1. Stimulating Innovation and the U.S. Economy through U.S. Department of Transportation’s Small Business Innovation Research (SBIR) Program 2011 National SBIR/STTR Fall Conference, New Orleans, LA November 6 - 9, 2011

2. How SBIR Supports the Mission of DOT SBIR is key element of DOT’s R&D Program that addresses high priority research gaps Research topics are developed to align with Secretary LaHood’s strategic priorities and SBA guidance (manufacturing and energy efficiency/renewable energy) while also incorporating specific modal priorities –Distracted driving –Rail safety –“Green” technologies Clockwise from top: distraction.gov image, Wikimedia commons image, Volpe Center photo. 2

3. Snapshot of participation in U.S. DOT’s SBIR Program by Operating Administration 2008 2009 2010 2011 Federal Aviation Administration* -- -- X -- Federal Highway Administration X X X X Federal Railroad Administration X X X X Federal Transit Administration X X X X Federal Motor Carrier Safety Administration X X X X National Highway Traffic Safety Administration X X X X Research and Innovative Technology Administration/ITS Joint Program Office** -- X X X Pipeline and Hazardous Material Safety X X X X Administration Maritime Administration -- -- -- -- St. Lawrence Seaway Development Corporation -- -- -- -- *Excused by Legislation: FAA contributed to the U.S. DOT’s SBIR Program from 1985 to 2005. **The Research and Innovative Technology Administration administers the SBIR Program through the Volpe National Transportation Systems Center. 3

4. 2012 Solicitation Schedule 2012.1 Solicitation –2012.1 Solicitation OpensOctober 11, 2011 –2012.1 Solicitation ClosesDecember 12, 2011 –Completed Technical Evaluations & Recommendations for Award DueFebruary 13, 2012 –Awards ProcessedFebruary - March 2012 2012.2 Solicitation –Call for topics distributed to DOT agenciesJanuary 9, 2012 –Topic descriptions due to the SBIR Program OfficeFebruary 24, 2012 –2012.2 Solicitation OpensApril 2, 2012 –2012.2 Solicitation ClosesJune 5, 2012 –Completed Technical Evaluations & Recommendations for Award DueJuly 16, 2012 –Awards ProcessedAugust/Sept. 2012 4

5. 12.1 Solicitation Research Topics 5 Topic Number & TitleMaximum Number of Anticipated Awards Estimated Award Amount Phase I Estimated Award Amount Phase II Federal Highway Administration 12.1-FH1 Coating Existing Concrete Barriers to Reduce Rollover Potential2 $150K $1M 12.1-FH2 Fast Real Time Positioning using GNSS1 $150K $750K Federal Motor Carrier Safety Administration 12.1-FM1 Communicating Towed unit (Trailer) Vehicle Identification Number(s) (VIN) to the Powered Unit 1 $150K $600K 12.1-FM2 Innovative Solutions to Effectively Enforce Anti-texting Rules on Commercial Motor Vehicles (CMV) Drivers 1$150K $600K Federal Railroad Administration 12.1-FR1 Locomotive Engine Exhaust Emissions Reduction Technology 1$150K$700K 12.1-FR2 Electronically Controlled Pneumatic Brake System Adaptor Development 1$150K$700K 12.1-FR3 Advanced Locomotive Energy Storage System 1$150K$700K Federal Transit Administration/Research and Innovative Technology Administration 12.1-FT/RT1 Improved Transit Rider Experience 2$103K $750K Pipeline and Hazardous Materials Safety Administration  Focus area 1 12.1-PH1Seal Sensor Network for Point-of-Source Leak Detection  Focus area 2 12.1-PH1Pipeline Systems with Integrated Health Monitoring  Focus area 3 12.1-PH1Study, Develop and Demonstrate a Multi-channel Insert and Assembly for Cased Pipelines 3$150K$800K http://www.volpe.dot.gov/sbir

6. DOT Solicitation Process Solicitations are posted on the website at http://www.volpe.dot.gov/sbir and FedBiz Ops http://www.volpe.dot.gov/sbir Requests for clarifications/questions on research topics can be submitted to the Program Office staff Submission of proposals via secured website is a requirement Recommendations for award are posted on website approximately 10-12 weeks after Solicitation is closed Program Office does not accept unsolicited proposals 6

7. Phase I Proposal Submission Process DO’S Read the Solicitation and follow all the instructions for submission Follow the procedures for requesting clarifications/questions on research topics Submit your proposals early Ensure your proposal aligns with the scope of the research topic Check to ensure completed appendices are all included Sign both technical and cost proposal Provide qualifications for key personnel other than PI Submit completed proposal via secure website Obtain CCR and DUNs numbers prior to proposal submission 7

8. Phase I Proposal Submission Process DON’TS Proposals will not be accepted via email Do not send duplicate proposals The Program Office will not provide guidance on whether or not your company should submit a proposal Requests for extensions will not be approved Create arbitrary overhead, indirect or profit rates, be ready to provide the Government evidence and rationale to support the rate(s) Wait until the deadline to submit your proposal 8

9. DOT SBIR Program – Proposal Evaluation Process – Phase I Evaluation teams are established for each research topic Teams are comprised of 3 federal employees who are subject matter experts (SMEs) Teams have 60 days to complete evaluations and submit to the Program Office Four evaluation factors: –Scientific and Technical Merit –Adequacy of the Work Plan –Qualifications of the Investigators –Adequacy of the Supporting Staff and Facilities Award Process – 8-10 weeks from receipt of completed evaluations and recommendations for award 9

10. SBIR Program - Goals for FY 2012 Greater emphasis on commercialization – re-engineered Phase II proposal requirements and evaluation criteria Collaborate with NIST MEP on Phase II, II B projects when appropriate Pilot Phase IIB Bridge Financing Program to further accelerate commercialization of program’s innovations Expedite processing of Phase II contracts by using various contract types Establish a pilot SBIR Technology Transfer (TT) approach that optimizes commercialization potential while expanding Federal TT Be poised to implement policy/process changes resulting from impending SBIR Reauthorization 10

11. Opportunities outside of DOT SBIR Program University Transportation Center Program – http://utc.dot.govhttp://utc.dot.gov Transportation Research Board – http://www.trb.orghttp://www.trb.org Fed Biz Ops – http://www.fbo.govhttp://www.fbo.gov DOT/Office of Small and Disadvantaged Business Utilization – http://www.osdbu.dot.gov http://www.osdbu.dot.gov Challenge.gov Check DOT agency websites for BAAs, RFIs and other research opportunities 11

12. U.S. DOT SBIR Contact Information Leisa Moniz, Program Director Leisa.moniz@dot.gov 617.494.3793 Linda Duck, Program Office Analyst Linda.duck@dot.gov 617.494.3435 Don MacGee, Program Contracting Officer Donald.MacGee@dot.gov 617.494.2803 http://www.volpe.dot.gov/sbir 12