcaps">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 in the space provided on the
coverpage of this proposal)</span></td>
</tr>
<tr class="odd">
<td>26</td>
<td colspan="9"><strong>Provide a <u>yes</u> or <u>no</u> answer to each
of the following questions:</strong></td>
<td>(Yes / No)</td>
</tr>
<tr class="even">
<td></td>
<td colspan="9"><p>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
below</p>
<p>_____________________________________________________________________________________________________________________________________________________________________________________________________________________</p></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="9"><p>Will you require the use of any Government property
in the performance of this proposal? If yes, identify.</p>
<p>____________________________________________________________________</p>
<p>_____________________________________________________________________</p></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td colspan="9"><p>Do you require Government contract financing to
perform this proposed contract? If yes, specify type as advanced
payments or progress payments.</p>
<p>_____________________________________________________________________________________________________________________________________________________________________________________________________________________</p></td>
<td></td>
</tr>
<tr class="odd">
<td>27</td>
<td colspan="10">Type of contract proposed is, <u>firm-fixed
price</u></td>
</tr>
<tr class="even">
<td>28</td>
<td colspan="10"><strong>DUNS number, if available______________________
(See Section III.F)</strong></td>
</tr>
<tr class="odd">
<td>29</td>
<td colspan="10"><strong>Tax Identification Number, if available
________________</strong></td>
</tr>
</tbody>
</table>

#  APPENDIX D

# U.S. DEPARTMENT OF TRANSPORTATION

**SMALL BUSINESS INNOVATION RESEARCH PROGRAM**

**SOLICITATION NO. DTRT57-08-R-SBIR2**

**FY08.2**

**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 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 no type smaller than ten point font
size.

\_\_\_\_ 7. The COVER SHEET (Appendix A) has been completed and is PAGE
one of the proposal.

\_\_\_\_ 8. The PROJECT SUMMARY (Appendix B) has been completed and is
PAGE two of the proposal.

\_\_\_\_ 9. The TECHNICAL CONTENT of the proposal begins on PAGE three
and includes the items identified in SECTION III.D of the Solicitation.

\_\_\_\_ 10. The Contract Pricing Proposal (Appendix C) has been
included as the last section of the proposal.

\_\_\_\_ 11. The additional information on prior Phase II awards, if
required, in accordance with Section III.H.

\_\_\_\_ 12. The proposal must be a PDF file and submitted online by 5
p.m., September 5, 2008.

Proposals may only be submitted online, a link to the web form can be
found here: <http://www.volpe.dot.gov/sbir/current.html>. Instructions
are included on the submission page.

[^1]: Phase I may be up to \$100,000 and Phase II \$250,000