**DTRS57-02-R-SBIR**

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

**Office of the Secretary**

**of Transportation**

**PROGRAM SOLICITATION**

**Small Business Innovation**

**Research Program**

**Closing Date: May 1, 2002**

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

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

**55 Broadway, Kendall Square**

**Cambridge, MA 02142-1093**

## CONTENTS

I. PROGRAM DESCRIPTION [2](#i.-program-description)

II\. DEFINITIONS [4](#ii.-definitions)

III\. PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS
[6](#iii.-proposal-preparation-instructions-and-requirements)

IV\. METHOD OF SELECTION AND EVALUATION CRITERIA
[9](#iv.-method-of-selection-and-evaluation-criteria)

V. CONSIDERATIONS [11](#v.-considerations)

VI\. SUBMISSION OF PROPOSALS [15](#vi.-submission-of-proposals)

VII\. SCIENTIFIC AND TECHNICAL INFORMATION SOURCES
[16](#vii.-scientific-and-technical-information-sources)

VIII\. RESEARCH TOPICS [17](#viii.-research-topics)

IX\. SUBMISSION FORMS AND CERTIFICATIONS
[24](#ix.-submission-forms-and-certifications)

APPENDICES

PROPOSAL COVER SHEET [25](#proposal-cover-sheet)

PROJECT SUMMARY [26](#project-summary)

CONTRACT PRICING PROPOSAL [27](#contract-pricing-proposal)

PROPOSAL CHECKLIST [30](#proposal-checklist)

PROPOSAL ACKNOWLEDGEMENT FORM 31

DOT PROGRAM SOLICITATION FOR SMALL

BUSINESS INNOVATION RESEARCH

# I. PROGRAM DESCRIPTION

**A. Introduction**

This solicitation for research proposals is issued by the United States
Department of Transportation (DOT) pursuant to the Small Business
Innovation Development Act of 1982, P.L. 97‑219, as amended by P.L.
99‑443, and P.L. 102‑564, Small Business Research and Development Act of
1992, signed October 28, 1992.

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

The purposes of the Act are:

\(1\) To stimulate technological innovation;

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

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

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

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

**B. Three‑Phase Program**

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

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

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

**Phase II.** Phase II is the principal research or 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 all 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 contract award and during
the conduct of the proposed research]{.underline}** unless otherwise
approved by the Contracting Officer. Primary employment means that more
than one‑half of the principal investigator\'s time

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

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

**D. General Information**

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

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

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

under more than one topic, the proposer shall choose that topic which
appears to be most relevant to the proposer\'s technical concept.

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

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

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

(See proposal checklist)

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

Joseph Henebury

DOT SBIR Program Director, DTS‑22

U.S. DOT/RSPA/VNTSC

55 Broadway, 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

#   {#section .unnumbered}

# II. DEFINITIONS

**A. Research or Research and Development**

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

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

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

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

**B. Small Business Concern**

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

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

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

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

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

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

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

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

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

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

\(1\) Black Americans.

\(2\) Hispanic Americans.

\(3\) Native Americans.

\(4\) Asian‑Pacific Americans.

\(5\) Subcontinent Asian Americans.

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

A women-owned small business concern is one that is 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 2002, proposals may]{.underline}**

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

**[format.]{.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, contract pricing proposal and all enclosures or attachments.

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

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

-   Each proposal shall not exceed 25 pages

-   All proposals must be in all text, (i.e., 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, 2002

-   ***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. DOT/RSPA/VNTSC, 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 (i.e.,FH3,) and the
    remaining five characters shall be a unique abbreviation of your
    company's name.

Your proposal will have the same protection/security as DOT e-mail. It
will be available to only the team of DOT engineers and /or scientists
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,
2002.**

**B. Proposal Cover Sheet**

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

**C. Project Summary**

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

**D. Technical Content**

Submitted proposals must include the following:

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

> proposal submitted or award received.

**E. Contract Pricing Proposal**

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

**F. DUNS Identification Number**

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

**B. Evaluation Criteria**

The evaluation process involves the following factors:

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

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

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

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

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

**C. Prescreening**

Each proposal submission will be examined to determine if it is complete
and contains an adequate amount of technical and pricing data.
[Proposals that do not meet the basic requirements of the solicitation
will be excluded from further consideration]{.underline}. Each
organization 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 of proposals by professionals, in
their respective organizations, of all Phase I proposals that meet the
requirements of this solicitation. The Proposal Review Panel will review
the technical evaluations by the specialists and recommend to the SBIR
Program Director the proposals for awards. 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 2002 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 [2002 Phase I Award Recommendations]{.underline} to receive
funding is posted on the DOT SBIR Program Web Page: www.volpe.dot.gov
(click on SBIR). For planning purposes the notification of [2002 Phase I
Award Recommendations]{.underline} is expected to be posted on the DOT
SBIR Program Web Page by October 1, 2002. **Phase I proposals which are
not included in the October 1st list of [2002 Phase I Award
Recommendations]{.underline} will not receive funding.** **No written
correspondence regarding proposal status will be made.**

After the [2002 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]{.underline}
upon request.

[Debriefing requests should 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-1 .unnumbered}

# V. CONSIDERATIONS

**A. Awards**

It is estimated that during fiscal year 2002, DOT will award
approximately 8 Phase I contracts with an [anticipated
potential]{.underline} maximum of 11 awards, depending on actual funding
available and the responses from small business firms to the solicited
research topics in Section VIII.

All Phase I awards will be firm fixed‑price contracts and may be up to
\$100,000 each unless otherwise noted. Phase II awards anticipate
cost‑plus‑fixed-fee contracts with a value of up to \$750,000 each
unless otherwise noted. Phase II awardees will be required to have
acceptable accounting systems to receive a cost-plus-fixed-fee contract.

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

DOT's Operating Administrations contribute to SBIR funding. Each
Operating Administration\'s contribution may be used only to support
research of concern to that Operating Administration. For example, funds
furnished by the Federal Highway Administration may not support research
solely of concern to the National Highway Traffic Safety Administration.
Based on anticipated funding levels, there may not be adequate funding
within the SBIR program to support Phase I and/or Phase II awards for
research which is solely of concern to the following Operating
Administrations: Federal Aviation Administration, Federal Highway
Administration, Federal Motor Carrier Safety Administration, Federal
Railroad Administration, Federal Transit Administration, National
Highway Traffic Safety Administration, Research and 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 which
consist of, two interim letter reports, and a comprehensive final
report.

**C. Payment Schedule**

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

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

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

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

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

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

The DOT prefers that proposers avoid inclusion of proprietary data in
their proposals. If the inclusion of proprietary data is considered
essential for meaningful evaluation of a proposal submission, then such
data should be provided on a separate page with a numbering system to
key it to the appropriate place in the proposal.

2\. **Rights in Data Developed under SBIR Contracts**. Rights in
technical data, including software developed under any contract
resulting from this solicitation, shall remain with the contractor
except that the Government shall have the limited right to use such data
for Government purposes and shall not release such data outside the
Government without permission of the contractor for a period of four
years from completion of the project from which the data were generated.
However, effective at the conclusion of the four‑year period, the
Government shall retain a royalty‑free license for Federal government
use of any technical data delivered under an SBIR contract whether
patented or not.

3\. **Copyrights**. With prior written permission of the Contracting
Officer, the contractor normally may copyright and publish (consistent
with appropriate national security considerations, if any) material
developed with DOT support. The DOT receives a royalty‑free license for
the Federal government and requires that each publication contain an
appropriate acknowledgement and disclaimer statement.

4\. **Patents**. Small business firms normally may retain the principal
worldwide patent rights to any invention developed with Government
support. The Government receives a royalty‑free license for Federal
government use, reserves the right to require the patent holder to
license others in certain circumstances, and requires that anyone
exclusively licensed to sell the invention in the United States must
normally manufacture it domestically. To the extent authorized by 35
U.S.C. 205, the Government will not make public any information
disclosing a government- supported invention for a two‑year period to
allow the contractor a reasonable time to pursue a patent.

**E. Cost‑Sharing**

Cost‑sharing is permitted for Phase II proposals under the topic areas
identified in this solicitation; however, cost‑sharing is not required
nor will it be a factor in proposal evaluations.

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

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

**G. Joint Ventures or Limited Partnerships**

Joint ventures and limited partnerships are permitted provided the
entity created qualifies as a small business concern in accordance with
the Small Business Act, 15 U.S.C. 631, and the definition included in
this solicitation.

**H. Research and Analytical Work**

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

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

**I. Contractor Commitments**

Upon award of a contract, the awardee will be required to make certain
legal commitments through acceptance of numerous contract clauses. The
outline that follows is illustrative of the types of clauses to which
the contractor would be committed. This list shall not be understood to
represent a complete list of clauses to be included in Phase I
contracts, nor to be the specific wording of such clauses. A complete
copy of terms and conditions will be provided upon issuance of the model
contract for signature prior to award.

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

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

3\. **Examination of Records.** The Comptroller General (or a duly
authorized representative) shall have the right to examine any directly
pertinent records of the contractor involving transactions related to
this contract.

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

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

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

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

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

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

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

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

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

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

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

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

16\. Section 508 Access Board Standards.

> All electronic and information technology deliverables rendered must
> comply with Section 508 of the Rehabilitation Act and the Access Board
> Standards available for viewing at
> [http://www.section508.gov](http://www.section508.gov/). Unless
> otherwise indicated, the contractor represents by signature on a
> contract that all deliverables will comply with the Access Board
> standards.

**J. Additional Information**

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

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

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

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

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

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

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

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

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

#   {#section-2 .unnumbered}

# 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. DOT/RSPA/VNTSC
>
> 55 Broadway, Kendall Square
>
> Cambridge, MA 02142‑1093
>
> Telephone: (617) 494‑2051

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

May 1, 2002 to qualify for acceptance and consideration under the
current DOT SBIR Program. Proposals postmarked or received via e-mail
later than May 1, 2002 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, 2002.

Electronic Submission Requirements:

-   Each proposal shall not exceed 25 pages.

-   All proposals must be in all text, (i.e., no graphics, tables, etc.)

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

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

```{=html}
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```
-   Proposals must be sent via e-mail to:

<henebury@volpe.dot.gov>

-   Proposals must be received by 5:00p.m. on May 1, 2002.

```{=html}
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```
-   ***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. DOT/RSPA/VNTSC, 55 Broadway, Kendall Square,
Cambridge, MA 02142-1093***

-   The proposal file shall contain eight 98) characters-the first three
    shall be the topic \# you are proposing to, i.e., FH3, and the
    remaining five characters shall be a unique abbreviation of your
    company's name.

Your proposal will have the same protection/security as DOT e-mail. It
will be available to only the team of DOT engineers and/or 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,
2002

**B. Additional Information**

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

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

3\. **Confirmation.** The DOT SBIR Program Office will assign an
identification number to each proposal received at the above address by
May 21, 2002. This number will appear on the proposal acknowledgement
form which will be sent to the proposer by return mail confirming
receipt of the proposal.

**Proposers who submitted their proposals electronically will receive
their proposal number via e-mail no later than May 21, 2002.**

# VII. SCIENTIFIC AND TECHNICAL INFORMATION SOURCES

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

Center for Technology Commercialization Great Lakes Industrial
Technology Center

1400 Computer Drive 25000 Great Northern Corporation Center

Westborough, MA 01581 Suite 260

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

\(440\) 734-0094

Federal Information Exchange, Inc. Southern Technology Applications
Center

555 Quince Orchard Road, Suite 360 University of Florida

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

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

\(352\) 294-7822

Midcontinent Technology Transfer Center National Technical Information
Service

Texas Engineering Extension Service 5285 Port Royal Road

The Texas A&M University System Springfield, VA 22161

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

College Station, TX 77840-7896

\(409\) 845-8762

MidAtlantic Technology Applications Center Technology Transfer Center

University of Pittsburgh University of Southern California

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

Pittsburgh, PA 15260 Los Angeles, CA 90007-4344

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

# VIII. RESEARCH TOPICS

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

**DOT OPERATING ADMINISTRATION/TOPIC POTENTIAL MAXIMUM**

**FY02 PHASE I AWARDS**

**RESEARCH AND SPECIAL PROGRAMS ADMINSTRATION (RSPA) 1 AWARD**

[^1]02-RS1 Advanced Materials for Pipeline System Infrastructure
Assurance

**UNITED STATES COAST GUARD (USCG) 2 AWARDS**

[^2]02-CG1 Shipping Container Integrity Monitoring System

Error: Reference source not found02-CG2 Ballast Water Exchange
Monitoring System

**FEDERAL TRANSIT ADMINISTRATION (FTA) 1 AWARD**

Error: Reference source not found02-FT1 Application of Remote Sensing
Technologies to Transit System Infrastructure Security

**FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION (FMCSA) 1 AWARD**

[^3]02-FM1 Portable Data Collection Technology for Roadside
Driver/Vehicle Inspections

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

**Error: Reference source not found**02-FR1 Low Cost Transverse Rail
Defect Detector

**FEDERAL AVIATION ADMINISTRATION (FAA) 2 AWARDS**

02-FA1 Low Cost Engine Monitoring System

02-FA2 Energy Efficient Aircraft Ice Protection Technologies

**NATIONAL HIGHWAY TRAFFIC SAFETY ADMINISTRATION (NHTSA) 3 AWARDS**

[^4]02-NH1 Software to Calculate Relationships of Automotive Crash
Forces to Specific Occupant Injuries in Real-World Crashes

Error: Reference source not found02-NH2 Development of Dynamic 3D
Surface Mapping System

Error: Reference source not found02-NH3 Vehicle Based System to Increase
Seat Belt Use

**RESEARCH AND SPECIAL PROGRAMS ADMINISTRATION**

**Error: Reference source not found02-RS1 [ADVANCED MATERIALS FOR
PIPELINE SYSTEM INFRASTRUCTURE ASSURANCE]{.underline}**

America relies heavily on energy products delivered by the nation's
pipeline system. It delivers natural gas to more than 55 million
residential and commercial customers, and transports over two-thirds of
the crude oil and petroleum products that fuel our industry, our
vehicles, our economy and our homes. However, the supply of energy has
too often been disrupted by pipeline accidents (along with the deaths,
injuries, and environmental damage which they bring), and pipelines also
make a tempting target for malevolent disruptions.

Historically, mechanical damage is the single largest cause of failures
on gas transmission pipelines and a leading cause of failures on
hazardous liquid pipelines. Mechanical damage usually occurs after a
pipeline is constructed and is caused by excavation equipment which
deforms the shape of the pipe, scrapes away metal and coating, and
changes the mechanical properties of the pipe.

Phase I research is sought on the use of advanced materials to assure
the structural integrity and continued, safe, and efficient operation of
this nation's pipeline system. This research would focus on advanced
materials to prevent or attenuate damage to pipelines by outside forces,
including external blast effects, or models to predict the impact of
mechanical damage or the remaining pipe strength in lines that have been
impacted by mechanical damage. Approaches include stronger, more
resistant materials; "self-healing" pipe that pops back when damaged;
innovative use of "smart technologies" which have micro/nano or other
advanced sensors to detect damage and repair it without further
intervention.

**UNITED STATES COAST GUARD**

**Error: Reference source not found02-CG2 [SHIPPING CONTAINER INTEGRITY
MONITORING SYSTEM]{.underline}**

[Problem]{.underline}: An extremely high number of ISO shipping
containers pass through our maritime ports, such as the Port of New York
with 3.6 million containers per year. The USCG and Customs Service
inspect less than 2% of these containers when they enter port, and many
are transshipped in bond across the country without passing clearance by
Customs. These containers are from various ports throughout the world
and present a substantial threat for importation of a weapon of mass
destruction (WMD) such as a nuclear, biological, chemical or explosive
device. Current practice in inspecting these containers is manpower
intensive and time consuming, and a 100% inspection using current
techniques would severely slow the flow of containers and impede
commerce. Opening containers with potential WMDs for inspection also
presents a severe personal risk to USCG and Customs inspectors.

[Background]{.underline}: A three step approach to this problem is
needed: (1) increased verification at the point of origin; (2) improved
integrity monitoring during shipment; and (3) improved and rapid
inspection techniques at the off-load port. This Shipping Container
Integrity Monitoring System (SCIMS) addresses step (2). Currently the
containers are unlocked and sealed with a small external mechanical seal
that has a unique number that is matched with the unique number of the
container. These numbers are monitored by a manual paper-based tracking
system that interfaces with the Automated Manifest System (AMS) of the
Customs Service. An electronic integrity monitoring device in each
container would allow automation of the tracking system and incorporate
enhanced features such as intrusion detection, shipping history, and WMD
threat detection. This device could also potentially be interrogated
while the container is aboard ship, thus allowing pre-notification of a
potential threat before the ship enters port.

The in-container device needs to be small, inexpensive, and capable of
mass production and retrofitting into standard ISO shipping containers
in order to gain universal acceptance. It should be capable of detecting
intrusion, and sense explosive, biological and nuclear threat contents;
capable of remote interrogation incorporating security codes for
integrity assurance, tamper-proof and independently powered. A unique
security code capable of encoding information such as container number,
contents, and port history would provide additional useful information.
A complete system consisting of a control system for use at each port, a
device installed in each container, and an interface with existing
international monitoring systems such as AMS would enable integrity
monitoring of the container from the point of origin to the point where
Customs liquidates the container.

**Error: Reference source not found02-CG2 [BALLAST WATER EXCHANGE
MONITORING SYSTEM]{.underline}**

Ballast water discharged from ships has been implicated as a major means
for introducing non-indigenous aquatic nuisance species (ANS) to the
aquatic ecosystems of the United States. In an effort to reduce risk of
such introductions, Congress enacted regulations that now include the
procedure of mid-ocean ballast water exchange. Most ANS are either fresh
or brackish water organisms that cannot survive in high salinity
environments found in the open ocean. Ballast water exchange effectively
helps eliminate ANS by (1) discharging a percentage of
coastal/freshwater organisms into the inhospitable environment of the
ocean and (2) exchanging coastal/freshwater organisms for mid-ocean
organisms, which are not expected to survive when subsequently released
into coastal/freshwater areas. Additionally, the exchange increases the
salinity level within the ballast water tank such that remaining
coastal/freshwater organisms have a reduced chance of survival.

Two methods of ballast water exchange are currently used. The first is
an "empty-refill" method, where a ballast tank is emptied to its lowest
level and then refilled with open ocean water. The second method is
described as a "flow-through" method, where three tank volumes are
pumped through a given ballast water tank, while simultaneously allowing
the tank to overflow through an installed discharge.

An effective monitoring system is needed to verify that ballast water
exchange has indeed been accomplished, either by empty-refill or
flow-through method. One potential system would automatically monitor
and record ballast water tank levels, and in addition would link tank
levels to the ship's geographical position. It is envisioned that this
monitoring system would be "add-on" equipment to an existing tank level
indicating system, providing an electronic and/or paper record of
ballast water tank levels and ship positions along the course of any
given voyage. The geographical location of the ballast water exchange is
vital to confirm that exchange took place outside the 200 nautical mile
Exclusive Economic Zone, as regulations state. The system does not
necessarily need to continuously monitor and record tank levels, but
could possibly activate only when changes in tank levels are detected,
or when a ballast water pump or flow switch is energized. Verification
of ballast water exchange using the empty-refill method would be shown
by a sequential recording of full/empty/full tank levels. Verification
of ballast water exchange using the flow-through method would be shown
by a 100% full (in fact -- overflowing) tank level for a period of time
needed to deliver three tank volumes based on pumping rate. Integrating
this ballast water exchange monitoring system into commonly installed
tank level indicator and other system monitoring equipment would
dramatically reduce retrofit costs, improving potential industry
acceptance.

Simplicity of installation and operation and the ability to integrate
this system into existing shipboard systems will be vital in comparing
this system to other proposed ballast water exchange verification
systems. It is possible that this system could have wide application
across the commercial and cruise shipping industry. Both retrofit and
new construction installations are eventual markets for this system.

**FEDERAL TRANSIT ADMINISTRATION**

**Error: Reference source not found02-FT1 [APPLICATION OF REMOTE SENSING
TECHNOLOGIES TO TRANSIT SYSTEM INFRASTRUCTURE SECURITY]{.underline}**

The United States has some of the most efficient and extensive transit
systems in the world. These systems are critical for mobility, economic
development and quality of life in urban, as well as suburban and rural
areas. The infrastructure, vehicles, communications systems and other
assets that make up these systems represent a widely dispersed and
massive investment that was developed without consideration for the
level of threats that they may now face.

One of the most daunting challenges to the nation's transit systems is
the evolution of terrorism and the threat it poses to the nation's
economy and the health and quality of life of its citizens. Achieving
the high requirements and expectations for personal mobility and
accessibility while ensuring the very highest level of public security
and safety is the most important challenge confronting the transit
industry today.

Transportation managers must prepare for the potential threat of
terrorist activity by acting in advance to prevent incidents, by
implementing systems designed to reduce their vulnerability, and by
adopting plans, procedures, and resources to enable a quick and
effective response. Effective use of new and emerging remote sensing
technologies can be an effective way to achieve these goals.

This Phase I research will respond to the critical need to investigate
the technical and commercial feasibility of innovative remote sensing
technologies as applied to transit system infrastructure security. Areas
of interest include but are not limited to; remote surveillance
capabilities, intrusion detection, identification of security threats,
incident detection, etc.

**FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION**

**Error: Reference source not found02-FM1 [PORTABLE DATA COLLECTION
TECHNOLOGIES FOR ROADSIDE DRIVER/VEHICLE INSPECTIONS]{.underline}**

There is a need to develop a lightweight, portable, low cost, reliable,
and weather-resistant wireless technology for conducting roadside
driver/vehicle inspections on commercial motor vehicles, e.g. large
trucks and buses. This technology would be used to query various Federal
Motor Carrier Safety Administration safety data sources and to collect
the data needed to complete required inspections. A personal digital
assistant, which employs RF wireless technology to communicate into
networked information resources, is an example of type of technologies
that are envisioned. The existing roadside driver/vehicle inspection
data collection system known as ASPEN, is very sophisticated and fully
operational. Currently, ASPEN inspections are done on laptop computers
linked to a data transfer and query system known as SAFER. The ultimate
goal of this project is to demonstrate that advanced technologies offer
convincing performance advances that can be used to supplement the
currently employed laptop based system. Potential respondents should
strongly consider building an adjunct or "assistant" to the existing
ASPEN system rather than replace it. The "assistant" would work within
the existing information systems and feed data into the ASPEN system. In
addition to the previous characteristics mentioned, unit ruggedness and
inspector mobility are important considerations regarding the envisioned
device. Respondents are encouraged to check
[http://infosys.fmcsa.dot.gov](http://infosys.fmcsa.dot.gov/) for more
information about roadside/vehicle inspections, SAFER and Query Central.

**FEDERAL RAILROAD ADMINISTRTION**

**Error: Reference source not found02-FR1 [LOW COST TRANSVERSE RAIL
DEFECT DETECTOR]{.underline}**

The FRA is seeking a low cost technique for detecting large transverse
defects in the rail head. The successful device will be easily
employable during routine track inspections, with full detection
capability at speeds from 0 to at least 25 mph. The detection system
must be able to find internal transverse cracks (detail fractures and
transverse fissures) within the rail head of a size at least as small as
30% of the rail head area: defects roughly equivalent in size to a
circle of about 1 inch in diameter. The final system must be available
to the railroad industry for a maximum cost of about \$50,000 per unit,
with the expected production of 100 to 200 units.

The system must be sized and configured for easy installation on a
typical hi-rail inspection truck. The system is roughly envisioned as a
sensor positioned above the rail, connected to recording and processing
equipment mounted in the truck bed, with a defect indicator (an alarm)
mounted in the truck cab which alerts the driver when a defect is found.
If necessary, the sensor may be in contact with the top of the rail, or
may employ guide wheels which contact the rail, provided these wheels
stay clear of turnouts, crossings, and other potential obstructions. The
recording and processing equipment must not occupy a space greater than
about 4 ft^3^.

The technique must function reliably when adverse rail surface
conditions are present, including head checks, shells, and dirt and
grease on the rail. It must also perform at full capability when changes
in track construction and condition occur. It must operate reliably in
the railroad environment, which covers a temperature range of --50^o^ to
+130^o^ F and includes the presence of rain, snow, ice, and dirt. In
general, the finished system must be industrially rugged for all-weather
usage.

The system must provide a clear yes-or-no indication of the presence of
a defect. It must be easy to set up at the beginning of an inspection
and take down at the end, with minimal and infrequent adjustment,
recalibration, maintenance, or other attention required. False positive
indications must be minimized, and missed defects rare; crack closure
must not result in failure to detect.

Phase 1 of the effort must: (1) demonstrate the ability to reliably
detect large transverse defects regardless of rail surface conditions or
changes in track construction and condition, with minimal false positive
indications, and (2) show clear evidence that, with further development,
all other requirements could be met. Phase 2 would require developing
the system to meet the remaining requirements.

**FEDERAL AVIATION ADMINISTRATION**

**02-FA1 [Low Cost Engine Monitoring System]{.underline}**

Develop a low cost engine monitoring system to detect loss of engine
power (thrust) due to a propulsion malfunction in turbine engines used
in commercial aviation. Design a multiple parameter analytical process
that can cross correlate sensor data to identify sensor malfunctions
versus real engine malfunctions providing a robust system that can
support maintenance and safety.

[Background-]{.underline} There has been much work done in recent years
to assess sudden loss of engine power events due primarily to things
like engine compressor surge/stall, bird ingestion, fuel delivery
problems, etc. Some aircraft incidents and accidents have occurred due
to the inability of the pilot and crew to determine quickly if there was
a power loss and then which engine/s experienced the power loss. Some
newer aircraft have engine failure detectors and engine surge detectors,
however, existing older aircraft do not have any automatic detection of
an engine problem. This SBIR would develop a system that could be
retrofit into existing aircraft to detect power (thrust) loss, which
would prevent a catastrophic aircraft failure.

**02-FA2 [ENERGY EFFIEICENT AIRCRAFT ICE PROTECTION
TECHNOLOGIES]{.underline}**

Research is needed to pursue more energy efficient methodologies to
remove or prevent the adhesion and formation of ice accretions on
aircraft surfaces. Current technologies employ various forms of thermal,
and/or mechanical energy to remove or debond frozen contaminants from
aircraft surfaces. Other technologies employ significant amounts of
energy to vaporize supercooled water droplets, prior to adhesion. Other
technologies employ freezing point depressant chemicals to prevent the
adhesion of supercooled water droplets. Another means is employed in the
utilization of materials whose surfaces exhibit ice phobic
characteristics to ice adhesions. The thrust of this effort envisions
(1) the development/establishment of a technology in which minimal
amounts of energy are imparted to supercooled water droplets causing
them to be repelled by aircraft surfaces or (2) minimal amounts of
energy are imparted to aircraft surfaces causing the debonding of
impinged ice accretions. Simple ice phobic materials, electrothermal,
pneumatic or other high-energy mechanical device investigations are not
deemed responsive to this request. As a ground rule, it is desired that
a low energy anti-icing/deicing system technology should requires at
least an order of magnitudes less energy to effect deicing of aircraft
surfaces when compared to current electro-mechanical systems. For,
planning purposes, metallic or non-metallic aircraft surfaces may be
considered.

**NATIONAL HIGHWAY TRAFFIC SAFETY ADMINISTRATION**

**Error: Reference source not found02-NH1 [SOFTWARE TO CALCULATE
RELATIONSHIPS OF AUTOMOTIVE CRASH FORCES TO SPECIFIC OCCUPANT INJURIES
IN REAL-WORLD CRASHES]{.underline}**

Nearly 250,000 people suffer serious injuries in crashes each year. The
National Highway Traffic Safety Administration (NHTSA) conducts research
on such injuries both by laboratory biomechanical studies and by
detailed medical & engineering research on several hundred real world
crashes each year. The latter research is conducted by universities
under NHTSA\'s Crash Injury Research and Engineering Network (CIREN)
program. CIREN research has demonstrated a need for software to aid
medical and engineering researchers to more easily and consistently
calculate crash forces from crash reconstructions and observed injuries.
High capacity, economical and easy-to-use software for this purpose
currently does not exist. Upon development, such software is expected to
have wider application in crash injury research.

With the growing availability of vehicle Event Data Recorders (EDRs)
that provide crash pulse characteristics to CIREN researchers, it should
now be possible to improve crash reconstructions of serious injury
mechanisms that occur in fractions of a second. Of particular importance
is the ability to relate occupant-vehicle impact dynamics to occupant
contact loads and the resulting injuries. Software is needed that can
use specific data on crashed vehicles and specific anthropomorphic data
on the injured victim to compute occupant kinematics and forces that
produced the observed injuries with a reasonable degree of accuracy. The
need is for software that integrates knowledge of the biomechanics of
crash injuries and simplifies the reconstruction of crash injury
mechanisms.

Proposals for the Phase I research effort should be based on concepts
for utilization of specific hardware, preferably PC based, and software.
The proposal should suggest a viable feasibility study of any proposed
concepts. The proposal should describe how the concept would provide an
easy-to-use software package that would be capable of using the rich
data on crashed vehicles, victim anthropometry, and occupant injuries
that is available in CIREN studies. Upon successful completion of Phase
I, the actual development of the chosen concept may be undertaken.

**Error: Reference source not found02-NH2 [DEVELOPMENT OF DYNAMIC 3D
SURFACE MAPPING SYSTEM]{.underline}**

NHTSA routinely conducts full-scale vehicle crash tests to determine
both the structural crashworthiness of vehicles and their ability to
protect vehicle occupants from serious injury. Detailed knowledge of the
dynamic intrusion of vehicle structures (e.g., footwell, steering
assembly, instrument panels, knee bolsters, side door structures, and
brake pedal) would be of significant value to the Agency in evaluating
vehicle crash performance. Present techniques available for such
measurements are limited in capability.

Thus NHTSA seeks a system which can dynamically and simultaneously track
multiple points on an intruding vehicle structure, and which can
reconstruct the shape of this intruding structure in 3D.

A typical application of such a system would be to map the surface
geometry of an intruding vehicle footwell and foot controls in a frontal
offset test, with reference to a coordinate system attached to the
undisturbed floorpan of the vehicle.

Availability of line of sight between the measurement system and the
surface of interest could be provided, if necessary. For the above case
in which the intruding footwell surface is to be tracked, for example,
crash test dummies and/or vehicle seats could be selectively removed
from the vehicle.

[General system performance requirements]{.underline} are as follows:

-   3D tracking capability at each point location

-   Accuracy: + or - 3 mm Root Mean Square (RMS)

-   Resolution: 2 to 3 inch surface point spacing

-   Bandwidth: Consistent with SAE J211 Class 600; estimated required
    sampling frequency of 5 kHz

-   Environmental: 40-120 degrees F; shock tolerance consistent with 25
    repeated vehicle crashes at NCAP (New Car Assessment Program) test
    severity (35mph rigid barrier tests)

-   Integral means for self-check and self-calibration

-   Integral software for graphical surface reconstruction and plotting

It is desired that the efforts of Phase I will provide clear proof of
concept, in the form of working prototype assemblies, so that full
development can be pursued in a Phase II effort. The actual development
of the chosen concept may be pursued upon successful completion of Phase
I.

**Error: Reference source not found02-NH3 [Vehicle based system to
increase seat belt us]{.underline}**[e]{.underline}

seat belt use in the U.S. is currently about 73 percent, compared to
much higher use rates in other industrialized nations. The lifesaving
benefits of restraint system use are well known, yet a significant
proportion of the motoring public chooses not to use restraints, causing
unnecessary loss of life, disabling injuries, and significant
healthcare, disability, and other costs that are borne by our society.
Only 44 percent of fatally injured occupants use safety belts. Current
attempts to increase seat belt use are based on laws requiring restraint
use, enforcement of those laws, and public information and education.

Vehicle based systems offer a potential alternative approach to
increasing restraint system use. It should be possible to use the well
known principles of human factors design and engineering to design
vehicle restraint systems that actually encourage restraint system use.
Vehicle based systems could take a variety of forms, including enhanced
reminder systems (increasingly noticeable sounds and lights), equipment
lock-out systems (e.g., sound systems or climate controls), or system
access delays (e.g., delayed start), among other approaches. Any vehicle
based system designed to increase restraint system use would need to
meet public acceptability issues and not inconvenience persons who use
their safety belts, not impair driver and passenger response to
emergency, life-threatening situations, yet still offer the potential to
significantly increase restraint system use. Other constraints on the
development of such a system include the need for any approach
considered to withstand normal circumvention attempts and not
substantially increase the cost of a vehicle.

Proposals for the Phase I research effort should be based on concepts
for utilization of specific hardware and software. The proposal should
suggest a viable feasibility study of any proposed concepts and should
describe how the concept would provide real-time identification of
vehicles operating illegally. Upon successful completion of Phase I, the
actual development of the chosen concept may be undertaken.

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

^2^ Phase I may be up to \$100,000 and Phase II may be up to \$400,000

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

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

# IX. SUBMISSION FORMS AND CERTIFICATIONS

### 1. PROPOSAL COVER SHEET Appendix A

### 

### 2. PROJECT SUMMARY Appendix B

### 

### 3. CONTRACT PRICING PROPOSAL Appendix C

### 

### 4. PROPOSAL CHECKLIST Appendix D

### 

### 5. PROPOSAL ACKNOWLEDGEMENT FORM Appendix E 

APPENDIX A

**U.S. DEPARTMENT OF TRANSPORTATION**

## SMALL BUSINESS INNOVATION RESEARCH PROGRAM

## SOLICITATION NO. DTRS57-02-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 IIB; and that it
Yes\_\_\_\_\_\_\_ No\_\_\_\_\_\_\_

meets the eligibility requirement in Section IC.

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. DTRS57-02-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. DTRS57-02-R-SBIR

# CONTRACT PRICING PROPOSAL

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

APPENDIX C Continued

**U.S. DEPARTMENT OF TRANSPORTATION**

## SMALL BUSINESS INNOVATION RESEARCH PROGRAM

**CONTRACT PRICING PROPOSAL**

**Background**

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

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

1\. Name of proposer

2\. Address of proposer

3\. Location where work will be performed

4\. Proposer\'s Project Title

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

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

7\. Direct material costs

a\. Purchased parts (dollars)

b\. Subcontracted items (dollars)

c\. Other

\(1\) Raw materials (dollars)

\(2\) Standard commercial items (dollars)

d\. Total direct materials (dollars)

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

9\. Direct labor (specify)

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

b\. Total estimated direct labor (dollars)

10\. Labor overhead

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

b\. Total estimated labor overhead (dollars)

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

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

b\. Estimated total special testing (dollars)

12\. Other special equipment

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

b\. Estimated total other special equipment (dollars)

APPENDIX C Continued

13\. Travel (if direct charge)

a\. Transportation (detailed breakdown and dollars)

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

c\. Estimated total travel (dollars)

14\. Consultants Service

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

b\. Total estimated consultant service costs (dollars)

15\. Other direct costs (specify)

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

16\. General and administrative expense

a\. Percentage rate applied

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

17\. Royalties (specify)

a\. Estimated cost (dollars)

18\. Fee or profit (dollars)

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

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

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

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

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

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

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

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

(See Section III.F)

24\. Tax Identification Number, if available.

APPENDIX D

**U.S. DEPARTMENT OF TRANSPORTATION**

## SMALL BUSINESS INNOVATION RESEARCH PROGRAM

## SOLICITATION NO. DTRS57-02-R-SBIR

## 

# PROPOSAL CHECKLIST

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

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

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

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

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

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

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

\_\_\_\_ 7. The proposal contains no type smaller than 10 point font
size (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 card on the back
cover of the solicitation has been detached, filled out and included
with the proposal package.

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

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

\_\_\_\_ 15. The proposal must be postmarked (or delivered to the DOT
SBIR Program Office) no later than May 1, 2002 as required (see Section
VI.A). If submitted electronically, the proposal must be received by May
1, 2002, as well.

+-----------------------------------------------------------------------+
| APPENDIX E                                                            |
|                                                                       |
| **DOT SBIR PROGRAM SOLICITATION**                                     |
|                                                                       |
| **DTRS57-02-R-SBIR**                                                  |
+-----------------------------------------------------------------------+
| TO BE FILLED OUT BY THE PROPOSER:                                     |
|                                                                       |
| Project Title                                                         |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\                                           |
| _\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
|                                                                       |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\                       |
| _\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
+-----------------------------------------------------------------------+
| TO BE FILLED OUT BY THE DEPARTMENT OF TRANSPORTATION:                 |
|                                                                       |
| Date Received \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Proposal No.     |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_                                        |
+-----------------------------------------------------------------------+

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

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

[^2]: Phase I may be up to \$100,000 and Phase II may be up to \$400,000

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

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