Phase III Guidance

Phase I and II awardees may be interested in pursuing Phase III awards.  Phase III is work that derives from, extends, or completes the effort performed in Phase I or II. Businesses seeking Phase III awards from DOE are encouraged to read the following guidance.

Phase III awards are fundamentally different from Phase I and II awards and there are specific statutory and policy provisions that address these differences.  These differences are summarized in this document.

In September 2023, the Office of SBIR/STTR programs hosted a virtual workshop entitled Navigating Phase III Contracting – check out the recording and slides for more guidance on Phase III contracting.

Need additional help? Please contact the personnel below.

General Questions:  Carol Rabke, Tech to Market Advisor, Office of SBIR/STTR Programs, (301) 489-1128,

Questions concerning Phase III patent and data rights:  Mike Dobbs, Deputy Chief Counsel, Intellectual Property Law, (331) 465-1317,