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**DTRS57-01-R-SBIR**

**U.S. Department of**

**Transportation**

Office of the Secretary

of Transportation

**PROGRAM SOLICITATION**

**Small Business Innovation**

**Research Program**

**Closing Date: May 1, 2001**

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

**U.S. Department of Transportation**

**Research and Special Programs Administration**

**John A. Volpe National Transportation Systems Center**

**55 Broadway, Kendall Square**

**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 26

**APPENDICES**

### A. PROPOSAL COVER SHEET 27

### B. PROJECT SUMMARY 28

C. CONTRACT PRICING PROPOSAL 29

### D. PROPOSAL CHECKLIST 32

### E. PROPOSAL ACKNOWLEDGEMENT FORM 33

**DOT PROGRAM SOLICITATION FOR SMALL**

**BUSINESS INNOVATION RESEARCH**

**I. PROGRAM DESCRIPTION**

**A. Introduction**

This solicitation for research proposals is issued by the Department of
Transportation (DOT) pursuant to the Small Business Innovation
Development Act of 1982, P.L. 97‑219, as amended by P.L. 99‑443, and
P.L. 102‑564, Small Business Research and Development Act of 1992,
signed October 28, 1992. On December 15, 2001, Congress reauthorized the
Program by P.L. 106-554. The law seeks to encourage the initiative of
the private sector and to use small business as effectively as possible
in meeting Federal research and development objectives.

The purposes of the Act are:

\(1\) To stimulate technological innovation;

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

\(3\) To increase private sector commercialization of innovations
derived from Federal research and development; and

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

In consonance with the statutory obligations of the Act, the U.S.
Department of Transportation has established a Small Business Innovation
Research Program ‑ hereinafter referred to as the [DOT SBIR
Program]{.underline}.

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
Department.

**B. Three‑Phase Program**

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

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

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

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

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

**C. Eligibility**

Each concern submitting a proposal must qualify as a small business at
the time of award of Phase I and Phase II funding agreements. In
addition, **[the primary employment of the principal investigator must
be with the small business firm at the time of award and during the
conduct of the proposed research]{.underline}** unless otherwise
approved by the Contracting Officer. Primary employment means that more
than one‑half of the principal investigator\'s time is spent with the
small business. Also for both Phase I and Phase II, the research or R&D
work must be performed in the United States. \"United States\" means the
50 states, the Territories and possessions of the United States, the
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana
Islands, the Trust Territory of the Pacific Islands, and the District of
Columbia.

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

**D. General Information**

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

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

A proposal may respond to any of the research topics listed in Section
VIII, but must be limited to one topic. The same proposal may not be
submitted under more than one topic. An organization may, however,
submit separate proposals on different topics, or different proposals on
the same topic, under this solicitation. Where similar research is
discussed under more than one topic, the proposer shall choose that
topic which appears to be most relevant to the proposer\'s technical
concept.

The proposed research must have relevance to the improvement of some
aspect of the national transportation system or to the enhancement of
the ability of an operating element of the DOT to perform its mission.

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

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

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

Joseph Henebury

DOT SBIR Program Director, DTS‑22

U.S. Department of Transportation

Research and Special Programs Administration

John A. Volpe National

Transportation Systems Center

55 Broadway, Kendall Square

Cambridge, MA 02142‑1093

Telephone: (617) 494‑2051

Fax: (617) 494‑2370

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

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

**II. DEFINITIONS**

**A. Research or Research and Development**

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

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

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

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

**B. Small Business Concern**

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

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

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

\(3\) Has, including its affiliates, a number of employees not exceeding
500, and meets the other regulatory requirements found in 13 CFR Part
121. Business concerns, other than investment companies licensed, or
state development companies qualifying under the Small Business
Investment Act of 1958, 15 U.S.C. 661, [et seq]{.underline}., are
affiliates of one another when either directly or indirectly (A) one
concern controls or has the power to control the other; or (B) a third
party or parties controls or has the power to control both. Control can
be exercised through common ownership, common management, and
contractual relationships. The term \"affiliation\" is defined in
greater detail in 13 CFR 121.401. The term \"number of employees\" is
defined in 13 CFR 121.407. Business concerns include, but are not
limited to, any individual, partnership, corporation, joint venture,
association or cooperative.

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

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

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

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

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

\(1\) Black Americans.

\(2\) Hispanic Americans.

\(3\) Native Americans.

\(4\) Asian‑Pacific Americans.

\(5\) Subcontinent Asian Americans.

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

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

**E. Subcontract**

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

# III. PROPOSAL PREPARATION

**INSTRUCTIONS AND REQUIREMENTS**

A.  **Limitation on Length of Proposal**

**[In the Program Year 2001, proposals may]{.underline}**

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

**[format. (1.)]{.underline}**

Please note that:

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

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

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

-   Each proposal shall not exceed 25 pages

-   All proposals must be in all text, ie...no graphics, tables, etc.

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

-   No duplicate proposals shall be sent by any other means

-   Proposals must be sent via e-mail to: <henebury@volpe.dot.gov>

-   Proposals must be received by 5:00 p.m. on May 1, 2001

-   ***You must submit a completed and signed hardcopy of Appendices A,
    B, and C postmarked no later than May 1^st^ to: Joseph Henebury, DOT
    SBIR Program Director, DTS-22, U.S. Department of Transportation,
    Research and Special Programs Administration, John A. Volpe National
    Transportation Systems Center, 55 Broadway, Kendall Square,
    Cambridge, MA 02142-1093***

-   The proposal file name shall contain eight (8) characters -- the
    first three shall be the topic \# you are proposing to, ie...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
who are responsible for evaluating your proposal.

**If you intend to submit your proposal electronically, you must
register at our website:**
[www.volpe.dot.gov/sbir](http://www.volpe.dot.gov/sbir) **by April 15,
2001.**

**B. Proposal Cover Sheet**

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

**C. Project Summary**

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

**D. Technical Content**

Submitted proposals must include the following:

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

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

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

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

\(5\) **Key Personnel and Bibliography of Directly Related Work.**
Identify key personnel involved in Phase I including their directly
related education, experience, and bibliographic information. Where
vitae are extensive, summaries that focus on the most relevant
experience or publications are desired and may be necessary to meet
proposal page 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 research or research and development effort.

\(7\) **Facilities.** A detailed description, availability and location
of instrumentation and physical facilities proposed for Phase I shall be
provided.

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

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

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

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

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

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

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

**E. Contract Pricing Proposal**

A firm fixed price Phase I Contract Pricing Proposal (Schedule 1) must
be submitted in detail as shown in Appendix C. Note: Firm Fixed Price
(FFP) is the type of contract to be used for Phase I SBIR awards. Some
cost breakdown items of Appendix C may not apply to the proposed
project. If such is the case, there is no need to provide information
for each and every item. It is important, however, to provide enough
information to allow the DOT to understand how the proposer plans to use
the requested funds if a contract is awarded. Phase I contract awards
may include profit.

**F. DUNS Identification Number**

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

**G. Acknowledgement of Proposal Receipt**

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

**H. Prior SBIR Phase II Awards**

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

**IV. METHOD OF SELECTION**

**AND EVALUATION CRITERIA**

**A. General**

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

**B. Evaluation Criteria**

The evaluation process involves the following factors:

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

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

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

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

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

**C. Prescreening**

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

**D. Schedule**

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

**E. Program Selection**

A Proposal Review Panel, chaired by the Department\'s SBIR Program
Director and comprising senior management officials representing the
Department\'s Operating Administrations and the Office of the Secretary,
will arrange for review and evaluation 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 specialists and recommend to the SBIR
Program Director the proposals for award. The 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 2001 SBIR
solicitation research topics must be submitted to the SBIR Program
Office by e-mail: henebury@volpe.dot.gov. Technical questions will be
researched and answers provided in as timely a manner as possible.
Technical questions submitted to the SBIR Program Office during the few
weeks prior to the closing date for receipt of Phase I proposals may not
be able to be answered before the closing date.

No information on proposal status will be available until the complete
list of [2001 Phase I Award Recommendations]{.underline} to receive
funding is posted on the DOT SBIR Program Web Page:
[www.volpe.dot.gov/sbir/](http://www.volpe.dot.gov/sbir/). For planning
purposes the notification of [2001 Phase I Award
Recommendations]{.underline} is expected to be posted on the DOT SBIR
Program Web Page by October 2, 2001. **Phase I proposals which are not
included in the October 1^st^ list of [2001 Phase I Award
Recommendations]{.underline} will not receive funding.** **No written
correspondence regarding proposal status will be made.**

After the [2001 Phase I Award Recommendations]{.underline} are posted on
the DOT SBIR Program Web Page, a debriefing comprised of the overall
comments on the proposal may be provided to the proposer upon request.
[Debriefing requests shall be submitted by e-mail to:]{.underline}
dohertym@volpe.dot.gov[, and must include the proposer's name, address,
research topic number, and the proposal identification number assigned
on the acknowledgement of receipt card]{.underline}. The identity of the
evaluators will not be disclosed.

#   {#section .unnumbered}

# V. CONSIDERATIONS

**A. Awards**

It is estimated that during fiscal year 2001, DOT will award
approximately 12 Phase I contracts with an [anticipated
potential]{.underline} maximum of 15 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 FFP contracts and may be up to \$100,000 each
unless otherwise noted. Note: Phase II awards anticipate
cost‑plus‑fixed-fee contracts with a value of up to \$750,000 each
unless otherwise noted. Phase II awardees will be required to have
acceptable accounting systems to receive a cost-plus-fixed-fee contract.

Only recipients of Phase I contracts will be eligible to compete for
Phase II awards.

DOT's Operating Administrations contribute to SBIR funding. Each
Operating Administration\'s contribution may be used only to support
research of concern to that Operating Administration. For example, funds
furnished by the Federal Highway Administration may not support research
solely of concern to the National Highway Traffic Safety Administration.
Based on anticipated funding levels, there may not be adequate funding
within the DOT SBIR Program to support Phase I (and 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 Special Programs
Administration, and/or the U.S. Coast Guard. 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 presentation of invoices by the contractor in conjunction with the
submission of acceptable reports as described above.

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

1\. **Proprietary Information.** Information contained in unsuccessful
proposals will remain the property of the proposer. The Government may,
however, retain copies of all proposals. Public release of information
in any proposal submitted will be subject to existing statutory and
regulatory requirements.

If proprietary information is provided by a proposer in a proposal which
constitutes a trade secret, proprietary commercial or financial
information, confidential personal information or data affecting the
national security, it will be treated in confidence, to the extent
permitted by law, provided this information is clearly marked by the
proposer with the term \"confidential proprietary information\" and
provided the following legend appears on the title page of the proposal:

\"For any purpose other than to evaluate the proposal, these data shall
not be disclosed outside the Government and shall not be duplicated,
used, or disclosed in whole or in part, provided that if a contract is
awarded to this proposer as a result of or in connection with the
submission of these data, the Government shall have the right to
duplicate, use, or disclose the data to the extent provided in the
contract. This restriction does not limit the Government\'s right to use
information contained in the data if it is obtained from another source
without restriction. The data subject to this restriction is contained
in pages \_\_\_\_\_\_\_\_ of this proposal.\"

Any other legend may be unacceptable to the Government and may
constitute grounds for return of the proposal without further
consideration and without assuming any liability for inadvertent
disclosure. The Government will limit dissemination of such information
to within official channels.

The DOT prefers that proposers avoid inclusion of proprietary data in
their proposals. If the inclusion of proprietary data is considered
essential for meaningful evaluation of a proposal submission, then such
data shall 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 Funding Agreements**. 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. Copies of
complete terms and conditions are available upon request.

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 Controller General (or a duly
authorized representative) shall have the right to examine any directly
pertinent records of the contractor involving transactions related to
this contract.

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

5\. **Termination for Convenience**. The contract may be terminated at
any time by the Government if it deems termination to be in its best
interest, in which case the contractor will be compensated for work
performed and for reasonable termination costs.

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

7\. **Contract Work Hours**. The contractor may not require an employee
to work more than eight hours a day or forty hours a week unless the
employee is compensated accordingly (i.e., overtime pay).

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

9\. **Affirmative Action for Veterans**. The contractor will not
discriminate against any employee or applicant for employment because he
or she is a disabled veteran or veteran of the Vietnam era.

10\. **Affirmative Action for Handicapped.** The contractor will not
discriminate against any employee or applicant for employment because he
or she is physically or mentally handicapped.

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

12\. **Covenant Against Contingent Fees**. No person or agency has been
employed to solicit or secure the contract upon an understanding for
compensation except bonafide employees or commercial agencies maintained
by the contractor for the purpose of securing business.

13\. **Gratuities.** The contract may be terminated by the Government if
any gratuities have been offered to any representative of the Government
to secure the contract.

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

15\. **Procurement Integrity**. Submission of a proposal under this
solicitation subjects the proposer to the procurement integrity
provision (§27) of the Office of Federal Procurement Policy Act (41
U.S.C. 423). This statute, as implemented by Federal Acquisition
Regulation (FAR, 48 CFR) §3.104, prescribes the following conduct by
competing contractors during an agency procurement: offering or
discussing future employment or business opportunities with an agency
procurement official; promising or offering a gratuity to an agency
procurement official; soliciting or obtaining proprietary or source
selection information regarding the procurement. Violations of the
statute may result in criminal and/or civil penalties, disqualification
of a proposer, cancellation of the procurement, or other appropriate
remedy.

**J. Additional Information**

1\. This solicitation is intended for informational purposes and
reflects current planning. If there is any inconsistency between the
information contained herein and the terms of any resulting SBIR
contract, the terms of the contract are controlling.

2\. Before award of an SBIR contract, the Government may request the
proposer to submit certain organizational, management, personnel, and
financial information to assure responsibility of the proposer.

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

4\. This solicitation is not an offer by the government and does not
obligate the government to make any specific number of awards. Also,
awards under this program are contingent upon the availability of funds.

5\. The DOT SBIR Program is not a substitute for existing unsolicited
proposal mechanisms. Unsolicited proposals shall not be accepted under
the DOT SBIR Program in either Phase I or Phase II. Refer to
**www.volpe.dot.gov/procure/unsolguide.**

**html** for specifics on unsolicited proposal submission requirements.

6\. If an award is made pursuant to a proposal submitted under this
solicitation, the contractor will be required to certify that he or she
has not previously been, nor is currently being paid for essentially
equivalent work by any agency of the federal government.

7\. When purchasing equipment or a product with funds provided under the
DOT SBIR Program, purchase only American made equipment and products, to
the extent possible in keeping with the overall purposes of the program.

8\. In accordance with FAR 52.233-2, Service of Protest, the following
Service of Protest procedures shall be followed. Protests, as defined in
Section 33.101 of the FAR that are filed directly with an agency, and
copies of any protests that are filed with the General Accounting Office
(GAO), shall be served on the Contracting Officer (addressed as follows)
by obtaining written and dated acknowledgement of receipt from: Mary E.
Doherty, DOT/RSPA/Volpe Center, 55 Broadway, Kendall Square, DTS-853,
Cambridge, MA 02142-1093.

**VI. SUBMISSION OF PROPOSALS**

**A. Submittal Instructions**

For hard copy submissions:

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

Joseph Henebury

> DOT SBIR Program Director, DTS‑22
>
> U.S. Department of Transportation
>
> Research and Special Programs Administration
>
> John A. Volpe National
>
> Transportation Systems Center
>
> 55 Broadway, Kendall Square
>
> Cambridge, MA 02142‑1093
>
> Telephone: (617) 494‑2051

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

May 1, 2001 to qualify for consideration under the current DOT SBIR
Program. Proposals delivered or received via e-mail later than May 1,
2001, 5:00 p.m. will not be accepted.

Proposals delivered to the DOT SBIR Program Office by any means other
than the U.S. Postal Service, must be received at the above address on
or before May 1, 2001, 5:00 p.m.

Electronic Submission Requirements:

-   Each proposal shall not exceed 25 pages

-   All proposals must be in all text, ie...no graphics, tables, etc.

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

-   No duplicate proposals shall be sent by any other means

-   Proposals must be sent via email to: <henebury@volpe.dot.gov>

-   Proposals must be received by 5:00 p.m. on May 1, 2001

-   ***You must submit a completed and signed hardcopy of Appendices A,
    B, and C postmarked no later than May 1^st^ to: Joseph Henebury, DOT
    SBIR Program Director, DTS-22, U.S. Department of Transportation,
    Research and Special Programs Administration, John A. Volpe National
    Transportation Systems Center, 55 Broadway, Kendall Square,
    Cambridge, MA 02142-1093***

-   The proposal file name shall contain eight (8) characters -- the
    first three shall be the topic \# you are proposing to, ie...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 scientist who
is responsible for evaluating your proposal.

**If you intend to submit your proposal electronically, you must
register at our website:**
[www.volpe.dot.gov/sbir](http://www.volpe.dot.gov/sbir) by April 15,
2001

**B. Additional Information**

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

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

3\. **Confirmation.** The DOT SBIR Program Office will assign an
identification number to each proposal by May 11, 2001. This number will
appear on the proposal acknowledgement which will be sent to the
proposer by return mail confirming receipt of the proposal.

**Proposers who submitted their proposals electronically will receive
their proposal number via e-mail no later than May 11, 2001.**

**VII. SCIENTIFIC AND**

**TECHNICAL INFORMATION SOURCES**

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

Center for Technology Commercialization Great Lakes Industrial
Technology Center

1400 Computer Drive 25000 Great Northern Corporation Center

Westborough, MA 01581 Suite 260

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

\(440\) 734-0094

Federal Information Exchange, Inc. Southern Technology Applications
Center

555 Quince Orchard Road, Suite 360 University of Florida

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

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

\(352\) 294-7822

Midcontinent Technology Transfer Center National Technical Information
Service

Texas Engineering Extension Service 5285 Port Royal Road

The Texas A&M University System Springfield, VA 22161

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

College Station, TX 77840-7896

\(409\) 845-8762

MidAtlantic Technology Applications Center Technology Transfer Center

University of Pittsburgh University of Southern California

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

Pittsburgh, PA 15260 Los Angeles, CA 90007-4344

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

VIII\. RESEARCH TOPICS

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

**DOT OPERATING ADMINISTRATION/TOPICS POTENTIAL MAXIMUM**

**FY01 PHASE I AWARDS**

FEDERAL AVIATION ADMINISTRATION (FAA) 6 Awards

01-FA1 Evaluation of Composite Joints in GA Structures

01-FA2 Terahertz Technology Testbed for Aviation Security

01-FA3 Development of Strain Sensors for Unbound Layers (Aggregate and
Soil) in Flexible Airport Pavements

01-FA4 Synthesis of Bisphenol C Polycarbonate Ultra Fire Resistant
Thermoplastics

01-FA5 Affordable, \"Autonomous Navigation System\" for General Aviation
Aircraft Providing Safety Backup for GPS

01-FA6 Development of Aircraft Wire Testing and Inspection Systems

NATIONAL HIGHWAY TRAFFIC SAFETY ADMINISTRATION (NHTSA) 3 Awards

^1^01-NH1 Improved Tire Inflation Pressure Retention System

^1^101-NH2 Automatic Tire Inflation Maintenance System

^1^01-NH3 Tire Failure Warning Sensor

FEDERAL RAILROAD ADMINISTRATION (FRA) 2 Awards

^2^01-FR1 High Speed Freight Truck Suspension

^2^01-FR2 Safety Glazing Design for Passenger Rail Vehicles

**DOT OPERATING ADMINISTRATION/TOPICS POTENTIAL MAXIMUM**

**FY01 PHASE I AWARDS**

UNITED STATES COAST GUARD (USCG) 3 Awards

^1^01-CG1 Low Cost Night Vision System for High Speed Vessel Operations

^1^01-CG2 Evaluation of Tidal Power Systems for Remote Sites

^1^01-CG3 Development of Unique Technologies that Prevent Marine
Bioadhesion

FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION (FMCSA) 1 Award

^1^01-FM1 Commercial Motor Vehicle (CMV) Driver Assessment Tool

^1^Phase I may be up to \$100,000 and Phase II may be up to \$300,000

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

# FEDERAL AVIATION ADMINISTRATION

# 01-FA1 EVALUATION OF COMPOSITE JOINTS IN GENERAL AVIATION (GA) STRUCTURES {#fa1-evaluation-of-composite-joints-in-general-aviation-ga-structures .Style1-head2}

There is a need to develop a practical engineering analysis tool for
strength, durability, and damage tolerance evaluation of composite
bonded joints in General Aviation structure. Analysis method should
accommodate configurations, materials, and loading typically found in
the General Aviation industry and be simple and conservative enough to
be used by General Aviation industry. As composite bonded joints have
multiple possible failure modes, the method should be able to predict
each mode discretely. In addition, it should provide a means to evaluate
disbonds and potential disbond or delamination growth in order to
address certification issues. The resulting analysis tool should be
compared to existing data at the coupon, element, and subcomponent
levels in order to validate the tool for use by industry.

The Phase I research effort will consist of a feasibility study and the
investigation of possible techniques for the development of a tool to
evaluate composite joints in GA structures. Upon successful completion
of Phase I, the actual development of the evaluation tool for composite
joints in GA structures would be undertaken in Phase II.

# 01-FA2 TERAHERTZ TECHNOLOGY FOR AVIATION SECURITY {#fa2-terahertz-technology-for-aviation-security .Style1-head2}

There is a need to develop a system using Terahertz Technology for the
detection of concealed weapons, explosives and incendiary materials
which may pose a threat to aviation security.

Terahertz Technology is an emerging \"Frontier Technology\" which
employs electromagnetic waves at extremely high frequencies
(1011-1013Hz) and short wavelengths (3mm-30um) for multiple purposes
such as high resolution imaging through intervening materials which are
normally visually opaque. Terahertz waves can also be used for
spectroscopy, i.e. the characterization and identification of materials
by illumination and observation of their responses at a range of
wavelengths. Previously characterized as being too complex or esoteric,
terahertz recently entered the commercial world through the development
of standard integrated transmitter, receiver, control, and power
assemblies which have eliminated complex custom design and alignment
tasks. The emergence of these new systems and components, has opened the
door to the potential use of terahertz systems in the detection of
concealed weapons, explosives and incendiary materials which may pose a
threat to aviation security.

In order to directly assess the potential utility, advantages and risks
associated with the employment of terahertz technology as a detection
and characterization modality for threat items which may be concealed on
persons or in luggage or left in public areas of airports and on
aircraft, this effort should entail the following steps:

a\. Conceptualize and design a complete terahertz technology research
testbed comprising power, control, transmit, receive, compensation and
measurement modules and associated signal acquisition and processing
instrumentation, using commercially available components. The system
design should nominally cover the frequency range of .1 to 2 Terahertz
(Thz), with a nominal output power of at least 1mW with a
signal-to-noise ratio of approximately 30 db.

b\. Integrate components on a standard vibration isolated tapped slab
optical table, with suitable optical lab grade quality mounting hardware
to allow for reconfiguration for imaging and materials characterization
experiments. Computer controlled x-y translation stages and
terahertz-focusing optics shall be provided to enable imaging
experiments to be made in addition to standard reflectance and
absorption spectroscopy measurements.

c\. Test, debug and calibrate the terahertz system constructed in the
previous phases after delivery to the Federal Aviation Administration
Aviation Security Laboratory, using standards and samples mutually
acceptable to the Federal Aviation Administration and the SBIR awardee.

d\. Provide training, guidance, technical assistance and documentation
to Federal Aviation Administration during setup and operation of the
terahertz technology testbed as required, particularly during initial
weapon detection and energetic materials characterization experiments.

The Phase I research effort will consist of a feasibility study and the
investigation of possible techniques for the development of a terahertz
technology-based security detection system. Upon successful completion
of Phase I, the actual development of the security detection system will
be undertaken in Phase II.

# 01-FA3 DEVELOPMENT OF STRAIN SENSORS FOR UNBOUND LAYERS (AGGREGATE AND SOIL) IN FLEXIBLE AIRPORT PAVEMENTS {#fa3-development-of-strain-sensors-for-unbound-layers-aggregate-and-soil-in-flexible-airport-pavements .Style1-head2}

There is a need to develop sensors to measure the strains within the
aggregate and subgrade layers of airport pavements. The FAA performs
full-scale testing of airport pavements at the National Airport Pavement
Test Facility. Approximately fifty percent of the test items are
flexible pavements trafficked to complete structural failure with
large-scale shear flow occurring in the aggregate and subgrade
materials. In order to characterize the performance of the materials, it
is desirable to measure the strains within the aggregate and subgrade
layers as the performance of the pavement deteriorates from the new
condition to complete failure. To fully characterize the response of the
pavement under these conditions sensors need to be installed which will
measure the strains at arbitrary orientations. The sensors also need to
be accurate and reliable over the full range of structural response. The
purpose of this project is to develop sensors which meet the above
requirements, either as innovative applications of current techniques or
using innovative techniques.

Phase I will be to perform a design feasibility study providing design
and performance specifications and cost estimates for the sensors.
Low-cost sensors are required with the installed cost of a fully
developed (production level) sensor less than \$2,500.00. Upon
successful completion of Phase I, Phase II will be to manufacture and
install seven sensors in a flexible pavement at the National Airport
Pavement Test Facility for evaluation during a full-scale traffic test
to failure.

# 01-FA4 SYNTHESIS OF BISPHENOL C POLYCARBONATE ULTRA FIRE RESISTANT THERMOPLASTICS {#fa4-synthesis-of-bisphenol-c-polycarbonate-ultra-fire-resistant-thermoplastics .Style1-head2}

There is a need to develop aircraft cabin materials with an
order-of-magnitude lower heat release rate at comparable cost and
functionality. It is the object of this project to synthesize kilogram
quantities of thermoplastic chloral-based condensation polymers
containing a predominance of the 1,1-dichloro, 2,2-bisarylethylene
chemical repeat unit (see figure). The advantages of these polymers are
their extreme fire resistance, potentially low cost, and their ability
to be rapidly fabricated into parts at moderate (\< 300 °C) temperatures
using conventional plastic processing equipment and techniques.

![](media/image2.wmf){width="2.1527777777777777in"
height="0.8472222222222222in"}

1,1-dichloro, 2,2-bisarylethylene repeat unit

The condensation reaction of two moles of phenol with one mole of
chloral under acidic conditions followed by dehydrochlorination in basic
media produces a novel bisphenol: 1,1-dichloro, 2,2-bis (4-hydroxy)
ethylene (bisphenol-C/BPC, CAS Registry Number 14868-03-2). Kilogram
quantities of the thermoset resins diglycidylether of bisphenol-C
(BPC-epoxy) and dicyanate ester of bisphenol-C/BPC have been prepared
from BPC and tested for thermal and mechanical properties and
flammability. Thermal transitions and mechanical properties of the cured
bisphenol-C/BPC thermoset resins are virtually identical to their
bisphenol-A analogs. However, when tested as single ply glass lamina in
FAR 25.853(a-1), Heat Release Rate Test for Aircraft Cabin Materials,
the bisphenol-C/BPC cyanate ester and bisphenol-C/BPC epoxy have peak
heat release rate and total heat release which is 10 times lower than
the corresponding bisphenol-A thermoset resin, and are well below the
FAA requirement of 65 kW/m^2^ and 65 kW-min/m^2^, respectively. Flame
testing of the cyanate ester and the epoxy (cured with an aromatic
diamine) reveal self-extinguishing behavior with a limiting oxygen index
LOI \> 45 and UL 94 V-0/5V. The mechanism for this unusually high fire
resistance has been studied by the Federal Aviation Administration and
has been ascribed to an *in situ* rearrangement of the 1,1-dichloro,
2,2-bisarylethylene moeity to a stilbene in a fire, followed by the
simultaneous production of char in quantitative yield and the
elimination of noncombustible gas (i.e., HCl).

Thermoplastic polymers prepared from 1,1-dichloro, 2,2-bis (4-hydroxy)
ethylene by condensation reactions have been reported in literature of
the 1970\'s. Two of these bisphenol-C thermoplastics (polycarbonate and
polyarylate) have been synthesized recently by the Federal Aviation
Administration in gram quantities and have exhibited extremely low heat
release rate in microscale combustion tests.

Phase I research should focus on obtaining kilogram quantities of
several low-cost condensation polymers derived from 1,1-dichloro,
2,2-bis (4-hydroxy) ethylene and/or directly from chloral and
para-substituted diphenyls (e.g., diphenyloxide) in a single step.
Emphasis should be on low cost, environmentally friendly synthesis
routes. Characterization will include thermal, mechanical, fire,
flammability, and environmental testing. Environmental testing will
explore light stability and additive approaches to minimize or eliminate
color-producing photochemical reactions. Upon successful completion of
Phase I, the Phase II effort will downselect to the most promising
thermoplastic polymer(s) from the Phase I study for scale-up to \>100 kg
production for compounding and processing trials (e.g., extrusion,
injection molding, fiber spinning) and the production of prototype cabin
components for full scale cabin fire testing.

# 01FA-5 AFFORDABLE, \"AUTONOMOUS NAVIGATION SYSTEM\" FOR GENERAL AVIATION AIRCRAFT PROVIDING SAFETY BACKUP FOR GLOBAL POSITIONING SYSTEM (GPS)  {#fa-5-affordable-autonomous-navigation-system-for-general-aviation-aircraft-providing-safety-backup-for-global-positioning-system-gps .Style1-head2}

There is a need to develop a low-cost, back-up, navigation system for
use by General Aviation that will provide the capability for continued
navigation-should reception of Global Positioning System (GPS) signals
be compromised or lost.

Safety of flight concerns dictate that a reliable backup system be
developed for flight operations conducted during instrument
meteorological conditions. Such a system shall provide stand-alone
capability onboard an aircraft without reliance on external signals and
provide sufficient accuracy to permit landing to non-precision approach
standards.

Development of such a system will assist in the national transition to
GPS as the replacement for existing ground navigation systems: Very High
Frequency Omni Directional Range (VOR), Distance Measuring Equipment
(DME), and Instrument Landing System (ILS). The Federal Aviation
Administration is poised to realize significant savings in NAS operating
costs by retiring legacy systems now that the GPS navigation system has
been approved for civil use. While scheduled airline operations rely on
integrated inertial navigation systems and flight management systems,
their cost is prohibitive for use by General Aviation interests. A
reliable, low-cost Autonomous Navigation System (ANS) that performs
similar inertial navigation systems functionality is desired. Additional
efforts to physically integrate Autonomous Navigation System with
low-cost GPS navigation receiver design would be advantageous.

The Phase I research effort will consist of a feasibility study of a
low-cost navigation system for use by General Aviation. Upon successful
completion of Phase I, the actual development of the navigation system
would be undertaken in Phase II.

# 01FA-6 DEVELOPMENT OF AIRCRAFT WIRE TESTING AND INSPECTION SYSTEMS {#fa-6-development-of-aircraft-wire-testing-and-inspection-systems .Style1-head2}

There is a need to develop an aircraft wire testing and inspection
system that can identify or characterize the material flaws which may
impair the safe and effective transmission of electrical power and
signals.

The continued safe operation of aircraft well into their expected
service life depends on the safe and effective transfer of power and
electrical signals between aircraft electrical components. This in turn
requires the verification of wire physical and functional integrity. In
circumstances where wire is treated as having an indefinite service
life, formal periodic inspections is necessary to ensure its continued
safe operation. Even if some wires are eventually subject to a fixed
service life, there would still be a need for periodic inspections 1) to
ensure the absence of accidental damage, 2) to verify service life
estimates, and 3) to confirm the adequacy of maintenance and repair
activities on, around, and involving wire.

The proposed systems, technology, and techniques should exhibit
potential utility for either infrequent comprehensive examinations or
more frequent focused inspections in an airline maintenance environment.
The proposal should identify some inspection or testing technology or
technique with sensitivity to conditions that correlate well with the
hazardous degradation of electrical interconnect systems. Also the
proposal should have evidence of endorsement and participation of
aircraft manufacturers or operators.

The Phase I research effort will consist of a feasibility study and the
investigation of possible techniques for the development of an aircraft
wire testing and inspection system. Upon successful completion of Phase
I, the actual development of an aircraft wire testing and inspection
system would be undertaken in Phase II.

# NATIONAL HIGHWAY TRAFFIC SAFETY ADMINISTRATION

# ^1^01-NH1 IMPROVED TIRE INFLATION PRESSURE RETENTION SYSTEM {#nh1-improved-tire-inflation-pressure-retention-system .Style1-head2}

The load carrying capability of tires is directly dependent on the tire
inflation pressure. Tires that are forced to carry vehicle design loads
at reduced tire inflation pressures cannot produce the required
lateral/longitudinal forces and soon heat up. Heat destroys the tire
materials and the tire bonding agents which can soon lead to tire
integrity failure. The problem that has existed in the vehicle fleet for
many years, but is becoming even more prevalent today, is tires are
continuously losing air pressure and therefore are in continuous need of
air inflation pressure maintenance. The tire loses inflation pressure
because of the permeability of the inside tire membrane to the passage
of air molecules due to the pressure gradient that exists between the
inner surface of the tire and the ambient pressure. Many drivers today
do not check the tire inflation pressure of their vehicles very often
because of the relatively low maintenance requirements that have been
designed and built into most of the systems on modern vehicles and
because air supply sources are no longer commonly found at service
stations.

The assumption is that the use of modern technology can design and
produce a tire inner-liner that will greatly reduce the permeability of
tires to the passage of air molecules without affecting tire performance
and thus insure a greater retention level of tire inflation pressure
during normal operation in the vehicle fleet. An improved tire
inner-liner may also provide better heat transfer from the tire to the
wheel thus allowing the tire to run at a lower temperature. Tires with
reduced inflation pressure loss and increased heat transfer capability
will greatly reduce the number of under inflated and over heated tires
in the vehicle fleet and thus reduce the number of tire failures and
resulting fatalities now being experienced on the nation's highways.

Proposals for Phase I research efforts should focus on concepts for the
development of such a tire inner liner and should provide a reliable
basis for estimating the production cost to achieve this. The actual
development of the chosen concept may be pursued in Phase II upon
successful completion of Phase I.

# ^1^01-NH2 AUTOMATIC TIRE INFLATION MAINTENANCE SYSTEM {#nh2-automatic-tire-inflation-maintenance-system .Style1-head2}

The load carrying capability of tires is directly dependent on the tire
inflation pressure. Tires that are forced to carry vehicle design loads
at reduced tire inflation pressures cannot produce the required
lateral/longitudinal forces and soon heat up. Heat destroys the tire
materials and the tire bonding agents which can soon lead to tire
integrity failure. The problem that has existed in the vehicle fleet for
many years, but is becoming even more prevalent today, is tires are
continuously losing air pressure and therefore are in continuous need of
air inflation pressure maintenance. The tire loses inflation pressure
because of the permeability of the inside tire membrane to the passage
of air molecules from the area of high-pressure inside the tire to the
area of low-pressure outside the tire. Many drivers today do not check
the tire inflation pressure of their vehicles very often because of the
relatively low maintenance requirements that have been designed and
built into most of the systems on modern vehicles and because many
service stations no longer provide air supply sources to the public.

This requests technology for the design of an automatic tire inflation
and maintenance system built into the vehicle that will sense low tire
pressure and inflate the tire to the proper level. Such a system can
greatly reduce the number of under inflated tires in the vehicle fleet
and thus reduce the number of tire failures and resulting fatalities now
being experienced on the nation's highways.

Proposals for Phase I research efforts should focus on concepts for the
development of such a tire inflation and maintenance system and should
provide a reliable basis for estimating the production cost to achieve
this. The actual development of the chosen concept may be pursued in a
Phase II upon successful completion of Phase I.

# ^1^01-NH3 TIRE FAILURE WARNING SENSOR {#nh3-tire-failure-warning-sensor .Style1-head2}

Tires in the vehicle fleet do not have the capability of warning the
driver if the tire is experiencing a "tire failure event", such as tread
separation, significant loss of pressure, etc. Sensor technology is
rapidly advancing to the point where it may be technically feasible to
develop an "in-tire" real time sensor which could warn the driver of an
imminent tire failure. Recent advances in sensor technology, wireless
technology, and electronics design suggest that development of a tire
failure warning sensor system embedded in the tire using emerging
technology may now be possible.

This request is based on the assumption that as tire failure mechanisms
progress there will be a measurable change in the lateral/longitudinal
tire force signature in comparison to the lateral/longitudinal force
levels required by the vehicle in maintaining stability. Thus, as a tire
fails, the ability of the tire to generate lateral/longitudinal forces
as a function of normal load and slip angle will deteriorate. It might
be possible to measure this deterioration and reduction in
lateral/longitudinal force levels by a stress sensor system embedded
into the tire tread area. Emerging technologies might be able to
accomplish this goal with a low-cost, low-maintenance design which could
be both useful and practical in reducing the number of tire failures
caused crashes now being experienced on the nation's highways.

Proposals for Phase I research efforts should focus on concepts for the
development of such a stress sensor system and should provide a reliable
basis for estimating the production cost to achieve this. The actual
development of the chosen concept may be pursued in a Phase II effort
upon successful completion of Phase I.

# FEDERAL RAILROAD ADMINISTRATION

# ^2^01-FR1 HIGH SPEED FREIGHT TRUCK SUSPENSION {#fr1-high-speed-freight-truck-suspension .Style1-head2}

There is a need to develop a High Speed Freight Truck Suspension for use
with Modified Trailers or Freight Cars operating in Passenger Trains or
Selected High Speed Rail Freight Service and in Road Haul operation for
delivery/pick up.

In the new century there appears to be a growing market for the movement
of selected freight in unconventional vehicles attached to high speed
passenger trains operating at speeds up to 150 mph. These unconventional
vehicles are lightweight in nature, often trailers fitted with running
gear including couplers and truck suspensions for road and rail mode
operation. A practical truck suspension for ordinary freight cars or
special trailers which can be used in both the road and rail modes is
needed. The suspension must allow for:

1\) easy transfer from road to rail and back to road

2\) stowage of unused parts of suspension in a positively locked manner

3\) appropriate braking means in both the road and rail modes

4\) exceptional ride quality and rail trackability, both empty and
loaded

5\) safe operation at speeds up to 150 mph

Knowledge of rail industry design, safety, operation and maintenance
practices and mechanical design creativity are essential to success. New
technologies in compact smart sensors and active suspensions may offer
significant improvements in safety and performance.

The Phase I research effort will consist of a feasibility study and the
investigation of possible techniques for the development of a high-speed
freight truck suspension. Upon successful completion of Phase I, the
actual development of the high-speed freight truck suspension would be
undertaken in Phase II.

# ^2^01-FR2 SAFETY GLAZING DESIGN FOR PASSENGER RAIL VEHICLES {#fr2-safety-glazing-design-for-passenger-rail-vehicles .Style1-head2}

There is a need to develop a safety glazing system for use with
passenger rail vehicles that would satisfy the safety requirements of
the Federal Railroad Administration and the maintenance and other
performance requirements of the railroad operators.

In developing the 1999 passenger equipment safety standards of Federal
Railroad Administration (published as 49 CFR Part 216 et al, in the
Federal Register, vol 64, No. 91, May 12, 1999), there is a conflicting
requirement for a stronger system to protect the crew and passengers
while in service but also a glazing system that would allow quick egress
during emergency evacuation. A new glazing design should use advanced
materials, impact sensors, and innovative mounting configuration. The
glazing system must allow for:

a\. Easy egress of passengers during emergency from inside the vehicle;

b\. Easy breakthrough by emergency responders from outside the vehicle
during emergency; and

c\. Provide adequate protection to the passengers and crew from bullets
and other objects throwing to the train from outside.

Knowledge of passenger rail vehicle design, safety operation, and
maintenance practices, and creative glazing design are essential to
success. Need to determine the appropriate threat to the glazing in the
railroad-operating environment. New technologies in compact smart
sensors and material properties may offer significant improvements in
safety and performance.

The Phase I research effort will consist of a feasibility study and the
investigation of possible techniques for the development of a passenger
rail vehicle safety glazing system. Upon successful completion of Phase
I, the actual development of the safety glazing system would be
undertaken in Phase II.

# UNITED STATES COAST GUARD

# ^1^01-CG1 LOW COST NIGHT VISION SYSTEM FOR HIGH SPEED VESSEL OPERATIONS {#cg1-low-cost-night-vision-system-for-high-speed-vessel-operations .Style1-head2}

High-speed, night intercepts have created a need for Coast Guard boat
crews, especially the coxswains, to have high quality night vision. A
new low cost night vision device is needed that is capable of providing
the necessary acuity, depth perception, and situational awareness needed
during high-speed maneuvers and intercepts. This system would allow the
operator to see the sea state to maneuver safely, and allow for covert
operation for high speed intercepts. Non-covert modes of operation may
be used for transiting, and search and rescue, and other missions. It is
important that the visual information provided by the system not detract
from mission performance. These boats are approximately 40 feet in
length and can travel at speeds of 50+ miles per hour in harsh
environments i.e. seawater and vibration including large and continuous
attitude changes. It is envisioned that this system could have wider
application across CG boats and could eventually be marketed to
recreational boaters for nighttime use, similar in concept to the night
vision systems recently available in the automotive industry.

The Phase I research effort will consist of a feasibility study and the
investigation of possible techniques for the development of a night
vision system. Upon successful completion of phase I, the actual
development of the night vision system would be undertaken in Phase II.

# ^1^01-CG2 EVALUATION OF TIDAL POWER SYSTEMS FOR REMOTE SITES {#cg2-evaluation-of-tidal-power-systems-for-remote-sites .Style1-head2}

There is a need for innovative electrical power generation systems using
alternative energy sources for remote sites that the Coast Guard
operates such as lightstations, radio navigation stations, VHF High
Sites, DGPS sites, weather stations and buoys. Severe economic
constraints looming in the future such as the cost of petroleum-based
fuels, fuel transportation costs and sustained connectivity to the
electrical power grid require the consideration of alternative power.
Also driving this study are environmental constraints such as exhaust
emissions, the potential for spilling petroleum-based fuels, and Federal
mandates requiring use of renewable fuels. At many of these remote sites
the fuel must be delivered by helicopter, at a prohibitive cost. There
is a need to evaluate renewable energy sources that use natural energy
available at the site such as solar, wind, and ocean wave and tidal
currents.

Many of these sites are located in areas of high tidal ranges such as
off the coast of Alaska and Maine, where large tidal currents are
present. These areas are also in high latitudes such that solar energy
sources are ineffective due to seasonal obscurity of the sun. The
technology of generating electricity using natural energy has advanced
to the extent that viable generation sources are commercially available
and can be adapted to extract energy from moving seawater in tidal
currents. These technologies use solid state semiconductor technologies
where there are no moving parts, and have a much greater reliability
than previous systems utilizing impellers and rotors.

The desired product is an electrical generation system with no moving
parts that is capable of generating and storing electricity utilizing
moving seawater. This system shall also be designed for long sustained
operation and resistant to degrading factors in the marine environment
such as corrosion and accumulation of fouling of marine life. Nominal
requirements are for generation and storage of 10 kWh/day of electrical
energy at a location with a 2-knot diurnal sinusoidal flow. The system
must be capable of emplacement at a selected test site using
conventional techniques, and continued operation for a period of one
year without servicing.

The Phase I research effort will consist of a feasibility study and the
investigation of possible techniques for the development of an
alternative energy electrical power generation system. Upon successful
completion of Phase I, the actual development of the electrical power
generation system would be undertaken in Phase II.

# ^1^01-CG3 DEVELOPMENT OF UNIQUE TECHNOLOGIES THAT PREVENT MARINE BIOADHESION {#cg3-development-of-unique-technologies-that-prevent-marine-bioadhesion .Style1-head2}

Successful invasions of aquatic nuisance species have increased at a
significant rate over the last several decades resulting in unexpected
harmful impacts. These organisms are transported by ship hulls and in
ship ballast water. The risk of translocation of exotic marine species
via hull fouling may be greater than that associated with ballast water
discharge. Two separate studies on invasive species found hulls to be
the greater source of introduction for invasive species. One study by
the Institute for Marine Studies in Kiel found that between 1992 and
1995, two thirds of the aquatic nuisance species with the highest
potential for establishment were from bioadhesive organisms. Bioadhesive
organisms are tractable organisms that grow on underwater surfaces, such
as hulls of ships.

The National Invasive Species Act of 1996 (NISA) (Pub. L. 104-332)
directs the Secretary of Transportation to promulgate guidelines for
management practices that will reduce the probability of introductions
from ship operations other than ballast water discharge
(1101(c)(2)(E)(i). Therefore, the United States Coast Guard needs to
conduct baseline research on marine bioadhesive patterns, and on methods
for reducing introductions via bioadhesion.

Preliminary investigations determined the existence of technologies,
which have the potential to prevent bioadhesion, such as antifouling
paints. It is therefore the desire of the USCG to design, model, and
develop techniques such as these so that they may be commercially
feasible to use by ships or other facilities to reduce the invasions of
ANS by bioadhesion.

The Phase I research effort would consist of a feasibility study and the
in-depth investigation of the techniques described above for the
development of alternative methods capable of preventing bioadhesion.
Upon the successful completion of Phase I, the actual development of the
alternative selected to prevent bioadhesion may be undertaken in Phase
II.

# Federal Motor Carrier Safety Administration 

# ^1^01-FM1 COMMERCIAL MOTOR VEHICLE (CMV) DRIVER ASSESSMENT TOOL {#fm1-commercial-motor-vehicle-cmv-driver-assessment-tool .Style1-head2}

There is a need to develop a fast, low-cost, portable assessment tool to
measure basic CMV cognitive skills, performance, and behaviors relevant
to safe CMV driving. For example, a 30-to 45-minute PC-based simulation
might provide drivers with traffic situations calling for safe vehicle
control, defensive driving, crash threat recognition, reaction to
threat, decision-making, and execution of evasive maneuvers. The
envisioned tool would not be a high-fidelity simulation of the physical
driving environment, but rather would focus on assessing
cognitive/behavioral performance traits and behaviors relevant to safe
CMV driving. As such, it would likely be an analog to driving. The
principal applications of this device would be for motor carriers to
improve their CMV driver selection processes and, additionally, to
improve the safety performance assessment and improvement of current
drivers. There may also be research applications of the device. The most
important consideration regarding such devices is validity, i.e.,
demonstration of content, construct, concurrent, and/or predictive
validity in identifying safe and unsafe drivers and/or measuring key
behavioral parameters of driving safety.

The Phase I research effort will consist of a feasibility study and the
investigation of possible techniques for the development of a CMV driver
assessment tool. Upon successful completion of Phase I, the actual
development of the CMV driver assessment tool would be undertaken in
Phase II.

^1^Phase I may be up to \$100,000 and Phase II may be up to \$300,000

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

**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

5\. PROPOSAL ACKNOWLEDGEMENT FORM

**APPENDIX A**

**U.S. DEPARTMENT OF TRANSPORTATION**

**SMALL BUSINESS INNOVATION RESEARCH PROGRAM**

**SOLICITATION NO. DTRS57-01-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 11B; and that it
Yes\_\_\_\_\_\_\_ No\_\_\_\_\_\_\_

meets the eligibility requirement in Section 1C.

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

qualify as a minority and disadvantaged small business as

defined in IIC. (For statistical purposes only.)

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

qualify as a women-owned small business as defined in IID.

(For statistical purposes only.)

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

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

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

or Awards\".)

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

technical abstract of your proposed project, plus the name,

address, and telephone number of the Corporate Official

and Principal Investigator of your firm, if your proposal

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

interested in contacting you for further information?

Principal Investigator Corporate/Business Official

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

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

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

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

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

> **APPENDIX B**

**U.S. DEPARTMENT OF TRANSPORTATION**

**SMALL BUSINESS INNOVATION RESEARCH PROGRAM**

**SOLICITATION NO. DTRS57-01-R-SBIR**

**PROJECT SUMMARY**

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

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

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

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

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

**SOLICITATION NO. DTRS57-01-R-SBIR**

**CONTRACT PRICING PROPOSAL**

<table style="width:100%;">
<colgroup>
<col style="width: 9%" />
<col style="width: 2%" />
<col style="width: 0%" />
<col style="width: 1%" />
<col style="width: 6%" />
<col style="width: 2%" />
<col style="width: 0%" />
<col style="width: 5%" />
<col style="width: 2%" />
<col style="width: 1%" />
<col style="width: 13%" />
<col style="width: 0%" />
<col style="width: 5%" />
<col style="width: 0%" />
<col style="width: 0%" />
<col style="width: 0%" />
<col style="width: 4%" />
<col style="width: 0%" />
<col style="width: 6%" />
<col style="width: 0%" />
<col style="width: 3%" />
<col style="width: 1%" />
<col style="width: 4%" />
<col style="width: 1%" />
<col style="width: 0%" />
<col style="width: 0%" />
<col style="width: 8%" />
<col style="width: 1%" />
<col style="width: 17%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="12"><strong>PROPOSAL COVER SHEET</strong></td>
<td colspan="17">1. SOLICITATION/CONTRACT/MODIFICATION NUMBER</td>
</tr>
<tr class="even">
<td colspan="12">2a. NAME OF OFFEROR</td>
<td colspan="17">3a. NAME OF OFFEROR’S POINT OF CONTACT</td>
</tr>
<tr class="odd">
<td colspan="12">2b. FIRST LINE ADDRESS</td>
<td colspan="17">3b. TITLE OF OFFEROR’S POINT OF CONTACT</td>
</tr>
<tr class="even">
<td colspan="12">2c. STREET ADDRESS</td>
<td colspan="17"></td>
</tr>
<tr class="odd">
<td colspan="12"></td>
<td colspan="12">3c. TELEPHONE</td>
<td colspan="5">3c. FACSMILIE</td>
</tr>
<tr class="even">
<td colspan="5">2d. CITY</td>
<td colspan="3">2e. STATE</td>
<td colspan="4">2f. ZIP CODE</td>
<td colspan="6">AREA CODE</td>
<td colspan="6">NUMBER</td>
<td colspan="4">AREA CODE</td>
<td>NUMBER</td>
</tr>
<tr class="odd">
<td colspan="5"></td>
<td colspan="3"></td>
<td colspan="4"></td>
<td colspan="6"></td>
<td colspan="6"></td>
<td colspan="4"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="12">4. TYPE OF CONTRACT OR SUBCONTRACT
<em>(Check)</em></td>
<td colspan="17">5. PRIME OFFEROR</td>
</tr>
<tr class="odd">
<td><p> FFP</p>
<p> FPI</p></td>
<td colspan="9"><p> CPFF CPIF</p>
<p> OTHER <em>(Specify)</em></p></td>
<td> CPAF</td>
<td colspan="18"><p> SUBCONTRACTOR
____________________________________</p>
<p>PRIME OFFEROR’S NAME</p></td>
</tr>
<tr class="even">
<td colspan="29">6. ESTIMATED COST, FEE AND PROFIT INFORMATION</td>
</tr>
<tr class="odd">
<td colspan="4"></td>
<td colspan="13">A. ESTIMATED COST</td>
<td colspan="12"></td>
</tr>
<tr class="even">
<td colspan="4"></td>
<td colspan="13">B. FIXED FEE</td>
<td colspan="12"></td>
</tr>
<tr class="odd">
<td colspan="4"></td>
<td colspan="13">C. AWARD FEE</td>
<td colspan="12"></td>
</tr>
<tr class="even">
<td colspan="4"></td>
<td colspan="13">D. PROFIT</td>
<td colspan="12"></td>
</tr>
<tr class="odd">
<td colspan="4"></td>
<td colspan="13">E. TOTAL PRICE</td>
<td colspan="12"></td>
</tr>
<tr class="even">
<td colspan="4"></td>
<td colspan="13"></td>
<td colspan="12"></td>
</tr>
<tr class="odd">
<td colspan="29">7. PROVIDE THE FOLLOWING</td>
</tr>
<tr class="even">
<td colspan="15">NAME OF COGNIZANT CONTRACT ADMINISTRATIVE AGENCY</td>
<td colspan="14">NAME OF COGNIZANT GOVERNMENT AUDIT AGENCY</td>
</tr>
<tr class="odd">
<td colspan="15">STREET ADDRESS</td>
<td colspan="14">STREET ADDRESS</td>
</tr>
<tr class="even">
<td colspan="7">CITY</td>
<td colspan="2">STATE</td>
<td colspan="7">ZIP CODE</td>
<td colspan="10">CITY</td>
<td>STATE</td>
<td colspan="2">ZIP CODE</td>
</tr>
<tr class="odd">
<td colspan="3">TELEPHONE</td>
<td colspan="3">AREA CODE</td>
<td colspan="8">NUMBER</td>
<td colspan="6">TELEPHONE</td>
<td colspan="5">AREA CODE</td>
<td colspan="4">NUMBER</td>
</tr>
<tr class="even">
<td colspan="3">FACSIMILE</td>
<td colspan="3">AREA CODE</td>
<td colspan="8">NUMBER</td>
<td colspan="6">FACSIMILE</td>
<td colspan="5">AREA CODE</td>
<td colspan="4">NUMBER</td>
</tr>
<tr class="odd">
<td colspan="2">NAME OF CONTACT</td>
<td colspan="11"></td>
<td colspan="6">NAME OF CONTACT</td>
<td colspan="10"></td>
</tr>
<tr class="even">
<td colspan="2">PROPERTY SYSTEM</td>
<td colspan="11"><p> Reviewed by cognizant contract administrative</p>
<p>agency and determined acceptable</p></td>
<td colspan="9">APPROXIMATE DATE OF LAST AUDIT</td>
<td colspan="7"></td>
</tr>
<tr class="odd">
<td colspan="2"></td>
<td colspan="11"><p> Reviewed by cognizant contract administrative</p>
<p>agency and determined not acceptable</p></td>
<td colspan="6">PURPOSE OF AUDIT</td>
<td colspan="10"></td>
</tr>
<tr class="even">
<td colspan="2"></td>
<td colspan="11"> Never reviewed</td>
<td colspan="6"></td>
<td colspan="10">(e.g. proposal review, establishment of billing rates,
finalize indirect rates, etc.)</td>
</tr>
<tr class="odd">
<td colspan="2">PURCHASING SYSTEM</td>
<td colspan="11"><p> Reviewed by cognizant contract administrative</p>
<p>agency and determined acceptable</p>
<p> Reviewed by cognizant contract administrative</p>
<p>agency and determined not acceptable</p></td>
<td colspan="6">ACCOUNTING SYSTEM</td>
<td colspan="10"><p> Audited and determined acceptable</p>
<p> Audited and determined not acceptable</p>
<p> Never audited</p></td>
</tr>
<tr class="even">
<td colspan="2"></td>
<td colspan="11"> Never reviewed</td>
<td colspan="10">OFFEROR’S FISCAL YEAR</td>
<td colspan="6"></td>
</tr>
<tr class="odd">
<td colspan="15">8a. NAME OF OFFEROR <em>(Typed)</em></td>
<td colspan="14">9. NAME OF FIRM</td>
</tr>
<tr class="even">
<td colspan="15">8b. TITLE OF OFFEROR <em>(Typed)</em></td>
<td colspan="14"></td>
</tr>
<tr class="odd">
<td colspan="21">10. SIGNATURE</td>
<td colspan="8">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, shall be included in proposals
> responsive to this Solicitation.

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

1\. Name of proposer

2\. Address of proposer

3\. Location where work will be performed

4\. Proposer\'s Project Title

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

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

7\. Direct material costs

a\. Purchased parts (dollars)

b\. Subcontracted items (dollars)

c\. Other

\(1\) Raw materials (dollars)

\(2\) Standard commercial items (dollars)

d\. Total direct materials (dollars)

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

9\. Direct labor (specify)

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

b\. Total estimated direct labor (dollars)

10\. Labor overhead

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

b\. Total estimated labor overhead (dollars)

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

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

b\. Estimated total special testing (dollars)

12\. Other special equipment

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

b\. Estimated total other special equipment (dollars)

**APPENDIX C** Continued

13\. Travel (if direct charge)

a\. Transportation (detailed breakdown and dollars)

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

c\. Estimated total travel (dollars)

14\. Consultants Service

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

b\. Total estimated consultant service costs (dollars)

15\. Other direct costs (specify)

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

16\. General and administrative expense

a\. Percentage rate applied

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

17\. Royalties (specify)

a\. Estimated cost (dollars)

18\. Fee or profit (dollars)

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

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

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

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

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

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

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

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

(See Section III.F)

24\. Tax Identification Number, if available.

**U.S. DEPARTMENT OF TRANSPORTATION**

**SMALL BUSINESS INNOVATION RESEARCH PROGRAM**

**SOLICITATION NO. DTRS57-01-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 1.C).

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

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

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

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

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

\_\_\_\_ 7. The proposal contains no type smaller than 10 point font
size (except as legend on reduced drawings, but not tables).

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

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

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

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

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

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

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

\_\_\_\_ 15. The proposal must be postmarked (or delivered to the DOT
SBIR Program Office by 5:00 p.m.) no later than May 1, 2001 as required
(see Section VI.A). If submitted electronically, the proposal must be
received by May 1, 2001, 5:00 p.m.

+-----------------------------------------------------------------------+
| **DOT SBIR PROGRAM SOLICITATION**                                     |
|                                                                       |
| **DTRS57-01-R-SBIR**                                                  |
+-----------------------------------------------------------------------+
| TO BE FILLED OUT BY THE PROPOSER:                                     |
|                                                                       |
| Project Title                                                         |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\                                           |
| _\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
|                                                                       |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\                       |
| _\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
+-----------------------------------------------------------------------+
| TO BE FILLED OUT BY THE DEPARTMENT OF TRANSPORTATION:                 |
|                                                                       |
| Date Received \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Proposal No.     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_                                        |
+-----------------------------------------------------------------------+

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