The jump from a NIST Phase I award to a successful Phase II proposal is more than just an incremental step—it’s a shift in expectations. Reviewers aren’t just looking for a good idea anymore; they want clear evidence that your innovation has technical momentum and commercial promise.
A Phase II proposal must prove that your team can execute a robust, well-structured R&D plan and deliver results that are not only scientifically sound but also commercially viable. Unlike Phase I, where feasibility was the focus, Phase II is about delivery. You’ll need to align your technical narrative, budget, and commercialization strategy into a single cohesive and compelling application.
This checklist is designed to walk you through the preparation process step by step—from internal readiness to final submission—so you can submit a Phase II proposal that stands up to NIST’s high expectations.
Internal Readiness Before Writing
Before writing a single word of your Phase II proposal, your team needs to confirm that all foundational pieces are in place. Missing a registration or neglecting to verify your eligibility status can derail your application before it’s even submitted.
Start by ensuring your Phase I final report has been submitted and that you have gathered any data, lessons learned, or early outcomes that demonstrate feasibility. Only NIST Phase I awardees are eligible to apply for Phase II, and your proposal must build directly on what you accomplished.
Next, confirm that your business still meets the SBIR eligibility requirements. If there have been changes in ownership, control, or size since Phase I, these must be addressed and resolved early.
Hold a formal kickoff meeting with your project team to assign proposal responsibilities. Roles often include technical lead, budget coordinator, commercialization planner, and administrative support. Establish a timeline with internal deadlines well ahead of the NIST submission date.
Also confirm that your key registrations are up to date:
Refining the Technical Approach
Your Phase II technical narrative must clearly demonstrate how you will build on the results of Phase I. This means starting with a detailed analysis of what you’ve already proven—and what remains to be done.
Gather your team to refine your R&D objectives and identify any gaps or technical risks. These should be addressed head-on in your proposal, along with your strategy for overcoming them. Articulate specific, measurable goals that reviewers can evaluate, and ensure they align with the overall problem or opportunity you aim to solve.
Your work plan must include detailed tasks, responsible personnel, and an achievable timeline. If time and resources allow, performing small follow-on experiments or developing a prototype—however modest—can significantly strengthen your proposal by showing real progress.
Finally, assess whether your existing facilities and equipment are sufficient for Phase II. If not, begin early discussions with vendors or partner labs and include those plans in your proposal. If consultants or subcontractors will contribute to technical execution, document their roles and integrate their efforts into your timeline and budget.
Structuring Your Proposal Document
NIST provides a strict format for Phase II proposals, and following it precisely is essential—noncompliant applications may be rejected without review. The core technical narrative is limited to 15 pages and must follow NIST’s specified section headings and order.
NIST’s page limit for the technical narrative is strict—excess pages will not be reviewed.
Your proposal should include:
- Cover Sheet: Completed NIST form with project title, abstract (~200 words), and commercialization summary (~100 words). Avoid proprietary content—these sections are made public if awarded.
- Technical Narrative: The main proposal body, covering the problem, Phase II objectives, work plan, related research, personnel, facilities, and future R&D or commercialization potential.
- Commercialization Plan: A separate document with no page limit, but it should be focused and strategic.
- Phase I Final Report: Attached as an appendix; this does not count toward the 15-page narrative limit.
Stick closely to the required order of narrative sections and use the specific headings NIST outlines. Each section should build a cohesive argument for your project’s technical and commercial viability.
Use clear, jargon-free language—reviewers may not have deep familiarity with your technical domain. Also, directly address NIST’s four review criteria throughout your narrative: technical approach, potential impact, field contribution, and team qualifications.
Avoid exceeding the page limit: any content beyond 15 pages will not be read. Use visuals like charts or timelines judiciously and keep font sizes and margins within the specified guidelines.
Developing a Standout Commercialization Plan
The commercialization plan is a critical component of your NIST Phase II proposal. While it’s submitted as a separate document, its strength directly influences how reviewers assess your project’s long-term potential. NIST expects a clear, credible roadmap showing how your innovation will move beyond the lab and into the marketplace.
Weak or generic commercialization plans are one of the top reasons NIST Phase II proposals fail—invest real effort here.
Start by clearly defining what product or service will result from the proposed research. Explain the customer problem it solves and the value your solution offers. Then, back that up with data. Who are your target customers? What is the size of the addressable market? Have you conducted customer discovery or gathered evidence of interest?
Detail your competition and show how your approach stands out. Address barriers to entry, anticipated adoption hurdles, and your strategy for gaining early traction.
Lay out a commercialization timeline with specific milestones—prototyping, regulatory steps, manufacturing, product launch—and indicate how you’ll fund those activities. If you already have Phase III commitments, letters of interest, or strategic partners, include them.
Also outline your intellectual property (IP) strategy. Mention any patents filed, planned filings, or other protections, and explain how you’ll maintain a competitive edge.
If you’ve secured business advisors, mentors, or support from resources like NIST’s Manufacturing Extension Partnership, include them. These relationships can strengthen your plan and show that your firm has the right support network to succeed post-award.
Budget Planning and Documentation
Your Phase II budget must reflect a detailed, realistic plan for executing your proposed work over the 24-month project period. NIST generally allows up to $400,000 for Phase II awards, though the exact cap will be defined in the current Notice of Funding Opportunity (NOFO).
Begin by mapping your budget categories directly to your work plan. The standard categories include:
Each cost must be backed by a clear justification in the Budget Narrative. This document doesn’t count toward the 15-page limit but must be included in the submission package. Tie each line item to specific activities or milestones described in your work plan.
If you’re working with subrecipients, they may need to submit their own R&R Subaward Budget form. Clarify this early and coordinate with their administrative contacts to ensure forms are completed on time.
Final Review and Submission Strategy
As your proposal nears completion, set aside time for a full review. Every section should clearly address NIST’s four evaluation criteria: technical merit, commercial potential, broader impact, and team qualifications. Use a checklist to ensure each requirement is covered and each section is labeled exactly as instructed in the NOFO.
Before uploading your submission, double-check all attachments:
- Finalized technical narrative (within page limits)
- Commercialization plan
- Completed cover sheet
- Budget forms and justification
- Letters of support or commitment (if included)
- Phase I final report
- Updated registrations (SAM.gov, Grants.gov, SBA registry)
Plan to submit via Grants.gov at least 48 hours before the posted deadline. This buffer gives you time to troubleshoot unexpected technical issues or validation errors.
Submit at least 48 hours before the deadline to avoid Grants.gov upload errors.
If possible, ask a colleague not involved in the writing to review your proposal. A fresh perspective can help identify gaps in clarity or completeness that your team may overlook after weeks of drafting.