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Although this guide is concerned with Phase I applications only, applicants may want to consider applying for Phase II or Phase III awards if they successfully complete their Phase I project. The award amounts and purpose of each phase is outlined below.
- Phase I explores the feasibility of an innovative idea with an R&D award maximum of $200,000 or $250,000, depending on the topic, and a duration of 6 to 12 months.
- Phase II R&D efforts involve prototype development and technology demonstration. Phase II R&D award maximums are $1,1000,000 and $1,600,000, depending on the topic and a typical duration of 2 years.
- Phase III offers opportunities to small businesses to continue their Phase I and II R&D work to pursue commercial applications of their R&D with non-SBIR/STTR funding. Under Phase III, Federal agencies may award non-competitive, follow-on grants or contracts for products or processes that meet the mission needs of those agencies, or for further R&D. IIA: A Phase II awardee may request additional financial support for new R&D tasks and activities that are aligned with the original scope of work for the Phase II award. The purpose of the Phase IIA award is to allow the awardee to complete the R&D associated with initial prototype, product, or process development.
- Phase IIB: A Phase II awardee may request additional financial support for new R&D tasks and activities that extend beyond the scope of the original Phase II award. The purpose of the Phase IIB award is to assist the awardee in transitioning the innovation towards commercialization.
- Phase IIC continue research and development from a second SBIR Phase II award towards commercialization and require matching funds from a third party investor. These matching funds can be used for either (1) research and development costs NOT requested in your budget or (2) other costs associated with commercialization of the proposed innovation., with awards up to $1,100,000 to be used over a 1 to 2 year duration
Is the SBIR or STTR Program right for my company?
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