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:
To stimulate technological innovation;
To use small business to meet Federal research and development needs;
To increase private sector commercialization of innovations derived from Federal research and development; and
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.
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.
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).
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.
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 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.
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. Department of Transportation
Research and Special Programs Administration
John A. Volpe National Transportation Systems Center
55 Broadway
Cambridge, MA 02142-1093
Phone: 617/494-2051
Fax: 617/494-2370
E-Mail: joseph.henebury@dot.gov
Volpe Center Web Site: http://www.volpe.dot.gov/sbir
