**DTRT57-07-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 15, 2007**

**Closing Date: May 1, 2007**

**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 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 28

**APPENDICES**

### A. PROPOSAL COVER SHEET 29

### B. PROJECT SUMMARY 30

### C. CONTRACT PRICING PROPOSAL (Schedule 1) 31

### D. PROPOSAL CHECKLIST 34

### E. PROPOSAL ACKNOWLEDGEMENT FORM 35

**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: henebury@volpe.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 (NEW)]{.underline}**

**All proposals must be submitted via email to
<henebury@volpe.dot.gov>**

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

**To submit your proposal electronically, you must register at our
website:** <http://www.volpe.dot.gov/sbir> **by April 17, 2007.**

-   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 attached to

email.

-   No duplicate proposals shall be sent by any

> other means.

-   Proposals must be sent via email to:

<henebury@volpe.dot.gov>[.]{.underline}

-   Proposals must be received no later than 5:00 p.m. EST on May 1,
    2007.

-   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 email. 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://www.ccr.gov/vendor.asp#5a>.

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. Acknowledgement of Proposal Receipt**

Offerors shall fill out the Proposal Acknowledgement Form (Appendix E)
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 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 letter of such action.

**D. Schedule**

All DOT reviews shall be completed and awards recommended within five
months 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 2007 DOT
SBIR solicitation research topics must be submitted to the DOT SBIR
Program Office by e-mail to: 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 [2007 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

[2007 Phase I Award Recommendations]{.underline} is expected to be
posted on the DOT SBIR Program Webpage by October 1, 2007. **Phase I
proposals which are not included in the October 1 list of [2007 Phase I
Award Recommendations]{.underline} will not receive an award.** **No
written correspondence regarding proposal status will be ANSWERED.**

After the [2007 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.D.Cook@volpe.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 Fiscal Year 2007, DOT will award
approximately 19 Phase I contracts with an [anticipated
potential]{.underline} maximum of 20 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

Government may request the [offeror]{.underline} to submit

certain organizational, management, personnel,

and financial information to assure responsibility

of the offeror.

3\. The Government is not responsible for any monies expended by the
offeror 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
<http://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 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

**VI. SUBMISSION OF PROPOSALS**

**A. Submittal Instructions**

**Electronic Submission Requirements**:

-   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\") including proposal cover sheet, contract pricing
    proposal, and all enclosures or attachments.

-   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 no later than 5:00 p.m. EST on May 1,
    2007.

-   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.

**You must register at our website to submit your proposal
electronically:** <http://www.volpe.dot.gov/sbir> by April 17, 2007.

*Offerors will receive their proposal number via e-mail no later than
May 31, 2007.*

.

**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

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

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.

**POTENTIAL MAXIMUM FY07**

**DOT OPERATING ADMINISTRATION/TOPIC PHASE I AWARDS**

**FEDERAL HIGHWAY ADMINISTRATION 4 AWARDS**

[^1]07-FH1 DPS Receiver/Demodulator with Location Determination by
Time/Phase Difference of Arrival

07-FH2 Time-Resolved Microwave Thermoreflectometry for Corrosion
Detection in Concrete

[^2]07-FH3 Tools to Improve Real-Time Highway Construction Quality
Control

[^3]07-FH4 Quick Highway Incident Detection and Incident Warning Systems

**FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION 1 AWARD**

[^4]07-FM1 Safety Belt Devise or Technology to Increase Usage by
Commercial Motor Vehicle Drivers and their Passengers

**PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION 4 AWARDS**

07-PH1 Pipeline Safety:

1.  Nanotechnology tools for Internal Corrosion of Pipelines

2.  Development of Risk Protocol for LNG Facilities

3.  Design Optimization for Soft Crack Arrestors

07-PH2 Hazardous materials

1\. Emerging Technologies Applicable to Hazardous Materials
Transportation

**NATIONAL HIGHWAY AND TRAFFIC SAFETY ADMINISTRATION 2 AWARDS**

[^5]07-NH1 Development of Consolidated Six-Degree-of-Freedom Kinematics
Sensor Array for Impact Testing

Error: Reference source not found07-NH2 Non Contact Roof Measurement
System for Use in Dynamic Rollover Testing

**FEDERAL TRANSIT ADMINISTRATION 5 AWARDS**

[^6]07-FT1 Linear Induction Motors (LIM) Door Closer for Rapid Rail
Vehicles

Error: Reference source not found07-FT2 Hybrid Propulsion for Rail
Locomotives

Error: Reference source not found07-FT3 Methods for Upgrading Existing
Automatic Train Control (ATC) Systems

Error: Reference source not found07-FT4 Very High Speed Third Rail
Insulator Cleaning

Error: Reference source not found07-FT5 Better/Faster Braking Systems

**FEDERAL RAILROAD ADMINISTRATION 3 AWARDS**

[^7]07-FR1 Locking Mechanism for Rotating Seats

Error: Reference source not found07-FR2 Quick-release Emergency Egress
Panel on Cab Car End Doors

Error: Reference source not found07-FR3 Continued Communication
Capability in the Event of a Train-line Break in Passenger Train

# FEDERAL HIGHWAY ADMINISTRATION 4 AWARDS

**[Error: Reference source not found07-FH1 DGPS Receiver/Demodulator
with Location Determination by Time/Phase Difference of
Arrival]{.underline}**

The U.S. Department of Transportation is developing an infrastructure
based Differential Global Positioning System (DGPS) service that can
provide navigation solutions independent of GPS. The need for this is
evident in the U.S. Department of Homeland Security's analysis of
critical infrastructure. The identification of backup systems in the
event of a catastrophic system failure in GPS is needed to ensure
minimal loss of safety and efficiency. While it is generally agreed that
a catastrophic failure of GPS is not a likely scenario, loss of signal
over a geographic area is considered possible. Alternatives have focused
on meeting the requirement for a backup system through low cost services
and procedures. The DGPS service under development by the Federal
Highway Administration has the potential to serve as a backup system,
offering similar accuracy, availability, and integrity that will be
needed to maintain safety and efficiency in the event that GPS is lost.

Some theoretical work has been done to evaluate the concept offered by
DGPS service, but there has been no formal effort to either assess the
capability or develop hardware capable of making use of the new signal.

Functionally, the DGPS broadcast uses GPS to synchronize the carrier as
well as the symbol/bit timing in two separate frequency bands. In the
285-325 kHz band, data is broadcast at 100 or 200 bps (using MSK
modulation) and in the 435-495 kHz band, data is broadcast at 1000 bps
(using Raised Cosine MSK). The existing specification calls for the
synchronization of the carrier to be better than 0.005%. This can be
improved in order to offer improved performance, but it is unclear how
much improvement is needed. The primary goal of this phase is to develop
a full understanding of the linkage between the various aspects of the
system to include but not be limited to accuracy available, effects of
improving accuracy on broadcast cost, complexity of a
receiver/demodulator, and effects of external parameters on accuracy
(such as non-linear propagation characteristics over short/long
baselines and phase center of the broadcast antenna).

In order to evaluate/analyze these factors, a demodulator/receiver
capable of demodulating the DGPS data and identifying the phase/time
difference of arrival of the two broadcasts from at least three and
preferably four independent broadcast facilities is needed. In this
first phase, it is envisioned that most of this can be achieved with
analog to digital converters, digital signal processing, and a laptop
computer. Phase II will require the development of dedicated hardware.

**Relationship to FHWA Strategic Objectives**

This work directly supports several strategic goals including National
Security, Safety, Global Connectivity, and Mobility. Specifically, this
effort supports infrastructure mapping, vehicle navigation, rural
intersection collision avoidance where sufficient infrastructure is
unavailable and not planned for the foreseeable future, and backup
capability for critical infrastructure.

**[07-FH2 Time-Resolved Microwave Thermoreflectometry for Corrosion
Detection in Concrete]{.underline}**

Corrosion of steel reinforcements in concrete is a major problem for the
transportation infrastructure. Conventional methods for detecting
corrosion are based on electro-chemical techniques such as half-cell
potential and linear polarization. These can be affected by a number of
factors and require direct contact with the concrete. A non-contact
method that does not rely on electrochemistry has been proposed by Chang
et al.(1). This is based on the principle that a corrosion layer
surrounding the steel bar serves as a thermal insulator. Therefore, a
corroded steel bar that has been heated above ambient temperature will
cool down more slowly than an uncorroded one, and the difference in rate
of cooling can be used to detect the corrosion. The rebar can be heated
in the concrete by using an AC electrical induction heater external to
the concrete structure. The temperature at the surface of the rebar can
be detected nondestructively by the reflectance of a microwave beam,
since the reflectivity is temperature dependent. The induction heater
can be cycled on and off to produce temperature pulses in the rebar, and
thus the heating and cooling can be cycled repeatedly. By scanning the
microwave beam over the rebar, it is possible to image the corrosion
layer. More recently, a microwave beam array camera has been developed
that can permit more rapid and focused image acquisition (2).

Phase I of the project would consist of acquiring the components of the
system and evaluating the performance of the technique in the laboratory
on corroded steel in concrete test specimens. This research would
establish the optimum operating parameters in terms of induction heater
frequency and cycle time, microwave frequency etc. and specifications
for a prototype system. Phase II would consist of field tests leading
refinements to the instrument design and demonstrations for
commercialization.

Offeror should have demonstrated technology for microwave inspection of
concrete.

(1) Spicer, J.W.M., R. Osiander and L.C. Aamodt (1998). Microwave
    thermo-reflectometry for detection of rebar corrosion. [Structural
    Materials Technology III: An NDT Conference]{.underline}, San Diego,
    SPIE: 402-409.

(2) Feng, M. and Y.J. Kim (2004). NDE of Concrete Structures Using
    Microwaves. [Structural Materials and Technology VI-An NDT
    Conference]{.underline}, Buffalo, NY, American Society for
    Nondestructive Testing: 374-380.

**Relationship to FHWA Strategic Objectives**

By providing early and accurate indication of corrosion, this technology
would enable more effective repair or replacement of concrete thereby
addressing the FHWA Strategic Objectives of improved mobility and
safety.

**[Error: Reference source not found07-FH3 Tools to Improve Real-Time
Highway Construction Quality Control]{.underline}**

An important focus of FHWA's vision of the future is long-life pavements
and structures. Improved performance of pavements and structures will
occur in part through improved quality control of materials and
construction. Technology innovations in production, transport,
placement, real-time quality control, and automation have been
introduced over the years. Significant research has been implemented to
address real-time quality control. The real-time quality control
provides project field personnel the necessary information to make
timely corrections/adjustments and reduce materials and construction
variability.

The focus of the SBIR solicitation is on further enhancing real-time
quality control. For concrete pavements and structures, a need exists
for improved devices or systems that provide real-time measures of
quality characteristics/properties such as durability, segregation,
thickness, smoothness, curing effectiveness, moisture loss,
consolidation, surface texture, steel cover and location, strength,
water-cementitious ratio, etc. For asphalt pavements, a need exists for
improved devices or systems that provide measures of several of the
above plus others such as asphalt content, volumetric properties, etc.
Some potential nondestructive testing technologies that could be applied
or further developed, either individually or in combination, are
infrared thermography, electromagnetic sounding, acoustic techniques,
X-ray computed tomography (XCT), and magnetic tomography, to name but a
few. The use of embedded electronics, i.e., "smart" materials, can also
be considered to allow improved detection/measurement with any of the
technologies.

The offeror's proposal can address real-time quality control for one or
more quality characteristics. Ideally, the proposed tool could be used
by the contractor for real-time quality control purposes and by the
agency in assisting real-time predictions of future performance in an
integrated intelligent paving system. Proposals will be evaluated in
part on the anticipated potential benefits over current quality
control/quality assurance practices.

**Relationship to FHWA Strategic Objectives**

This research relates to FHWA's strategic goals of Mobility,
Productivity, and/or Safety. Under Mobility, it addresses the strategic
objective of preserving and enhancing the highway infrastructure. Under
productivity, it is aimed at improving the return on investment of the
highway system. Under Safety, it has the potential to reduce job-site
accidents.

**[Error: Reference source not found07-FH4 Quick Highway Incident
Detection and Incident Warning Systems]{.underline}**

Highway incidents have been a major cause of highway congestion (for
example, up to 75% of delays on freeways are caused by incidents), and
also a major source for secondary crashes, due to slowed or stopped
traffic.

However, due to the constraints in deployment cost, many existing
incident detection and warning systems, deployed by DOTs and local
traffic agencies, are not effective for early detection and quick
response. Therefore, the performance of the systems has not been
effective on reducing delays and avoiding secondary crashes caused by
incidents.

One of the major reasons of the ineffectiveness is the spacing of the
devices. Normally, detection stations and dynamic warning signs are
placed with the intervals about ¼ to one mile. When an incident occurs,
the existing incident algorithms have to wait until traffic backs up to
the adjacent upstream detection stations before an incident is detected.
In practice, five to seven minutes on average are needed to detect an
incident, which would cause miles of backups and long delay. And such
slow detection and warning systems could not prevent secondary crashses.

In this proposal, a new incident detection and warning system is
proposed to address the issues. The basic concept is to use [multiple
low-cost]{.underline} detection stations with very small intervals. Also
low-cost wireless communication devices and LED signs can be
co-installed with each detection station. Since the stations are close
to each other, it is feasible to detect and locate an incident very
quickly, and also to use the LED signs to warn drivers to prevent
secondary crashes. Low-cost wireless short-range communications can also
be established through relaying from one station to another.

The proposed system uses low-cost speed sensors spaced at 100 feet or
less. Sensors spaced at such intervals could detect changes in vehicle
speeds and track each vehicle and the speed differentials between them.
As a result the system could quickly determine incident scenarios and
provide warnings to upstream traffic using LED flashers preventing
secondary crashes.

**(For detailed description, go
<http://www.volpe.dot.gov/sbir/sol07/docs/07-fh4-attachment.doc>)**

**FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION 1 AWARD**

**[Error: Reference source not found07-FM1 Safety Belt Device or
Technology to Increase Usage by Commercial Motor Vehicle Drivers and
Their Passengers]{.underline}**

FMCSA research has shown that drivers of about 59% of commercial motor
vehicles (those weighing 10,000 pounds or more that operate in
interstate commerce) buckle their safety belts as compared to about 82%
of passenger vehicle drivers. Increasing safety belt usage by CMV
drivers is an FMCSA and DOT priority. It is envisioned that this device
or technology will be low cost, reliable, comfortable, rugged and
user-friendly, to increase comfort and/or encourage safety belt usage by
CMV drivers and their passengers. Interlock devices or technologies that
prevent the vehicle from moving or the radio from playing until the
driver and their passenger are buckled will also be considered.
Additional examples of potential concepts, if they do not already
currently exist for CMV's as discussed below could include safety belt
attachments such as uniquely designed pads or cushions, or electronic
monitors in connection with on-board recorders. Ideas such as window
stickers or similar decals to remind a driver to buckle up will not be
considered for this program. **Offerors are strongly encouraged to
conduct a thorough literature and patent search to assure their ideas
are not currently available and/or patent protected. In addition, the
offeror shall certify that to the best of their knowledge no such
product exists, has been patented, or is patent pending. Proposals
without such certifications will not be considered.**

**PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION 4 AWARDS**

**[07-PH1 Pipeline Safety]{.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 2004 liquid pipeline
operator national mileage information). In addition, over 326,000 miles
of gas transmission pipeline transports natural gas to local companies
that distribute it to local customers. This supply of energy has too
often been disrupted by internal corrosion resulting in pipeline leaks.
Future energy demands are projected to be met with increase usage of
higher strength pipeline steels and LNG to supplement the supply of
natural gas.

For Pipeline Safety, research is sought on the use of innovative tools
or concepts that allowed for pipeline detection of internal corrosion in
liquid and or natural gas applications, soft crack arrestors for high
strength pipeline steels, and risk Protocol for LNG Facilities. Areas of
interest include but are not limited to:

1.  [Nanotechnology tools for Internal Corrosion of
    Pipelines]{.underline}

> Nanotechnology is the understanding and control of matter at
> dimensions of roughly 1 to 100 nanometers, where unique phenomena
> enable oval applications. Encompassing nanoscale science, engineering,
> and technology, nanotechnology involves imaging, measuring, modeling,
> and manipulating matter at this length scale. Nanotechnology is
> advancing rapidly in several other technology applications.
>
> Determining the presence and corrosivity of water is an important
> component of Internal Corrosion Direct Assessment (ICDA) in the
> pipeline industry. Current available technologies are limited because
> some cannot be applied to all pipelines and others require prior
> knowledge of where to locate the sensors and costly pipeline
> excavations to replace the sensors.
>
> Applications are sought for new nanotechnologies for detection and
> elimination of internal corrosive compounds, and for providing
> assessment information that could compare product composition.
> Anticipated results would prove quantifiable and reliable improvements
> in ICDA. Applications are sought to study, develop, and demonstrate
> nanotechnologies or techniques to better detect pipeline internal
> corrosion.

2.  [Development of Risk Protocol for LNG Facilities]{.underline}

> Recent studies have indicated that a risk-based assessment of
> potential hazards from LNG facilities may provide a better description
> of public safety than the current prescriptive approach. Therefore,
> there is a need to develop appropriate risk protocol for considering
> the spectrum of events in an LNG facility and their effects on the
> public. Areas of interest include a spectrum of potential fires in a
> LNG facility, variability in radiant heat emission characteristics of
> fires of different sizes, radiative heat effects on people with
> considerations of radiant heat absorption in the atmosphere and the
> anatomy/heat absorption characteristics of exposed human skin, etc.
> However, there are other phenomena that need to be considered in a
> proper risk assessment.
>
> Applications are sought to study all known information on the types of
> events/phenomena that can occur in a LNG facility, assessment of their
> frequencies of occurrence, mathematical models that can be used to
> describe the effects of hazardous events, and criteria for
> acceptability of risks. A risk assessment protocol development is the
> objective of such a study. Carry-on task could include risk assessment
> protocols converted into a user-friendly computer model for use by
> regulatory agencies and others evaluating public risks from LNG
> facilities.

3.  [Design Optimization for Soft Crack Arrestors]{.underline}

> For high-energy pipelines (rich natural gas, CO~2,~ etc.), there is a
> potential for unstable ductile fractures that could run long distances
> unless there is sufficient toughness or a mechanical crack arrestor is
> used. Higher grade steels used in new pipeline projects may not have
> enough toughness to arrest a crack; hence mechanical crack arrestors
> would be needed. Mechanical crack arrestors are full-encirclement
> sleeves that can be made from steel or composite materials. Up to now,
> their design is based solely on the strength of the arrestor so it
> stops the crack without breaking the arrestor. However, if the
> arrestor is too stiff, then as the axial crack approaches the
> arrestor, the loads are taken by the front edge of the arrestor. This
> results in the axial crack turning in the circumferential direction
> and causing a complete circumferential break in the pipe, called a
> "ring-off" or a "hard arrest."
>
> Soft Crack Arrestors are a design concept that prevents axial ductile
> fractures from propagating, while keeping the pipe safely in the ditch
> after the arrest event. This behavior is desirable from a damage
> prevention viewpoint to surrounding buildings, structures, and
> above-ground pipelines in or close to the right of way of the
> pipeline.
>
> Application are sought to conduct feasibility laboratory-scale tests
> to assess the ductility and strength of new candidate materials for
> use as soft crack arrestors. Future work could include designing,
> fabricating, and conducting large-diameter full-scale tests to
> validate the material selection for the Soft Crack Arrestor design.
> The full-scale tests should have the arrestors at the temperature
> corresponding to operating conditions. A final design specification
> procedure needs to be established, as well as fabrication and
> installation procedures.

**[07-PH2 Hazardous Materials]{.underline}**

Hazardous materials are essential to the economy of the United States
and the well-being of its people. Hazardous materials fuel automobiles,
heat and cool homes and offices, purify water supplies, and are used for
farming and medical applications and in manufacturing, mining, and other
industrial processes. More than three billion tons of regulated
hazardous materials---including explosive, poisonous, corrosive,
flammable, and radioactive materials---are transported in this country
each year. There are over 800,000 daily shipments of hazardous materials
moving by plane, train, truck, or vessel in quantities ranging from
ounces to thousands of gallons.

1.  [Emerging Technologies Applicable to Hazardous Materials
    Transportation]{.underline}

> For hazardous materials, research is sought on emerging technologies
> that have potential application in improving hazardous materials
> transportation safety and security. A number of these technologies are
> in varying stages of development. They range from tracking systems to
> large vehicle electronic stability control systems to non-destructive
> evaluation techniques to technologies capable of detecting undeclared
> hazardous materials.
>
> Applications are sought for surveying technologies that can
> potentially improve hazardous materials transportation safety and
> security over a five to ten year horizon. They can also focus on a
> specific technology that holds promise in improving hazardous
> materials safety and security in the near term. A roadmap of
> technologies by purpose, mode of transportation, and hazardous
> material type may also be beneficial. Research could highlight the
> potential role technology or technologies can play as well as
> impediments to their successful adoption and steps that should be
> taken in advancing the technologies.

**NATIONAL HIGHWAY AND TRAFFIC SAFETY ADMINISTRATION 2 AWARDS**

**[Error: Reference source not found07-NH1 Development of Consolidated
Six-Degree-of-Freedom Kinematics Sensor Array for Impact
Testing]{.underline}**

The development of sensor technology to improve occupant and vehicle
kinematics measurement during impact events will provide researchers
with improved data for the evaluation of occupant response and vehicle
crashworthiness. Although currently available off-the-shelf sensors can
be incorporated into a package capable of measuring dynamic
six-degree-of-freedom (6DOF) kinematics, the complexity of use and
questionable accuracy highlight the need for improved technology. Data
gathered from linear accelerometers and angular rate/acceleration
sensors has been shown to produce reasonably accurate trajectory data of
individual rigid bodies over short time periods, but accumulation of
error (from sensor drift and numerical integration) tend to skew the
results for longer time ranges and relative segment motions. Film
analysis is an alternative way of measuring occupant kinematics, but is
often limited by the inability of the cameras to track targets
throughout the entire period of interest and the caluculation of full
6DOF kinematics requires numerous cameras and multiple targets on each
rigid body. A sensor-based methodology, capable of measuring and
calculating 6DOF kinematics in vehicular-type impact settings, is thus
warranted.

Upon development of suitable sensor hardware, the device should be
tested in dynamic test configurations that are representative of typical
vehicle crashes and pedestrian impacts. The sensor array should be
capable of measuring occupant (dummy or post-mortem human surrogate),
pedestrian (dummy or post-mortem human surrogate), and vehicle
kinematics. Multiple sensor arrays could be mounted within each system
to provide segment relative motion for an occupant or structural
deformation for a vehicle.

The required features of the end-product include:

-   Compact, ruggedized, and hermetically sealed housing to contain the
    sensing elements

-   Single (six channels per) or double (three channels per) cable as
    dictated by electrical noise requirements

-   Mounting holes for direct attachment to existing dummy components
    (spacing and orientation consistent with 7264 triax cube)

-   Mass less than 35 grams (not including cabling)

-   Overall length, width, and height of housing less than 25 mm each

-   Markers/dots on sensor housing to facilitate calculation of initial
    position and orientation by digitizing with coordinate measurement
    device (minimum of three points; small indentations for CMD probe
    allow for more precise measurements)

-   Three orthogonally-mounted linear acceleration-sensing elements with
    ±2000 g peak response, ±1% maximum non-linearity and hysteresis, 3%
    maximum transverse sensitivity

-   Three orthogonally-mounted angular velocity-or acceleration-sensing
    elements with ±12,000 deg/s peak response (±200 rad/s) or ±2.3E6
    deg/s^2^ (40,000 rad/s^2^), ±1% maximum non-linearity and
    hysteresis, 2% maximum cross-axis sensitivity,

-   Sensor x-, y-, and z-axes configured according to right-hand rule

-   On-board bridge circuitry

-   Operating range --20^0^ C to 80^0^ C

-   10V excitation voltage

-   Bandwidth DC to 1500 Hz

-   Data processing routines to translate raw sensor data to actual 6DOF
    kinematics data in the laboratory reference frame with \<5% spatial
    and angular error in typical occupant or pedestrian crash event

-   Data processing routines to translate raw sensor data from multiple
    sensor arrays to relative 6DOF kinematics in local segment reference
    frames (e.g. relative rotation of head with respect to torso)

Desired features include:

-   Ability of device to self-determine initial position and orientation
    relative to some global (laboratory) reference frame

-   Mass less than 20 grams (not including cabling)

-   Overall length, width, and height of housing less than 15 mm each

-   Self-contained power supply and flash memory with wireless
    connection to data acquisition and triggering system

**[Error: Reference source not found07-NH2 Non-contact Roof Measurement
System for Use in Dynamic Rollover Testing]{.underline}**

Roof deformation during rollover crashes and its relationship to
occupant safety has been the subject of considerable safety discussion.
To date there has only been limited testing to record the dynamic
response of the roof structure. What testing has been done has relied on
tri-axial accelerometers, string potentionmeters, and high speed film
analysis to characterize the roof deformation during full vehicle
rollover testing. None of these systems are capable of measuring the
three dimensional motion of a grid of data points on the vehicle roof.

Desired is the development of a non-contact, possibly optical system to
measure the dynamic motion of a vehicle roof, relative to a point on the
vehicle cabin floor, for a grid of points on the roof. The measurement
system must have a displacement accuracy of at least 1 mm and velocity
accuracy of 0.1 km/h. An acceptable system should be able to operate in
a typical vehicle rollover environment, up to 30 G's multi axis
acceleration. A measurement system should interface with standard data
acquisition equipment and triggering systems. Acceptable proposals can
assume that the vehicle seats have been removed for the rollover tests,
but measurements systems that could work in the presence of seats and
crash dummies would be a significant benefit.

**FEDERAL TRANSIT ADMINISTRATION 5 AWARDS**

**[Error: Reference source not found07-FT1 Linear Induction Motors (LIM)
Door Closer for Rapid Rail Vehicles]{.underline}**

Dependable, swift, silent, energy-efficient door closure for transit
railcars is essential to smooth operation and fast, safe exit and
entrance of passengers. Linear induction motors (LIMs) are used to move
heavy stage curtains and draperies. Adapting a LIM to opening and
closing railcar doors would entail a reduction in space required for the
actuating mechanism as well as more responsive acceleration and
deceleration when passengers or their belongings block the door from
closing.

**[Error: Reference source not found07-FT2 Hybrid Propulsion for Rail
Locomotives]{.underline}**

Reduce energy consumption and emissions from diesel locomotives through
hybrid propulsion, using either hydraulic energy storage systems or
electric drives and batteries.

**[Error: Reference source not found07-FT3 Methods for Upgrading
Existing Automatic Train Control (ATC) Systems]{.underline}**

Develop and test methods for modifying existing ATC systems to improve
ride quality, energy conservation, safety or operational performance.
Technology upgrades could involve train location sensors and techniques,
communication systems, central control algorithms, speed profiles, motor
controllers, and other train controls.

**[Error: Reference source not found07-FT4 Very High Speed Third Rail
Insulator Cleaning]{.underline}**

The third rail carries electricity, some 600 to 1,000 volts, that powers
rail rapid transit systems. It sits on insulators typically spaced about
six to ten feet apart, which means there may be hundreds of thousands of
insulators in a system. Dirt and grime can short-circuit an insulator,
which can cause electrical arcing, potential fire, smoke damage,
explosive breaking, and other consequences that result in the need to
shut down train operations. Rail rapid transit systems around the
country report that damaged insulators are most frequently the cause of
traction power system shut-down.

It is virtually impossible to clean the side of insulators that are only
a few inches from tunnel walls. Tunnels are often damp from water leaks,
causing corrosion and rust. There is no rain to wash away soot and other
particulates. These conditions accelerate insulator failure. Another
complication is that the thousands of insulators on a given transit
system may vary in size, shape, and material. The dirt itself varies in
kind, from carbon dust, metal filings, and rust particles from the third
rail/paddle and steel wheel/rail interface to greasy grime, corrosion,
and soot. Chemical cleaning agents are disallowed because of
environmental and worker health considerations. Another issue is that
the water used for cleaning must be transported to a site using a high
rail or on-rail vehicle, and the quality of cleaning and number of
insulators cleaned is limited by the amount of water that can be
transported.

Current cleaning methods are expensive, of limited effectiveness, and
rarely used. They involve hand brushes, cleaning pads, or pressure
washing with a hand-held wand. But if not cleaned regularly, insulators
must be replaced, at even greater expense. This does not address the
costs of system down-time when smoke or fire result from damaged
insulators. In addition to lost revenue, there are costs to riders in
lost time and lost confidence in the system's reliability.

A promising project developed by the TRB Transit IDEA program is a
slow-speed prototype automated cleaner that cleans all sides of an
insulator with four spray jets. This cleaner is described on pages four
and five of the TRB magazine, IGNITION, at the website
<http://www.trb.org/studies/programs/idea.asp> (*click on Transit IDEA,
click on Transit IDEA Annual Progress Report, page 58 Project T36
Cleaning Device for Electrified Third Rail Insulators*). Work was done
in cooperation with a number of rail rapid transit agencies in
developing and testing the prototype cleaner. A second Transit IDEA
project is in development to produce a faster cleaning device. Initial
comments from transit agencies indicate that this cleaner uses too much
water and is still not fast enough because of limited non-revenue hours
or 24/7/365 operation. A solution would be development of a very high
speed insulator cleaner that uses a minimal amount of water to improve
reliability and safety of rail rapid transit systems.

**[Error: Reference source not found07-FT5 Better/Faster Breaking
Systems]{.underline}**

Apply advanced mechanical, electrical, and computer control technologies
to braking for rapid rail transit and light rail transit trucks,
commuter rail locomotives, and unpowered passenger railcars. Technical
objectives are faster response to braking signals, quicker stops with
reduced stopping distance, smoother braking for improved ride quality,
and energy conservation.

**FEDERAL RAILROAD ADMINISTRATION 3 AWARDS**

**[Error: Reference source not found07-FR1 Locking Mechanism for
Rotating Seats]{.underline}**

The NTSB has identified inter-city rail passenger seats which have
rotated out of position as a potential impediment to emergency egress,
after an accident. FRA research has indicated that such seats are prone
to rotating after a car has rolled onto its side, which can occur
subsequent to a derailment. The lateral impact can cause the
spring-loaded locking mechanism to open, and the associated lateral
force acting on the seat can initiate rotation. The objective of this
effort is to develop a simple, inexpensive locking mechanism that can be
retrofit onto existing inter-city passenger seats which remains locked
during rail passenger car rollovers and prevents initiation of the
rotation of such seats. The contractor shall conduct a survey of
existing applicable technology and document the information in a letter
report. The contractor shall then develop a set of design requirements
for a robust independent locking mechanism that accomplishes the goals
defined above. A preliminary proof of concept design shall be developed
and demonstrated. 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.

**[Error: Reference source not found07-FR2 Quick-release Emergency
Egress Panel on Cab Car End Doors]{.underline}**

The NTSB has identified end door kick panels as a potential mechanism
for emergency egress of passengers subsequent to a train accident. There
is industry concern that such kick panels may interfere with other door
requirements (e.g., sliding of packet doors, preventing fluid ingress
during a grade-crossing accident for a cab car end door, et al) and that
such kick panels will be a nuisance to maintain. The objectives of this
effort are to enumerate the design requirements, including the
maintenance requirements, for cab car and coach car end doors, suggest
alternative engineering design approaches for kick panels in cab and
coach car end doors, and to assess preliminarily the potential
effectiveness of these alternative strategies. The FRA is particularly
interested in kick panels which have similar release mechanism as
emergency access windows. 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.

**[Error: Reference source not found07-FR3 Continued Communication
Capability in the Event of a Train-line Break in a Passenger
Train]{.underline}**

In the event of an emergency or an unusual occurrence in which the
communication train-line circuit is broken, passenger rail vehicles
equipped with public address (PA)/intercom systems lose the capability
for communications throughout the entire train. A member(s) of the train
crew are best suited and trained to assess the severity of an event and
determine an appropriate course of action. Communication with passengers
by someone so qualified is the most effective method to reduce confusion
and curtail panic. Such communications help avoid circumstances which
could result in injuries or further danger to passenger and crew.
Therefore it is desirable to equip passenger rail vehicles with a system
to insure that such a communication system exists. The purpose of this
project is to develop a backup PA system that is effective in the event
of a break/interruption in the communication train-line; has a power
source independent of the car battery system and allows for a minimum of
one hour "talk time" after the loss of the train-line; and is accessible
to the crew through the use of a train radio or a radio handset. The
contractor shall conduct a survey of existing applicable technology and
document the information in a letter report. The contractor shall then
develop a set of design requirements for a robust independent PA system
that accomplishes the goals defined above. A preliminary proof of
concept design shall be developed and demonstrated. 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.

# 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. DTRT57-07-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 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. DTRT57-07-R-SBIR**

**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. DTRT57-07-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: 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**

**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 offeror

2\. Address of offeror

3\. Location where work will be performed

4\. Offeror\'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\. Profit (dollars)

19\. Total estimated cost and 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 is, [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. DTRT57-07-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 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 acknowledgement of proposal receipt card (Appendix E)
should be filled out and included with the proposal package.

\_\_\_\_ 12. The additional information on prior Phase II awards, if
required, in accordance with Section III.H.

\_\_\_\_ 13. The proposal must be received by May 1, 2007.

+-----------------------------------------------------------------------+
| > **APPENDIX E**                                                      |
|                                                                       |
| **DOT SBIR PROGRAM SOLICITATION**                                     |
|                                                                       |
| **DTRT57-07-R-SBIR**                                                  |
+-----------------------------------------------------------------------+
| TO BE FILLED OUT BY THE OFFEROR:                                      |
|                                                                       |
| Project                                                               |
| Title\_\_\_\_\_\_\_\_\_\_\_\_\_\                                      |
| _\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
|                                                                       |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\                       |
| _\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
+-----------------------------------------------------------------------+
| TO BE FILLED OUT BY THE DEPARTMENT OF TRANSPORTATION:                 |
|                                                                       |
| Date Received \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Proposal No.     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_                                        |
+-----------------------------------------------------------------------+

[^1]: Phase I may be up to \$100,000 and Phase II \$375,000

[^2]: Phase I may be up to \$100,000 and Phase II \$720,000

[^3]: Phase I may be up to \$100,000 and Phase II \$700,000

[^4]: Phase I may be up to \$100,000 and Phase II \$300,000 to \$500,000

[^5]: Phase I may be up to \$100,000 and Phase II \$300,000

[^6]: Phase I may be up to \$100,00 and Phase II \$500,000

[^7]: Phase I may be up to \$75,000 and Phase II \$250,000