US DOT SBIR Program Three-Phase Process
Phase I
The conduct of feasibility-related experimental or theoretical research or Research and Development (R&D) efforts on specified research topics. The dollar value of the proposal should not exceed $100,000 and the period of performance may be up to six months. The primary basis for award will be the scientific and technical merit of the proposal and its relevance to DOT requirements. (Only Phase I awardees are eligible to participate in Phase II)
Phase II
This phase is the principal research or R&D effort having a period of performance of approximately two years with a dollar value of up to $750,000. DOT will accept Phase II proposals under the US DOT SBIR Program only from firms which have previously received a DOT Phase I award. Awards would be based upon the results achieved in Phase I, the technical merit of the Phase II proposals, potential for commercialization and commitment for follow-on funding from non-federal sources for Phase III.
Phase III
This phase is to be conducted by the small businesses with non-Federal funds to pursue commercial applications of the research or R&D funded in Phases I and II by the Department. Phase III may also involve follow-on non-US DOT SBIR funded contracts with components of DOT for products or processes for use by the Government.
