FY2026_DOT SBIR Phase I Solicitation_June2026.pdf

FY 2026

Small Business Innovation Research (SBIR) Program

FY 2026 PHASE I PROGRAM

SOLICITATION

Solicitation #: 6913G626QSBIR1

Issue Date: June 3, 2026 Closing Date: July 7, 2026, 3:00 p.m. ET

Small Business Innovation Research (SBIR) Program U.S. Department of Transportation (U.S. DOT) Office of the Assistant Secretary for Research and Technology John A. Volpe National Transportation Systems Center (Volpe Center) 220 Binney Street Cambridge, MA 02142-1093

U.S. DOT FY 2026 PHASE I SOLICITATION

SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM

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IMPORTANT INFORMATION

This Solicitation is for Phase I ONLY

Key Dates Date Description

June 3, 2026 Solicitation Open Date June 3, 2026 Pre-solicitation Questions & Answers (Q&A) available June 9, 2026, 5:00 p.m. ET Registration Deadline for Solicitation Webinar June 10, 2026, 1:00 p.m. ET Solicitation Webinar June 30, 2026, 3:00 p.m. ET Administrative Questions Due July 7, 2026, 3:00 p.m. ET Solicitation Closing / Proposal Submissions Due

Amendments to Topics The proposed topic list shared during the pre-solicitation has been amended for the U.S. DOT FY26 Phase I Solicitation as follows:

• Topic 26-FH1: Edge AI-V2X Integrated Practical Solutions for Congestion Prevention and Mitigation, has been updated with clarifications on what the topic seeks to develop including more specifics on expected functionalities, desired outcomes, and expectations for the Phase I final report. Additional details are also provided for the Phase II desired outcomes.

• Topic 26-FH2: Automated Mobile Catch-basin Inspection System, has been updated with clarifications in the Topic Description.

• Topic 26-FR1: Mobile High-Power Emergency BESS De-energizer System for Rail Vehicle Propulsion, has provided additional information on the battery energy storage systems (BESS) and additional details on the operational goals for the system to be developed.

• Topic 26-FT1: Person-Centered, Carefree, Complete Trip Planning - Powered by AI, has added detail to clarify the desired outcomes of Phase I.

• Topic 26-OS2: Freight Corridor Predictive Intelligence, has updated the overarching objectives, provided additional details in the technical parameters, and clarified the desired outcomes and expectations for Phase I.

• Topic 26-PH1: Increase End-of-Life Battery Safety and Recovery of Rare Earth Minerals, has added details to clarify the desired outcomes of Phase I.

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Solicitation Webinar Come learn about the U.S. DOT’s SBIR program and this year’s solicitation on Wednesday, June 10, 2026, at 1:00 p.m. ET. If you plan to submit a proposal, we encourage you to attend. The webinar will only be offered virtually to enable the broadest participation. We will address administrative questions during the webinar. No technical questions regarding the research topics will be accepted or addressed. After the webinar, a recording will be posted to the U.S. DOT SBIR Program website (https://www.volpe.dot.gov/work-with-us/small-business-innovation-research).

To register, visit: https://usdot.zoomgov.com/webinar/register/WN_VMthqZz_T-eWL2oQBbbANA.

The registration deadline for the webinar is Tuesday, June 9, 2026, at 5:00 p.m. ET.

Solicitation Closing Date Complete proposal packages must be received no later than Tuesday, July 7, 2026, at 3:00 p.m.

ET. Late proposals will not be accepted.

Submission System All proposal packages must be submitted using U.S. DOT’s SBIR automated submission system at:

https://usg.valideval.com/teams/usdot_2026/signup

Notable Changes and Highlights for 2026 SBIR Program Reauthorization The Small Business Innovation and Economic Security Act (P.L. 119-83) reauthorizes the program through September 30, 2031. Read the statute to learn about new requirements related to foreign risk and Technical and Business Assistance (TABA) among other updates.

Submitting Proof of System of Award Management (SAM) and SBIR Company Registrations moving to Appendices A & B PDF In prior years, proof of SAM and SBIR Company Registrations were included with the Technical Section of your proposal submission. This year, the proof of registration for both SAM and the SBIR Company Registry must be included with the Appendices A & B upload of your proposal submission. See section 3.3.2 for additional instructions.

Please note that SBA has updated its login procedure which may require extra time (see section 2.2). Please allow ample time for both registrations.

Disclosures of Foreign Affiliation or Relationships to Foreign Countries - Covered Individuals The term "covered individual" means any individual who contributes in a substantive and meaningful way to the scientific development or execution of a research and development project proposed to be carried out with a research and development award from a federal research agency. The U.S. DOT SBIR program considers the Principal Investigator and individuals identified as key personnel in a proposal, to include subcontractors or consultants, to be covered https://www.volpe.dot.gov/work-with-us/small-business-innovation-research https://usdot.zoomgov.com/webinar/register/WN_VMthqZz_T-eWL2oQBbbANA https://www.congress.gov/bill/119th-congress/senate-bill/3971/text iii individuals. DOT may further designate covered individuals during award negotiations or the award period of performance. See section 2.4 for additional information on these disclosures. If you are submitting more than one proposal, a separate disclosure form must be completed for each proposal as the “covered individuals” may vary between proposals.

Technical and Business Assistance (TABA) TABA requests are now required at the time of proposal submission. See section 3.5.4 if you are interested in receiving TABA.

Artificial Intelligence (AI) and Large Language Models (LLM) To comply with Presidential Memoranda M-25-22: Driving Efficient Acquisition of Artificial Intelligence in Government and M-26-04: Increasing Public Trust in Artificial Intelligence Through Unbiased AI Principles, the U.S DOT SBIR Program has added a section to the Technical Proposal to collect information on proposed use or delivery of AI or LLM models within the SBIR proposals.

See section 3.3.1.

https://www.whitehouse.gov/wp-content/uploads/2025/02/M-25-22-Driving-Efficient-Acquisition-of-Artificial-Intelligence-in-Government.pdf https://www.whitehouse.gov/wp-content/uploads/2025/02/M-25-22-Driving-Efficient-Acquisition-of-Artificial-Intelligence-in-Government.pdf https://www.whitehouse.gov/wp-content/uploads/2025/12/M-26-04-Increasing-Public-Trust-in-Artificial-Intelligence-Through-Unbiased-AI-Principles-1.pdf https://www.whitehouse.gov/wp-content/uploads/2025/12/M-26-04-Increasing-Public-Trust-in-Artificial-Intelligence-Through-Unbiased-AI-Principles-1.pdf iv

Contents IMPORTANT INFORMATION ................................................................................................................................ I

THIS SOLICITATION IS FOR PHASE I ONLY ............................................................................................................................ I KEY DATES .................................................................................................................................................................... I AMENDMENTS TO TOPICS ................................................................................................................................................. I SOLICITATION WEBINAR .................................................................................................................................................. II SOLICITATION CLOSING DATE ........................................................................................................................................... II SUBMISSION SYSTEM ...................................................................................................................................................... II NOTABLE CHANGES AND HIGHLIGHTS FOR 2026 ................................................................................................................. II

1. PROGRAM DESCRIPTION

1.1 INTRODUCTION

1.2 THREE-PHASE PROGRAM

1.3 ELIGIBILITY

1.3.1 Size & Ownership

1.3.2 Restrictions on Venture Capital Owned Businesses

1.3.3 Principal Investigator Employment Requirement

1.3.4 Performance of Work Requirements

1.3.5 Location of Work Requirements

1.3.6 Performance Benchmark Requirements for Phase I Eligibility

1.4 CONTACT INFORMATION

1.5 SOLICITATION QUESTIONS

1.6 REPORTING FRAUD, WASTE, AND ABUSE

1.7 DEFINITIONS

1.8 MANUFACTURING AND ENERGY INFORMATION

1.9 SMALL BUSINESS ADMINISTRATION (SBA) APPLICANT RESOURCES

2. CERTIFICATIONS & REGISTRATIONS

2.1 SYSTEM FOR AWARD MANAGEMENT (SAM)

2.2 SBA’S SBIR COMPANY REGISTRY

2.3 CERTIFICATIONS

2.4 DISCLOSURES OF FOREIGN AFFILIATION OR RELATIONSHIPS TO FOREIGN COUNTRIES

3. PROPOSAL PREPARATION INSTRUCTIONS AND REQUIREMENTS

3.1 OVERVIEW

3.2 SOLICITATION REQUIREMENTS

3.2.1 Formatting Requirements

3.2.2 File Naming Conventions

3.2.3 Proprietary Information in the Proposal

3.3 SPECIFIC INSTRUCTIONS FOR THE FOUR SEPARATE PROPOSAL FILES

3.3.1 Technical Section (PDF)

3.3.2 Appendices A and B with Registrations (PDF)

3.3.3 Appendix C: Contract Pricing Worksheet (Excel)

3.3.4 Contract Pricing Worksheet Supporting Documentation (PDF)

3.4 PROPOSAL SUBMISSION DEADLINE

3.5 OTHER INFORMATION

3.5.1 Proposal Handling

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3.5.2 Release of Certain Proposal Information

3.5.3 Fraudulent Information

3.5.4 Technical and Business Assistance (TABA)

3.5.5 Manufacturing Extension Partnership (MEP)

3.6 PHASE II PROPOSAL SUBMISSION

4. METHOD OF SELECTION AND EVALUATION CRITERIA

4.1 BASIS OF AWARD

4.2 PROPOSAL RESPONSIVENESS REVIEW

4.3 EVALUATION AND SELECTION OF AWARDEES

4.4 PHASE I EVALUATION CRITERIA

4.5 DUE DILIGENCE PROCESS

4.6 TIME TO AWARD REQUIREMENTS

4.7 FEEDBACK REQUESTS

5. CONSIDERATIONS

5.1 FUNDING AWARDS

5.1.1 Dollar Value and Type of Awards

5.2 PROFIT

5.3 COST SHARING

5.4 REPORTS

5.5 PAYMENT SCHEDULE

5.6 INNOVATIONS, INVENTIONS, AND PATENTS

5.7 JOINT VENTURES OR LIMITED PARTNERSHIPS

5.8 NOVATED/SUCCESSOR IN INTEREST/REVISED FUNDING AGREEMENTS

5.9 AWARDEE COMMITMENTS

5.10 AGENCY RECOVERY AUTHORITY AND ONGOING REPORTING

5.11 OTHER CONSIDERATIONS

5.12 ADDITIONAL INFORMATION

6. SUBMISSION OF PROPOSALS

7. SCIENTIFIC AND TECHNICAL INFORMATION SOURCES

7.1 FEDERAL HIGHWAY ADMINISTRATION (FHWA)

7.2 FEDERAL RAILROAD ADMINISTRATION (FRA)

7.3 FEDERAL TRANSIT ADMINISTRATION (FTA)

7.4 OFFICE OF THE SECRETARY (OST)

7.5 PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION (PHMSA)

8. SUBMISSION FORMS

8.1 PROPOSAL SUBMISSION CHECKLIST

8.2 PROPOSAL SIGNATURE PAGE (APPENDIX A)

8.3 PROJECT SUMMARY (APPENDIX B)

8.4 CONTRACT PRICING WORKSHEET (APPENDIX C)

9. RESEARCH TOPICS

9.1 FEDERAL HIGHWAY ADMINISTRATION (FHWA)

26-FH1: Edge AI-V2X Integrated Practical Solutions for Congestion Prevention and Mitigation 26-FH2: Automated Mobile Catch-basin Inspection System

9.2 FEDERAL RAILROAD ADMINISTRATION (FRA)

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26-FR1: Mobile High-Power Emergency BESS De-energizer System for Rail Vehicle Propulsion

9.3 FEDERAL TRANSIT ADMINISTRATION (FTA)

26-FT1: Person-Centered, Carefree, Complete Trip Planning - Powered by AI

9.4 OFFICE OF THE SECRETARY OF TRANSPORTATION (OST)

26-OS1: Predictive Safety Analytics for Commercial Transport Modernization 26-OS2: Freight Corridor Predictive Intelligence

9.5 PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION (PHMSA)

26-PH1: Increase End-of-Life Battery Safety and Recovery of Rare Earth Minerals 26-PH2: Thermal Indicator Coatings for Hazardous Materials Packaging Safety 26-PH3: Self-repairing Hazardous Materials Packaging 26-PH4: Improved Response to Lithium-ion Battery Fires

1. PROGRAM DESCRIPTION

1.1 Introduction

The Small Business Innovation Research (SBIR) program encourages small businesses to engage in research or research and development (R/R&D) that has the potential for commercialization and meets federal R/R&D objectives. It was established by the Small Business Innovation Development Act of 1982 [Public Law (P.L.) 97-219] and is codified at 15 U.S.C. 638. The Small Business Innovation and Economic Security Act [P.L. 119-83] reauthorizes the program through September 30, 2031. The Small Business Administration (SBA) administers the program across participating agencies. More information is available at https://www.sbir.gov/.

The United States Department of Transportation (U.S. DOT) welcomes small businesses to participate in its SBIR program. The purpose of this solicitation is to invite small businesses, with their valuable resources and creative capabilities, to submit innovative research ideas and solutions in response to the topics identified by the U.S. DOT in section 9 of this solicitation. The U.S. DOT SBIR program does not accept unsolicited proposals.

1.2 Three-Phase Program

Phase I. Phase I establishes the technical merit, feasibility, and commercial potential of the proposed R/R&D efforts. The basis for award is scientific and technical merit of the proposal, its commercial potential, and its relevance to U.S. DOT requirements and current research priorities as defined in the research topics. For the U.S. DOT SBIR program, Phase I awards may be funded up to $200,000, unless otherwise noted in section 9, and have a 6-month period of performance.

Phase II. The objective of Phase II is to continue the R/R&D effort from the completed Phase I. The basis for a Phase II award is the results of Phase I, scientific and technical merit, the commercial potential, and continued relevance to U.S. DOT requirements and research priorities. For the U.S.

DOT SBIR Program, contracts for Phase II proposals may be funded up to $1,500,000, unless otherwise noted, and have a period of performance of up to 24 months.

All U.S. DOT SBIR Phase I awardees who successfully complete Phase I are eligible to submit a Phase II proposal for evaluation and possible selection for award. Guidance on how and when to submit a Phase II proposal, including the commercialization plan, will be provided during the Phase I period of performance. If invited by the Government, a Phase II awardee may receive one additional Phase II award, identified by U.S. DOT as a Phase IIB, to continue the Phase II work.

Phase III. SBIR Phase III is work that derives from, extends, or logically concludes effort(s) performed under a Phase I and/or Phase II award. Phase III is funded by sources other than the set-aside funds dedicated to the SBIR program. Phase III work is typically oriented toward commercialization of SBIR research or technology and may be for products, production, services, additional R/R&D, or a combination thereof.

https://www.congress.gov/119/plaws/publ83/PLAW-119publ83.pdf https://www.congress.gov/119/plaws/publ83/PLAW-119publ83.pdf https://www.sbir.gov/

1.3 Eligibility

SBIR eligibility requirements are unique and do not correspond to other small business programs.

1.3.1 Size & Ownership

Regulations governing size and ownership requirements for the SBIR program are found at 13 C.F.R Part 121.701-121.705. See SBA’s Guide to SBIR/STTR (Small Business Technology Transfer) Program Eligibility for additional details.

1.3.2 Restrictions on Venture Capital Owned Businesses

The U.S. DOT does not currently use the authority that allows companies that are majority-owned by multiple venture capital operating companies (VCOCs), hedge funds or private equity firms to participate in the SBIR Program. Proposals submitted by Small Business Concerns (SBCs) with this ownership model will not be considered for award. This does not include SBCs that are majority-owned by a single VCOC, hedge fund, or private equity firm that is itself an SBC.

1.3.3 Principal Investigator Employment Requirement

For both Phase I and Phase II, the primary employment of the Principal Investigator (PI) must be with the SBC at the time of award and throughout performance. Primary employment means that more than one-half of the PI's employment time is spent with the SBC. This precludes full-time employment with another organization. Occasionally, deviations from this requirement may occur, but must be approved in writing by the Contracting Officer after consultation with the SBIR program manager. An SBC may replace the PI, subject to approval in writing by the Contracting Officer.

1.3.4 Performance of Work Requirements

Phase I. A minimum of two-thirds (at least 66.7%) of the research or analytical effort must be performed by the awardee.

Phase II. A minimum of one-half (at least 50%) of the research or analytical effort must be performed by the awardee.

To calculate percentages of work, the sum of all direct and indirect costs attributable to either the SBC or the subcontractors and consultants represents the numerator, and the total cost of the proposal (i.e., total cost before profit is applied) is the denominator for each calculation. Note:

General & Administrative (G&A) costs, if proposed, will only be attributed to your SBC.

Percentage of Work Effort for Your SBC = SBC’s Direct Costs + SBC’s Indirect Costs + SBC G&A

Total Proposal Cost (before profit)

Percentage of Work Effort for Subcontractors and Consultants = Subcontractor/Consultant’s Direct Costs + Subcontractor/Consultant’s Indirect Costs (no G&A)

Total Proposal Cost (before profit) https://www.sbir.gov/sites/default/files/elig_size_compliance_guide.pdf https://www.sbir.gov/sites/default/files/elig_size_compliance_guide.pdf

Definitions:

• Direct Costs: Costs directly tied to the proposed work (e.g., labor, materials, or services) and allocated to the SBC or subcontractors/consultants.

• Indirect Costs: Business expenses or overhead costs not directly tied to the proposed work, allocated to the SBC or subcontractors/consultants.

• G&A Costs: General & Administrative expenses allocated only to the SBC.

• Total Proposal Cost (before profit): The sum of all direct and indirect costs across SBC and subcontractors, excluding profit.

1.3.5 Location of Work Requirements

For both Phase I and Phase II, the R/R&D work must be performed in the United States. However, based on a rare and unique circumstance, a particular portion of the R/R&D work may be performed or obtained in a country outside of the United States. For example, if a supply, material, or other item or project requirement is not available in the United States. The Contracting Officer must approve each specific condition in writing before award.

1.3.6 Performance Benchmark Requirements for Phase I Eligibility Performance benchmark requirements are available at https://www.sbir.gov/performance-benchmarks. You are required to update and maintain your organization’s SBIR.gov Company Commercialization Report. On June 1st of each year, SBA identifies companies that fail to meet the transition benchmarks. Before submitting a proposal, you must verify your eligibility for Phase I awards on SBA’s SBIR website.

Phase I to Phase II Transition Rate. SBCs that have received 21 or more Phase I awards during the past five fiscal years, excluding the most recently completed fiscal year. The U.S. DOT’s Phase I to Phase II transition rate is at least 0.25 based on an SBC’s total number of Phase I and II awards during the five-year period.

Commercialization Rate Benchmark. SBCs that have received 16 or more Phase II awards during the past 10 fiscal years, excluding the two most recently completed fiscal years. Those SBCs must average at least $100,000.00 in sales and/or investments per Phase II award received during the period or have received patents for at least 15% of the Phase II awards received during the period.

Increased performance standards for more experienced SBCs.

Phase I to Phase II Transition. SBCs that have received 51 or more Phase I awards during the past five fiscal years, excluding the most recently completed fiscal year. They must average a ratio of Phase II to Phase I awards of at least 0.50 during the measurement period.

Commercialization Rate - Tier 1. SBCs that have 51 or more Phase II awards during the past 10 fiscal years, excluding the two most recently completed fiscal years. They must average at least $250,000 in aggregate sales and investments per Phase II award received during the period.

https://www.sbir.gov/performance-benchmarks/ https://www.sbir.gov/performance-benchmarks/

Commercialization Rate - Tier 2. SBCs that have 101 or more Phase II awards during the past 10 fiscal years, excluding the two most recently completed fiscal years. They must average at least $450,000 in aggregate sales and investments per Phase II award received during the period.

Note: Patents cannot be used to pass the increased performance standards.

1.4 Contact Information

To ensure fairness and facilitate tracking, all communication regarding this solicitation must be directed through the program’s email:

U.S. DOT SBIR Program Inbox dotsbir@dot.gov

1.5 Solicitation Questions

Be sure to review the U.S. DOT SBIR program Frequently Asked Questions (FAQs). Administrative questions not answered in the FAQs, or questions regarding Appendix C: Contract Pricing Worksheet, must be submitted to the program email (dotsbir@dot.gov) no later than 3:00 p.m. ET on Tuesday, June 30, 2026. Questions received after this time may not be answered.

The following inquiries will not be addressed during the open solicitation period:

• Inquiries regarding proposal status.

• Technical questions on research topics. To review the pre-solicitation technical questions and answers, visit https://usdot.uservoice.com/forums/967226-u-s-dot-fy-2026-phase-i-pre-solicitation-q-a.

To support full and open competition and comply with the Procurement Integrity Act, 41 U.S.C sections 2101-2107 requirements, during the solicitation open period (from solicitation issuance until release of award recommendation list), any contact with U.S. DOT relative to this solicitation is restricted to the officials identified in this Solicitation. Contact with U.S. DOT officials (excluding certain offices and positions such as the DOT Office of the Inspector General and the U.S.

DOT/Office of the Secretary) from or at any U.S. DOT agency, other than those officials identified in this solicitation, may result in rejection of the proposal attributable to such unauthorized contact.

1.6 Reporting Fraud, Waste, and Abuse

The U.S. DOT SBIR program takes fraud, waste, and abuse seriously. Anyone who observes fraud, waste, abuse, or mismanagement or receives an allegation of fraud, waste, abuse, or mismanagement from a federal employee, contractor, grantee, or any other source with regards to the U.S. DOT, its SBIR program, an SBIR solicitation, or an SBIR award is responsible for reporting it to the U.S. DOT Office of Inspector General Hotline (Phone: 800-424-9071, Email:

hotline@oig.dot.gov).

mailto:dotsbir@dot.gov https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/faqs mailto:dotsbir@dot.gov https://usdot.uservoice.com/forums/967226-u-s-dot-fy-2026-phase-i-pre-solicitation-q-a https://usdot.uservoice.com/forums/967226-u-s-dot-fy-2026-phase-i-pre-solicitation-q-a

Find more information, including the most recent training provided to U.S. DOT SBIR participants, at https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/report-fraud-waste-and-abuse.

1.7 Definitions

Funding Agreement: Any contract, grant, or cooperative agreement between any federal agency and any SBC for the performance of experimental, developmental, or research work, including products or services, funded in whole or in part by the federal government. (Note: The U.S. DOT only awards contracts under the SBIR program.)

Research or Research and Development (R/R&D): Any activity that is:

• A systematic study directed toward greater knowledge or understanding of the subject studied;

• A systematic study directed specifically toward applying knowledge and innovation to meet a recognized but unmet need; or

• A systematic application of knowledge and innovation toward the production of useful materials, devices, and systems or methods, including design, development, and improvement of prototypes and new processes to meet specific requirements.

Small Business Concern (SBC): For SBIR solicitations, an SBC is a concern that meets the SBIR program eligibility requirements set forth in 13 C.F.R § 121.702, “What size and eligibility standards are applicable to the SBIR and STTR programs?”.

SBIR Data: All data developed or generated in the performance of an SBIR award, including Technical Data and Computer Software. The term does not include information incidental to contract administration, such as financial, administrative, cost or pricing or management information.

SBIR Data Rights: The Government’s license rights in properly marked SBIR Data during the SBIR protection period are as follows: SBIR Technical Data Rights in SBIR Data that are Technical Data or any other type of Data other than Computer Software and SBIR Computer Software Rights in SBIR Data that is Computer Software. Upon expiration of the protection period for SBIR Data, the Government has a royalty-free license to use, and to authorize others to use on its behalf, these Data for Government purposes, and is relieved of all disclosure prohibitions and assumes no liability for unauthorized use of these Data by third parties. The Government receives unlimited rights in all Form, Fit, and Function Data, Operations, Maintenance, Installation, or Training Purposes (OMIT) Data, and unmarked SBIR Data.

Additional definitions can be found within our FAQs: https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/faqs https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/report-fraud-waste-and-abuse https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/report-fraud-waste-and-abuse https://www.ecfr.gov/current/title-13/chapter-I/part-121/subpart-A/subject-group-ECFRb7921b3fcf04228/section-121.702 https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/faqs

1.8 Manufacturing and Energy Information

Executive Order (EO) 13329, Encouraging Innovation in Manufacturing, February 26, 2004, requires SBIR agencies, to the extent permitted by law and consistent with the mission of that agency, to give high priority within the SBIR programs to manufacturing-related R&D. This includes technologies related to manufacturing processes, equipment and systems, or manufacturing workforce skills and protection.

The Energy Independence and Security Act of 2007, December 19, 2007 (P.L. 110-140) amends the Small Business Act (15 U.S.C. section 636(a)) to instruct the SBA Administrator to ensure that SBIR agencies give priority to SBCs that participate in or conduct energy efficiency or alternative energy system research and development projects.

1.9 Small Business Administration (SBA) Applicant Resources

If you need assistance, the SBA works with several local partners of various organizational types to train and support potential SBIR/STTR applicants around the country on topics from proposal assistance to SAM registration, and commercialization support to industry connections. To find out more information on the specific types of SBA federal resources available, visit:

https://www.sbir.gov/community.

https://www.sbir.gov/community

2. CERTIFICATIONS & REGISTRATIONS

2.1 System for Award Management (SAM)

To submit a proposal to this solicitation, you must have an active SAM registration at the time of proposal submission/solicitation close date, at time of award, and throughout an award period of performance. Obtaining a new SAM registration or updating a lapsed registration may take 10 or more business days so it is imperative that you start this process significantly before the solicitation’s closing date. Additional information on SAM and the registration process is provided on the SAM website at: https://sam.gov/content/home. A UEI number is provided through the SAM registration.

To verify that your SAM registration is current, you must provide a PDF copy of the registration page(s) with your proposal package (see section 3.3.2) which includes the date retrieved from SAM. You must update your SBC’s representations and certifications as necessary, and at least annually, to keep them current, accurate, and complete to be eligible for award.

2.2 SBA’s SBIR Company Registry

You must complete your SBIR.gov Company Registration prior to submitting your proposal at https://app.www.sbir.gov/company-registration/overview. This will assign your firm an SBC Control ID and Proof of Registration Certificate. During the registration process you will be directed to OKTA to complete the login and Two Factor Authentication (TFA) process. NOTE: Each company registration must use a unique email address not previously registered.

Ensure that all fields in the registration form are completed accurately. The SAM.gov UEI number and Point of Contact email must exactly match the details in your SAM.gov account, as SBIR.gov uses SAM.gov data to verify company information.

If you need assistance with your OKTA user account, please contact OKTA Support. Their contact information is provided below for your convenience.

OKTA Support Need Help: 866-SBA-HELP Monday through Friday from 8 a.m. to 8 p.m. ET.

To verify you are registered in the SBIR Company Registry, you must provide a PDF copy of the Registration Certificate with your proposal package (see section 3.3.2).

2.3 Certifications

You must answer the certification questions in the automated proposal submission system.

Carefully read each of the statements. U.S. DOT SBIR relies on the information provided to determine eligibility for an SBIR award. The definitions for the terms used in the certifications are set forth in the Small Business Act, SBA regulations (13 C.F.R Part 121), the SBIR/STTR Policy https://sam.gov/content/home https://app.www.sbir.gov/company-registration/overview

Directive, and any statutory and regulatory provisions referenced in those authorities.

Similar certifications are used to ensure continued compliance with program requirements throughout the lifecycle of your award.

• For Phase I awards: The U.S. DOT SBIR program collects funding certifications with invoice submission as a condition for payment. A lifecycle certification must be completed along with the final funding certification when submitting the final invoice.

• For Phase II awards: In addition to the certifications noted for Phase I, a lifecycle certification is collected prior to receiving more than 50% of the total award amount. You are also required to submit an updated Disclosures of Foreign Affiliation or Relationships to Foreign Countries form (see next section) prior to receiving more than 50% of the total award amount.

If the Contracting Officer believes that you may not meet certain eligibility requirements for award, they may request you provide clarification or additional supporting documentation. If the Contracting Officer still believes you are not eligible, you must file a size protest with the SBA, who will determine eligibility.

2.4 Disclosures of Foreign Affiliation or Relationships to

Foreign Countries Each SBC submitting a proposal for an SBIR award must disclose information regarding ties to the People’s Republic of China and other foreign countries. If submitting, you must complete a disclosure form at the U.S. DOT’s online page at: https://forms.office.com/g/BmmrYKqhpz on or before the solicitation closing date.

If you are submitting more than one proposal, a separate disclosure form must be completed for each proposal as the “covered individuals” may vary between proposals. The term "covered individual" means any individual who contributes in a substantive and meaningful way to the scientific development or execution of a research and development project proposed to be carried out with a research and development award from a federal research agency. The U.S. DOT SBIR program considers the Principal Investigator and individuals identified as key personnel in a proposal, to include subcontractors or consultants, to be covered individuals. DOT may further designate covered individuals during award negotiations or the award period of performance.

Please note that foreign involvement or investment does not independently disqualify you from receiving an SBIR award but failing to disclose such affiliations or relationships may result in denial of an award. Additional details on the disclosure requirements can be found in the SBIR and STTR Extension Act of 2022, Small Business Innovation and Economic Security Act, or at https://www.sbir.gov/foreign_disclosures.

https://forms.office.com/g/BmmrYKqhpz https://www.congress.gov/bill/117th-congress/senate-bill/4900/text https://www.congress.gov/bill/117th-congress/senate-bill/4900/text https://www.congress.gov/bill/119th-congress/senate-bill/3971/text https://www.sbir.gov/foreign_disclosures

3. PROPOSAL PREPARATION INSTRUCTIONS AND

REQUIREMENTS

3.1 Overview

This solicitation is for Phase I R/R&D proposals on advanced, innovative concepts with relevance to some aspect of the national transportation system or the ability of an Operating Administration of the U.S. DOT to perform its mission. Proposals should be confined to scientific or engineering research, which may be carried out through construction and evaluation.

Phase I R/R&D proposals should demonstrate a sound approach to the investigation of a high priority transportation related scientific or engineering problem under one of the research topics listed in section 9 of this solicitation. Your proposal may respond to any of the research topics but must be limited to one topic. The same, or an essentially equivalent proposal cannot be submitted to more than one topic. However, you may submit multiple unique proposals to different topics or to the same topic under this solicitation. If similar research is discussed in more than one topic, you should choose the topic which appears to be most relevant to your technical concept.

3.2 Solicitation Requirements

Your proposal must be checked carefully to ensure you have complied with all preparation instructions. There is a Proposal Submission Checklist in section 8 as well. The following requirements must be met by the solicitation closing date/time for the proposal to be evaluated for award.

3.2.1 Formatting Requirements

Proposal packages must be complete, accurate and submitted as four separate files through the automated proposal submission system.

Technical Section The technical section must be submitted as a single PDF according to the following requirements:

• The technical proposal must not exceed 15 pages.

o Technical proposals more than 15 pages will not be considered for review or award.

o The Table of Contents and Prior Phase II Awards do not count toward the 15-page limit.

o Letters of support, if included, will count toward the 15-page limit.

o Do not include hyperlinks to external websites that provide supplemental content to the information contained in the proposal, or additional attachments or appendices that go beyond the 15-page limit as they will NOT be considered in evaluation.

• Proposals must be on standard letter size pages (8.5" by 11").

• Font size must be no smaller than 10-point.

• Margins must be 1” on all sides.

• All pages should be numbered consecutively.

Appendices A and B and Registrations Appendix A: Signature Page and Appendix B: Project Summary must use the templates provided by the U.S. DOT SBIR program. Examples and links can be found in section 8. Proof of your SBA SBIR Company Registry confirmation and SAM Registration must be included with Appendices A and B.

These four (4) items must be submitted as a single separate PDF file which does not count toward the 15-page limit for the Technical Section.

Appendix C: Contract Pricing Worksheet The Contract Pricing Worksheet must be submitted as an Excel file using the template provided by the U.S. DOT SBIR program to be considered responsive. The link can be found in section 8. This section does not count toward the 15-page limit for the technical section.

Contract Pricing Worksheet Supporting Documentation Supporting documentation for Appendix C: Contract Pricing Worksheet must be submitted as a single PDF file and include information to justify all proposed costs/prices. This section does not count toward the 15-page limit for the Technical Section and there is no limit on the number of pages for the Contract Pricing Worksheet supporting documentation.

3.2.2 File Naming Conventions

You must use the following naming conventions for each of the four separate files you submit:

• The first three characters must be the topic number the proposal is associated with (e.g., FH2).

• The remaining characters must include an abbreviation of the SBC’s name and a distinct character to designate each file (e.g., 1, 2, 3, and 4).

Multiple Proposal Submissions & Naming Conventions If you choose to submit unique proposals to different topics, or multiple separate proposals to the same topic under this solicitation, follow the naming conventions below.

• To submit more than one proposal in the proposal website, add the topic number at the end of the company name in the ‘Team Name’ field (e.g., SBC, Inc. – FH1). This will create a new team profile for each proposal.

• If submitting multiple proposals under the same topic, please add “a”, “b”, etc.

respectively after the topic number to each Team Name. (e.g., SBC, Inc. – FH2a).

3.2.3 Proprietary Information in the Proposal

Information contained in unsuccessful proposals will remain the property of the SBC. The Government will, however, retain copies of all proposals. Public release of information from any proposal submitted will be subject to existing statutory and regulatory requirements.

The U.S. DOT prefers that SBCs avoid the inclusion of proprietary data in proposals. If necessary, limit proprietary information to only what is essential to your proposal. If proprietary information is provided in a proposal that constitutes a trade secret, commercial, or financial information, it will be treated in confidence, to the extent permitted by law, provided the proposal is clearly marked as follows:

This legend must appear on the title page of your proposal:

"This offer contains information that shall not be disclosed outside the Federal Government and shall not be duplicated, used, or disclosed in whole or in part for any purpose other than evaluation of this offer, unless authorized by law. The Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract if award is made as a result of the submission of this offer. The information subject to these restrictions is contained on all pages of the offer except for pages [insert page numbers or other identification of pages that contain no restricted information.]

(End of Legend)”; and, This legend must appear on each page that contains information you wish to protect:

“Use or disclosure of information contained on this sheet is subject to the restriction on the title page of this proposal.”

3.3 Specific Instructions for the Four Separate Proposal Files

3.3.1 Technical Section (PDF)

A single PDF that includes the Technical Proposal (not to exceed 15 pages) and Prior Phase II Awards list (which does not count toward the 15-page limit.

Technical Proposal – Not to exceed 15 pages You are encouraged to have a Table of Contents (which does not count toward the 15-page limit) to ensure you include the required sections in the following order. Your proposal must include all the following headings in bold. In cases where a section does not apply, you must include the heading and state “Not Applicable”.

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

2. Phase I Technical Objectives. State the specific objectives of your Phase I R/R&D effort;

including the technical question(s) the research seeks to answer to determine the feasibility of the proposed approach.

3. Phase I Work Plan. Describe your Phase I R/R&D plan, indicating what will be done, where it will be done, when it will be done, and how the R/R&D will be managed or directed and carried out. Address the objectives and the question(s) cited in the technical objectives.

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 your proposal including any R/R&D conducted by the principal investigator or your SBC.

Describe how it relates to your proposed effort, and any planned coordination with outside sources. You must persuade reviewers of your awareness of recent, key R/R&D conducted by others in the specific topic area.

5. Key Personnel and Bibliography of Directly Related Work. Identify all key personnel involved in Phase I including title, role or labor category, related education, experience, and bibliographic information. Where histories are extensive, summaries that focus on the most relevant experience/publications are desired and may be necessary to meet page limits.

6. Relationship with Future Research and Development. State the anticipated results 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. Subcontractors/Consultants. Involvement of subcontractors or consultants in the planning and research stages of the project is permitted within the work limits described in section 1.3.4. Describe any intended subcontractor or 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 use by the Federal Government.

10. Similar Proposals and/or Awards. While you are allowed, with proper notification, to submit identical proposals, or proposals containing a significant amount of essentially equivalent work, for consideration under numerous federal program solicitations, it is unlawful to enter into funding agreements requiring essentially equivalent effort. If there is any question concerning this, you must disclose it to the soliciting agency or agencies before award. If you elect to submit similar or identical proposals containing equivalent work under other federal program solicitations, a statement must be included in each proposal indicating:

a. The name and address of the agencies to which proposals were submitted or from which awards were received.

b. Date of proposal submission or date of award.

c. Title, number, and date of SBIR program solicitations under which proposals were submitted or awards received.

d. The applicable research topics for each SBIR proposal submitted or award received.

e. Titles of research projects.

f. Name and title of principal investigator for each proposal submitted or award received.

11. Human Factors (only if applicable). Research that involves human subjects may be subject to additional regulations found in 49 C.F.R. Part 11 (Part 11) as well as other applicable federal and state laws and regulations. Research will be considered to involve human subjects under Part 11 if the research obtains (1) data through intervention or interaction with an individual(s), and/or (2) identifiable private information. Unless exempt under 49 C.F.R §11.104, human subject research must adhere to the regulations of Part 11, which includes review and approval of the research by a federally approved Institutional Review Board (IRB). Due to the short timeframe associated with Phase I of the SBIR process, the U.S. DOT advises against submitting proposals that require the use of Human Subjects testing during Phase I. For more information, visit the FAQ at https://www.volpe.dot.gov/work-with-us/small-business-innovation-research/faqs.

12. Artificial Intelligence (AI) and Large Language Models (LLM) (only if applicable). Identify whether:

• The output of the effort proposed is an AI and/or LLM product or service.

• The conduct of the work includes AI and/or LLM products or services.

o The use of AI and/or LLM products or services will be integrated into the technology being developed.

o The use of AI and/or LLM products or services is incidental to the technology being developed.

• Neither the output of the effort nor the conduct of the work includes the use of AI and/or LLM products or services.

Prior SBIR Phase II Awards If your SBC has received more than 15 Phase II SBIR/STTR awards in the prior five fiscal years, you must submit the following information for each Phase II which does not count toward the 15-page limit of the Technical Proposal:

• Name of the awarding agency

• Date of award

• Funding agreement number

• Principal investigator name

• Dollar value of award

• Topic or subtopic title

• Any follow-on agreement dollar amount

• Source and date of follow-on commitment

• Current commercialization status

3.3.2 Appendices A and B with Registrations (PDF)

The following four documents must be combined into a single PDF file.

Appendix A: Cover Page with Signatures – First page of PDF Complete the Appendix A template. The “topic title” block must list the topic name as shown in this solicitation. The “proposal title” block should be the name given to your proposed solution and should not be the same as the topic title. Sign and date in blocks where indicated; the date used https://www.volpe.dot.gov/work-us/small-business-innovation-research/fy26-appendix-a-and-b should be the date the proposal is submitted.

Appendix B: Project Summary – Second page of PDF Complete the Appendix B template. The Project Summary must include at a minimum:

1. A technical abstract with a brief statement of the problem or opportunity, project objectives, and description of the effort. The abstract must be prepared in accordance with the instructions on the template.

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

Note: the Project Summary of successful proposals may be published by U.S. DOT and SBA.

Therefore, it must not contain classified or proprietary information.

SAM Registration Confirmation – Third Page of PDF You must be registered in SAM at the time of proposal submission (see section 2.1). A page from SAM validating the active registration which includes the date retrieved from SAM must be included with Appendices A and B.

SBA’s SBIR Company Registry Confirmation – Fourth Page of PDF You must be registered in SBA’s SBIR company registry database (see section 2.2). The PDF registration confirmation must be included with Appendices A and B.

3.3.3 Appendix C: Contract Pricing Worksheet (Excel)

The Contract Pricing Worksheet must be submitted using the Appendix C template provided by DOT. If cost breakdown items of Appendix C do not apply to the proposed project, there is no need to provide information on those tabs. When completing your cost proposal:

• Provide enough information to allow the U.S. DOT to understand how you plan to use the requested funds if an award is made.

• You may include a reasonable profit. The profit is typically evaluated using weighted guidelines and does not normally exceed 10% for SBIR contracts.

• Travel is allowable but must be justified. Examples of justified travel include travel to a test site or meetings with subcontractors or stakeholders. Travel for kickoff meetings or conferences will not be allowed for Phase I.

• You must note your SBC’s EIN and UEI numbers in the Appendix C coversheet.

• Proposed TABA costs must be included in tab J.

• Proposals that exceed the Phase I award amount in section 9, not inclusive of TABA, will not be considered.

• Pricing within Appendix C must remain valid for 180 days after solicitation close date.

If you have any trouble accessing the Appendix C spreadsheet, please contact the U.S. DOT SBIR Program via email at dotsbir@dot.gov no later than June 30, 2026.

https://www.volpe.dot.gov/work-us/small-business-innovation-research/fy26-appendix-a-and-b https://www.volpe.dot.gov/work-us/small-business-innovation-research/fy26-appendix-c mailto:dotsbir@dot.gov

3.3.4 Contract Pricing Worksheet Supporting Documentation (PDF) You must include supporting documentation for all costs proposed (e.g., material quotes, subcontractor proposals, indirect rate calculations, TABA quotes, etc.). See the first two tabs of Appendix C for instructions and further examples of supporting documentation. These must be submitted as a single separate file in PDF format.

3.4 Proposal Submission Deadline

Complete proposal packages must be received no later than 3:00 p.m. ET on Tuesday, July 7, 2026, through U.S. DOT’s automated proposal submission system at https://usg.valideval.com/teams/usdot_2026/signup. Proposals received after this time will automatically be rejected; no exceptions will be permitted.

Please be aware that the submittal process requires answering numerous questions as well as multiple document uploads. Be sure to allow ample time to complete the multi-step submittal process. Proposals are not considered received by the Government until this multi-step process is complete. You are encouraged to submit your proposal(s) as early as possible.

3.5 Other Information

3.5.1 Proposal Handling

Proposals will be made available to government employees, including subject matter experts responsible for evaluating the proposals and Volpe Center staff responsible for the SBIR program.

In the conduct of proposal processing, U.S. DOT may need to provide access to the proposal package to U.S. DOT contractor personnel responsible for DOT’s automated proposal submission system, Valid Eval. Access to such data requires the contractors to fully protect the information from unauthorized use or disclosure, in accordance with 41 U.S.C. §2101-2107.

3.5.2 Release of Certain Proposal…