Introduction
Preparing a Phase I proposal for the U.S. Department of Transportation’s (DOT) SBIR program is a time-sensitive, detail-driven process. While the technical idea matters, successful applicants stand out by staying organized, meeting every requirement, and understanding how DOT’s process differs from other agencies. This checklist walks you through what to do—and when—to make sure your proposal is complete, compliant, and competitive. Whether you’re new to DOT SBIR or looking to improve your process, this guide will help you plan with confidence from day one to deadline.
Start Early: 90+ Days Before Deadline
The most common mistake new applicants make is waiting too long to begin. To stay on track and reduce last-minute stress, aim to start your prep at least three months before the deadline.
Confirm Eligibility and Assign Roles
Before anything else, confirm that your company qualifies as a Small Business Concern (SBC) under SBIR rules: U.S.-owned, for-profit, and under 500 employees. If you’re eligible, assign the three key players:
- Principal Investigator (PI): Leads the research and writes the technical sections.
- Business Lead: Handles registrations, budget, and forms.
- Grant Writer/Editor (optional): Reviews for clarity, formatting, and compliance.
Clear role definitions upfront help keep the process efficient and collaborative.
Complete Registrations
Start these registrations early—they can take weeks to complete:
- SAM.gov: Register your company and obtain a Unique Entity ID (UEI).
- SBA Company Registry: Required for all SBIR applicants; save the confirmation PDF.
- Grants.gov: Create both an organization and individual account.
- DOT Portal (if applicable): Some DOT solicitations require submissions via a separate portal. Check in advance and create credentials.
Understand the Solicitation and Build a Schedule
Once the DOT releases its Phase I solicitation, you’ll need to move quickly—but not blindly. The key is to understand the agency’s expectations and build a backward schedule that gives your team enough time to write a strong, compliant proposal.
Study the Solicitation Timeline
DOT typically releases one SBIR Phase I solicitation per year. When it drops, review the full document—not just the topic list. Look for page limits, formatting requirements, and any special evaluation criteria. Mark the deadline on your calendar and work backward:
- Proposal outline complete: 60 days out
- Full first draft ready: 30 days out
- Final formatting and compliance: 14 days out
If the solicitation isn’t released yet, study past topics and awards. These often hint at the kinds of problems DOT agencies are prioritizing—whether it’s traffic safety, infrastructure resilience, or emissions reduction.
Create Your Proposal Framework
Before writing, build a shell outline using the DOT’s required structure. Typical sections include:
- Cover Sheet
- Summary of Objectives
- Technical Approach (including Work Plan)
- Related R&D
- Key Personnel
- Facilities and Equipment
- Potential Commercial Applications
- Budget and Budget Justification
- Required Appendices (resumes, certifications)
Sharing this outline with your team ensures everyone knows what content is needed and where it belongs.
SBIR awards are not loans—they’re grants or contracts.
Missing sections or misordered content can result in automatic rejection, even if your idea is strong.
Begin Drafting: 60–30 Days Before Deadline
With your outline in place, it’s time to start writing the core sections of the proposal. This phase is where your technical concept and business vision take shape—and where reviewers begin forming their opinions.
Write the Technical Sections
Your Principal Investigator should lead this effort. Focus on three key areas:
- Research Plan: Clearly state your Phase I objectives and how you will test feasibility. Break the work into discrete tasks with specific milestones (e.g., design validation, simulation output).
- Work Plan: For each task, describe who will do the work, how, and where. Include timelines and deliverables.
- Innovation and Background: Show you understand the state of the art and where your idea fits. Reference existing literature and explain what makes your approach different—not just better.
Also, summarize your team’s qualifications. Highlight relevant experience in the Key Personnel section and attach short resumes if allowed.
Begin Commercialization Plan
This section, often called “Potential Post Applications,” is your chance to show that your idea has a real market. Identify the end-users (e.g., transit agencies, DOT field offices) and describe the specific problem you’re solving for them. Quantify potential benefits like safety gains or operational cost savings. Mention any interest from strategic partners, if you have it.
Draft Your Budget
Start early to make sure your budget supports your Work Plan:
- Include all personnel, labor hours, and rates (PI must have a significant role).
- Estimate costs for materials, consultants, and (if necessary) travel.
- Stay under the Phase I cap (typically ~$150,000).
- Keep outside subcontracting under 33% of the total.
Make sure your budget aligns with your Work Plan.
Reviewers often cross-check tasks against cost—mismatches raise red flags.
Refine and Review: 30–14 Days Before Deadline
By this stage, your full draft should be complete. Now it’s time to refine the content, check alignment with evaluation criteria, and polish the proposal for clarity and impact.
Conduct Internal Reviews
Send the draft to at least two reviewers:
- A technical expert who can verify feasibility and spot weaknesses in your R&D plan.
- A non-expert or mentor who can provide feedback on clarity and persuasiveness.
If you have access to a Small Business Development Center (SBDC) or SBIR support resource, now’s the time to get their input.
Polish for Evaluation Criteria
Revisit the DOT solicitation’s review rubric—typically it covers:
- Technical merit and innovation
- Feasibility of the approach
- Team qualifications
- Commercial potential
Refine any weak sections. Make sure milestones are specific and measurable. If innovation isn’t obvious, clarify how your solution is new or differentiated.
Consider adding visuals if permitted—charts or simple diagrams can boost understanding when space allows.
Finalize Budget and All Forms
Now is also the time to ensure every part of your budget ties back to your technical plan. Update any numbers that have changed and double-check the justification. Confirm that your proposal includes:
- All required appendices (e.g., bios, letters of interest)
- Signed certifications (like SBIR Funding Agreement Certification)
- Disclosure of similar proposals (if applicable)
Final Compliance Check and Submission
In the final two weeks, focus on tightening every loose end. At this stage, small administrative mistakes can cost you the opportunity—so it’s worth double-checking everything.
Verify All Attachments and Formatting
Use the solicitation as your master checklist. Your complete submission should include:
- The fully formatted Technical Proposal
- A finalized Budget (Cost Proposal) form with UEI and Tax ID
- SBIR Funding Agreement Certification
- SBA Company Registry confirmation PDF
- Any other required forms, appendices, or documents (e.g., resumes, letters of support)
Each file must follow naming, format, and size rules exactly. A single out-of-order section or noncompliant file can lead to rejection.
Missing or misformatted documents can disqualify your proposal—regardless of technical merit.
Follow the instructions line-by-line.
Submit Early and Monitor
Log into the submission portal—whether it’s Grants.gov or DOT’s internal system—and make sure your credentials work. Fill in all metadata (title, PI, abstract) and save your progress as a draft.
Submit at least 48 hours before the deadline.
This gives you time to fix upload issues, file size errors, or account permissions problems.
Once submitted, confirm you receive a submission receipt and download proof of acceptance. Save everything—just in case.