DOT SBIR Proposal Guide: Phase I & II Rules

Introduction

Submitting a proposal to the U.S. Department of Transportation (DOT) under the Small Business Innovation Research (SBIR) program requires more than just a great idea. To move your proposal through administrative review and into the hands of technical evaluators, you must follow a detailed set of formatting and documentation requirements—requirements that differ in key ways between Phase I and Phase II.

This guide breaks down those requirements so your team can focus on what really matters: writing a compelling, fundable proposal. Whether you’re pursuing Phase I feasibility funding or advancing to a Phase II development contract, attention to submission structure, page limits, and required attachments can make or break your application. Here’s what you need to know to stay compliant and competitive.

Submission Structure and File Packaging

Every DOT SBIR proposal must be submitted as a set of properly labeled, correctly formatted files. These requirements vary between Phase I and Phase II—but both demand careful organization. Mislabeling a file or uploading the wrong format can disqualify your proposal before it’s even read.

Required Files and Their Contents (Phase I vs. Phase II)

For Phase I, DOT expects:

• A single PDF containing the Technical Proposal, including the SBA Company Registry confirmation
• A combined PDF for Appendices A & B (Cover Sheet and Project Summary)
• An Excel file for the Cost Proposal using DOT’s template
• A separate PDF with Cost Proposal Supporting Documentation

For Phase II, the submission is typically:

• A PDF for the Technical Proposal, which includes the main narrative and Commercialization Plan
• A combined PDF for all Appendices, including the Cover Sheet, Summary, and any required forms (e.g., human subjects, prior awards)
• A Cost Proposal, usually in Excel or PDF format as specified

The DOT solicitation will always detail which files to submit and in what format. Read this section closely—failure to follow file packaging instructions is a common reason for administrative rejection.

How to Label and Assemble Files

Each file should follow the naming and content structure defined in the solicitation. Some common tips:

• Number pages consecutively within each PDF, including the cover page.
• Do not insert unrequested appendices or lengthy resumes—extra content can disqualify your proposal or count against your page limit.
• The SBA Company Registry confirmation page must be included with your Technical Proposal file, typically as page 1 for Phase I.

Formatting Rules That Apply to All Proposals

DOT SBIR proposals must follow specific formatting requirements designed to streamline review and ensure consistency across submissions. These rules apply to both Phase I and Phase II, and non-compliance can lead to disqualification—even if your technical content is strong.

Page Limits and What’s Excluded

The Technical Proposal has strict page limits:

• Phase I: 15 pages max
• Phase II: 25 pages max for the technical narrative; 50 pages total including appendices

Attachments like the SBA Company Registry, the Cover Sheet (Appendix A), and the Project Summary (Appendix B) do not count toward the page limit. If required, the Prior Phase II Awards List is also excluded. However, any additional narrative content, tables, or figures does count and must fit within the limit.

Evaluators are instructed to disregard content beyond the allowed page count. Your most critical information must fit inside the allowed space—there are no exceptions.

Important
Any content beyond the allowed page count will not be evaluated.

Font, Layout, Margins, and Graphics

Use these formatting standards:

• Paper Size: 8.5″ x 11″
• Margins: 1 inch on all sides
• Font: Minimum 10-point across all text, including captions and headers
• Spacing: Single-spaced is common, but readability is key—avoid dense or crammed layouts
• Graphics: Figures, charts, and tables are permitted but count toward your page limit; make sure all text is legible at print scale

Each document must be consecutively page-numbered, starting from the cover page. If a Table of Contents is included (optional), it typically does not count against your page limit—but check the current solicitation to confirm.

Core Narrative Sections (Technical Proposal)

The technical narrative is the backbone of your DOT SBIR proposal. It’s where reviewers assess the feasibility, innovation, and relevance of your work. Both Phase I and Phase II proposals follow a structured format, though Phase II includes additional elements to address commercialization.

Phase I Requirements

Phase I proposals focus on feasibility. Your Technical Proposal should include these standard sections (use the section titles specified in the solicitation):

• Identification of the Problem or Opportunity
• Technical Objectives
• Work Plan (must align with the budget and timeline)
• Related Research or R&D
• Key Personnel and Organizational Qualifications
• Relationship with Future R&D (Phase II follow-on potential)
• Facilities and Equipment
• Subcontractors/Consultants (if applicable)
• Potential Post-Application Markets
• Prior SBIR Awards (if required)

This document is limited to 15 pages, including figures, tables, and references. Brevity and clarity are essential. Use graphics judiciously—if they crowd out space for required sections, they’ll hurt rather than help.

Phase II Requirements

Phase II proposals expand on the technical content and must include detailed plans for commercialization. Core narrative elements include all Phase I sections, plus:

• Commercialization Strategy/Plan
• Company Commercialization Record
• Results from Phase I Work
• Letters of Support from Partners or Investors (often as appendices)

The narrative is capped at 25 pages, with a total limit of 50 pages for all materials. Within that, the Commercialization Plan should be ~4 pages. DOT strongly prefers concise, clearly structured plans that describe how you’ll reach real-world deployment.

Budget Documentation (Cost Proposal)

A strong technical proposal won’t get funded if your budget isn’t compliant. DOT requires applicants to use its official cost proposal templates and to submit detailed supporting documentation. This applies to both Phase I and Phase II.

How to Complete the Cost Spreadsheet

Use the DOT-provided Contract Pricing Worksheet (Appendix C). You must complete all required fields—don’t modify the structure.

For Phase I, this Excel file should include:

• Labor hours and rates
• Equipment, materials, and supplies
• Travel
• Indirect costs (with calculation method)
• Profit (if applicable)
• Total amount requested (must not exceed the published cap)

For Phase II, the same general structure applies, but the allowable budget is much larger. Be sure to read the current solicitation for the exact limit (often ~$1,000,000).

Stay Under the Cap
Do not exceed the stated budget cap—over-budget proposals are rejected without review.

You must also include your Tax ID (EIN) and Unique Entity ID (UEI) on the form. If your UEI is pending, indicate “Pending,” but submit proof of registration if possible.

Supporting Documentation Requirements

In addition to the spreadsheet, DOT requires a Cost Proposal Supporting Documentation file (PDF). This file should include:

• Quotes from vendors or service providers
• Subcontractor budgets and justifications
• Indirect rate calculations or approved rate agreements
• Explanation for any unusual costs

There is no page limit for this supporting file, but it must align precisely with the figures in your spreadsheet. Missing or inconsistent cost justification is a frequent reason proposals are flagged for administrative issues—even if they’re technically sound.

Attachments, Certifications, and Compliance Forms

DOT SBIR proposals require several attachments and compliance forms beyond the technical and cost proposals. These documents vary slightly between Phase I and Phase II but must be complete, correctly formatted, and included in the proper file.

Mandatory Attachments

These items are required for all proposals:

• SBA Company Registry Confirmation Page: Proof of registration at sbir.gov. For Phase I, this should be the first page of your Technical Proposal PDF. It does not count against the page limit.
• Cover Sheet (Appendix A): Must use the official DOT template. Includes topic number and title, your company info, and a signature. Often counts as pages 1–2 in your submission.
• Project Summary (Appendix B): A one-page summary describing your technical approach and anticipated results. Avoid proprietary content—this may be published.

Failure to include any of these documents can result in administrative rejection.

Other Required Forms (If Applicable)

• SBIR Funding Agreement Certification: Certifies your eligibility under SBIR rules. Check the solicitation—this may be collected through the portal or submitted as Appendix D.
• Prior Phase II Awards List: Required if your firm has received more than 15 Phase II awards in the past 5 years. It does not count toward the page limit.
• Human Subjects or Animal Research Forms: Use Appendix F if your project involves human testing or interaction. IRB documentation may be required.
• Letters of Support or MOUs: Especially valuable in Phase II. Include them in the appendices—do not place them in the technical narrative.

Avoiding Rejection: Top Administrative Errors

The DOT SBIR program is highly competitive—and unforgiving when it comes to administrative compliance. Even a technically strong proposal can be rejected before review if it misses a critical detail. Here’s how to stay in the clear.

Common Mistakes That Trigger Rejection

• Late Submission: DOT strictly enforces its deadlines. Submissions even seconds late are automatically rejected. Plan to submit at least 24–48 hours early to buffer against upload or technical issues.
• Missing or Misplaced Attachments: Leaving out the SBA registry confirmation, budget documentation, or required forms like the Funding Agreement Certification can disqualify your offer. Triple-check the solicitation checklist.
• Over Budget: Proposals exceeding the published funding cap are rejected without review. Double-check your totals, including profit or fee lines.
• Incorrect Page Counts or Formats: If your Technical Proposal exceeds the page limit, any extra content is not reviewed—and may lead to rejection. Be cautious with tables, figures, and embedded appendices.
• Wrong File Types or Templates: Using non-DOT templates or submitting files in unapproved formats (e.g., Word instead of PDF) is non-compliant. Use only the forms provided in the solicitation.

Best Practices for Compliance

• Use the Pre-Submission Checklist: Many DOT solicitations include an official checklist. Use it. Even if you’ve submitted before, small updates in forms or file structure can change year to year.
• Read the Solicitation Line by Line: Instructions are embedded throughout the document—not just in the section labeled “How to Apply.”
• Have a Second Pair of Eyes Review: A colleague unfamiliar with your proposal may catch formatting or structural issues you missed.

Conclusion and Final Tips

Submitting a compliant and competitive SBIR proposal to the U.S. Department of Transportation requires more than good science—it requires precision in formatting, structure, and documentation. Many strong projects fail not because the technology is weak, but because the proposal didn’t follow instructions.

Here are the most important takeaways:

• Start early. Rushing invites mistakes. Give your team at least 4–6 weeks for proposal development.
• Use the correct templates. Every form—from the cover sheet to the budget spreadsheet—must match what DOT provides in the solicitation.
• Know your limits. Stay within the page and budget caps. Avoid “extra” content unless the solicitation explicitly allows it.
• Double-check your attachments. A missing certification or registry confirmation can eliminate your proposal before it’s even read.
• Plan to submit early. Don’t risk last-minute upload issues. DOT does not make exceptions for technical glitches.

Above all, remember that administrative compliance is just as important as technical innovation. By following the structure and strategies outlined in this guide, you’ll increase your chances of clearing the first—and often most difficult—hurdle: getting your proposal into review.