As Is is a statutory directive of the SBIR and STTR programs are designed to encourage technological innovation and entrepreneurship, it is no surprise that /STTR Programs that the technology developed using these designated taxpayer funds result in some form of benefit for the American people whether it be in the form of taxable revenue, jobs or some other societal or scientific benefit. In furthering this goal, small business applicants are required to submit a brief Commercialization Plan with their application materials. The Plan should be no more than 4 pages long and should be uploaded as a pdf in field 7 of the “SBIR/STTR Information” webform in the application package.
The Commercialization Plan must not exceed a page limit of 4 pages. The body text font of all main text must not be smaller than 11-point. If the Commercialization Plan is not included at the time of application submission, your application will be administratively declined without review.
It DOE has provided a sample Phase I Commercialization Plan and it is recommended that applicants carefully review and follow the format of this document. the sample commercialization plan provided here. If applicants are unsure about the market research necessary to make the required revenue and opportunity projections, or if they need assistance assessing the current state of the market, the DOE website (located to on the right of this page) includes a list of service providers by state to help these projections. If you do seek the assistance of a service provider, be sure to reach out to them at least six weeks prior to the submission deadline so that they have sufficient time to gather the relevant information.
Commercialization Plan Outline | |
Section | Description |
Project Title | Include your Project Title. This title should be the same title that you use throughout your application materials and the Letter of Intent. |
Revenue Statement | Directly below the Project Title add the following statement and substitute your company name and revenue amounts. If your business model does not include licensing, it is fine to say that the anticipated licensing revenue is $0. If your business model is solely licensing it is fine to say that sales revenue is $0. But one number must not be 0. ABC LLCestimates sales revenue of $____ and licensing revenues of $____during the first 10 years of commercialization. |
Market Opportunity | Describe the problem and its urgency that will be solved by the product or service that you plan to bring to market and also describe your competitive advantage or value proposition to the customer./service resulting from the technology being proposed. Describe your customers and end-users (if different) providing example companies. Describe your competitors and your competitive advantage and/or value proposition. Describe the market opportunity being addressed. If there are opportunities outside DOE and/or multiple opportunities to pursue, describe your time phased plan to address. Describe the envisioned business model that will be used to generate revenue. Within the Market Opportunity section, please address how your team plans to leverage the Phase Shift Iand Technical and Business Assistance (TABA) programs to deepen your understanding of yourmarket opportunity. If your team does not plan to leverage those opportunities, please explain what will be done to accomplish this goal. |
Company Team | Describe the capabilities of your team specificallyas they relate to the commercialization of your technology; there is no need to repeat theirtechnical qualifications which are covered adequately elsewhere in theyour application. If there are gaps in commercialization expertise on your current team, describe your time-phased plans to address (new personnel, consultants, contractors, etc.). |
Intellectual Property | Describe both the state of the intellectual property that exists in your intended market and plans to protect your intellectual property .. Detail the status of patents, trade secrets, and other steps you plan to take to protect your IP. There are multiple methods to protect intellectual property which vary depending upon whether your product is hardware or software. In this section it is common to mention if you have conducted a patent search. |
Revenue Forecast | Include the exact same statement that you included at the very beginning of the Commercialization Plan: ABC LLCestimates sales revenue of $____ and licensing revenues of $____during the first 10 years of commercialization. AProvide a revenue forecast is requested so that DOE can understand the size of the market that you plan to address.during the first 10 years of commercialization. We request the forecast be for 10 years because the path and development time required to bring the technology to market will vary - in some cases, commercialization may begin immediately after Phase II award, but in other cases commercialization may not start for many years beyond completion of the Phase II award. In doing so, be realistic and do not assume widespread and immediate adoption of your technology by the entire customer base. If there are opportunities outside the immediate DOE need, describe your time- phased plan to address. |
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