Complete the proposal cover sheet in Appendix A as pages 1 and 2 of your proposal. Number all pages consecutively, beginning with the proposal cover sheet.

Complete the project summary sheet in Appendix B as page 3 of your proposal. Project summaries of successful proposals may be published by the U.S. DOT and should not contain classified or proprietary information.

The project summary should include:

1. A technical abstract with a brief statement of the problem or opportunity, project objectives, and description of the effort. The technical abstract must be limited to 200 words in the space provided on the project summary sheet. Any statements beyond the 200-word limit will not be considered for award purposes. Please note the word count at the end of the abstract in parentheses.

2. Anticipated results and potential applications of the proposed research. 

Your submitted proposal must include the following headings in bold. In cases where a section does not apply, please state "Not Applicable."

1. Identification and Significance of the Problem or Opportunity
   State the specific technical problem or innovative research opportunity addressed and the potential benefit to the national transportation system.

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

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

4. Related Research or R&D
   Describe significant R/R&D that is directly related to the proposal, including any conducted by the Project Manager/Principal Investigator or by the proposing firm. Describe how it relates to the proposed effort and any planned coordination with outside sources. You must persuade reviewers of your awareness of key recent R/R&D conducted by others in the specific topic area.

5. Key Personnel and Bibliography of Directly Related Work
   Identify key personnel involved in Phase I, including their directly related education, experience, and bibliographic information. Where vitae are extensive, you may need to provide summaries that focus on the most relevant experience or publications in order to meet page limitations.

6. Relationship with Future Research and Development
   State the anticipated results of the proposed approach if the project is successful (Phase I and Phase II). Discuss the significance of the Phase I effort in providing a foundation for a Phase II R/R&D effort.

7. Facilities
   Provide a detailed description of the availability and location of instrumentation and physical facilities proposed for Phase I.

8. Consultants
   Consultants are permitted to conduct up to one-third of the work in the planning and research stages of the project. Describe any intended consultant involvement in detail. 

9. Potential Post Applications
   Briefly describe whether and how the proposed project appears to have (1) potential commercial application, and (2) potential usefulness to the federal government.

10. Similar Proposals or Awards
    While you are allowed to submit identical proposals or proposals containing a significant amount of essentially equivalent work for consideration under numerous federal program solicitations (as long as you notify funding agencies), 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 you elect to submit similar or identical proposals or proposals containing equivalent work under other federal program solicitations, you must include a statement in each proposal indicating:

• The name and address of the agencies to which proposals were submitted or from which awards were received
• Date(s) of proposal submission or date of award
• Title, number, and date of SBIR program solicitations under which proposals were submitted or awards received
• The applicable research topics for each SBIR proposal submitted or award received
• Titles of research projects

11. Prior SBIR Phase II Awards
    If the SBC has received more than a total of 15 Phase II awards in the prior five fiscal years, submit the name of the 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. Provide name and title of Project Manager or Principal Investigator for each proposal submitted or award received. Required proposal information in item #11 will not count towards the page limitation.

Consistent with FAR Part 23, you must include the following provision in your technical proposal, which will constitute the Statement of Work (SOW) under any contract award resulting from this solicitation under Phase I or II. Inclusion of this general requirement does not relieve you from includingl explicit sustainability requirements in your proposa that are applicable to the required services being offered (see Biobased website).

Sustainable Acquisition Requirement: To the maximum extent possible and consistent with Federal Acquisition Regulations Part 23, during the performance of the work required under this technical proposal, the SBC will provide or use products that are: energy efficient (ENERGY STAR® or Federal Energy Management Program (FEMA)-designated); water-efficient; biobased; environmentally preferable (e.g., EPEAT-registered, or non-toxic or less toxic alternatives); non-ozone depleting; or made with recovered materials. Unless otherwise identified in this technical proposal, each recovered materials or biobased product provided and delivered must meet, but may exceed, the minimum recovered materials or biobased content of an EPA- or USDA-designated product. The sustainable acquisition requirements specified herein apply only to products that are required to be: (1) delivered to the Government during performance; (2) acquired by the SBC for use in performing services (including construction) at Federally-controlled facility; (3) furnished by the SBC for use by the Government; or (4) specified in the design of work, or incorporated during its construction, renovation, or maintenance.

Submit a detailed firm fixed price Phase I Contract Pricing Proposal (Schedule 1), using the template provided in Appendix C.

Note: SBIR awards use firm fixed price contracts. 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 U.S. DOT to understand how you plan to use the requested funds if the contract is awarded. Phase I contract awards may include profit.

You must note your Tax Identification number and DUNS identification number on Appendix C, Contract Pricing Proposal, and Schedule 1. The DUNS number is assigned by Dun & Bradstreet, Inc. This required proposal information does not count towards the page limitation.

This required proposal information will not be counted towards the page limitation. Appendix D. 

SBA Company Registry Confirmation

The confirmation of database registration at the end of the proposal as a .pdf document. This required proposal information will not be counted towards the page limitation.