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The Three Phases of SBIR and STTR

The Three Phases of SBIR and STTR

There are three phases to the federal SBIR and STTR programs. Phase I and II use SBIR/STTR funds, but no SBIR/STTR funds can be used during Phase III.

Phase I

During Phase I, the small business typically conducts feasibility R&D. SBIR Phase I awards normally do not exceed $150,000 total costs for 6 months. *

Phase II

The objective of Phase II is to continue the R/R&D efforts initiated in Phase I. Funding is based on the results achieved in Phase I and the scientific and technical merit and commercial potential of the project proposed in Phase II. Typically, only Phase I awardees are eligible for a Phase II award. SBIR Phase II awards normally do not exceed $1,000,000 total costs for 2 years. *

Phase III

The objective of Phase III, where appropriate, is for the small business to pursue commercialization objectives resulting from the Phase I/II R/R&D activities. The SBIR/STTR programs do not fund Phase III. However, for some Federal agencies, Phase III may involve follow-on non-SBIR/STTR funded R&D or production contracts for products, processes or services intended for use by the U.S. Government.

* STTR is very similar to SBIR - see the Differences between SBIR and STTR for details.

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