SBIR Series: The Phase I Work Plan (Without the PhD-Speak)
If you're tackling your first SBIR or STTR proposal, welcome to the part that makes reviewers either nod in confidence or toss your file into the “nah” pile. It’s not about showing off credentials or flooding them with jargon. Your Phase I Work Plan is where you convince reviewers that (1) you’re solving a real problem, (2) you know exactly how to test your idea, and (3) you’re not guessing, you’re planning. Let’s walk through how to write a feasibility plan that earns trust, not shrugs.
Turn Your Topic Into a Feasibility Narrative
At the heart of every winning Phase I is a clear line from problem to testable idea to measurable results. You’re not being graded on how smart you sound, you’re being judged on how believable and testable your plan is.
Start here:
The problem: What is the specific challenge your solution addresses? Quote or reference the solicitation if needed.
Your hypothesis: What do you expect your innovation to do? Not grand visions, just a focused, testable hypothesis.
Feasibility goal: What does success in Phase I look like? Be specific, use performance benchmarks or prototype specs that make success measurable.
Example: “We hypothesize that integrating XYZ into ABC platform will reduce false positives by at least 30% compared to current methods.”
Methods to Milestones (aka: What You’ll Do)
Reviewers hate hand-waving. You need a real plan that maps tasks to milestones, and shows what you’ll have to show for it.
Map tasks to milestones over your agency’s Phase I period (e.g., DoD 6–12 months, NIH 6–24 months, NSF 6–18 months).
Break it down:
Tasks are what you do: design, build, test, measure.
Milestones are the measurable outcomes: working prototype, 100 test samples, error rate reduction, etc.
Risks are things that might block progress, and how you’ll adapt if they happen.
Use a Milestone & Risk Matrix. It shows you’ve thought through the journey and aren’t winging it.
Plan Your Evidence Package
You don’t have to be fully commercial-ready in Phase I, but you do need to start collecting proof points that your innovation is viable and wanted.
Check the solicitation: NSF Phase I prohibits Letters of Support; others may allow them.
If allowed, your evidence toolbox may include:
Letters of Support from potential end-users or stakeholders
Pilot tests or customer interviews that show the problem is real
Benchmarking against current solutions
A strong plan doesn’t just test functionality, it sets up downstream validation and use.
Bonus tip: Ask for a letter from someone who didn’t help develop your solution. Their interest holds more weight.
Team + Resources = Capability
Now’s not the time for generic bios. Tell reviewers why this specific team can do this specific work, and how.
Use the required format/limits (e.g., NIH 5-page biosketch; NSF follows current PAPPG/SBIR instructions; earlier NSF calls capped biosketches at 2 pages).
Include:
Key resumes or biosketches with relevant past projects or commercialization
A breakdown of who does what: in-house team vs. subcontractors
Facility details: Are you using a shared lab, your own shop, or a university partner?
Use our checklist to make sure you’ve accounted for the basics: lab space, software tools, security controls, and any specialized equipment.
Compliance Breadcrumbs (Don’t Wait Until Review)
Even in Phase I, reviewers want to see that you’re aware of compliance flags early.
State that IRB/IACUC approvals will be obtained prior to award/Just-in-Time as required, and note any ITAR/EAR considerations.
Also:
If NIH-funded and generating scientific data, include a DMS Plan per NIH policy; align privacy/consent with that plan.
If your tech has export control implications, flag it (e.g., “subject to ITAR review”).
You're not expected to solve these now, but you should show you know what to look for.
Package Your Phase I Mini-Plan
By now, you’ve got all the raw material for the Technical Volume's work plan section.
Include:
Feasibility hypothesis
Timeline with milestones
Success metrics and risks
Letters of support (if allowed)
Team and facility info
Compliance callouts
Together, this becomes your Phase I Mini-Plan, a clear, fundable roadmap.
Pro tip: Don’t use 10-dollar words when 1-dollar ones work. Reviewers are smart, but tired. Write for clarity, not complexity.
What’s Next? Commercialization.
Once your technical plan is locked in, you need to show why it matters beyond the lab. Who wants this? Who will pay for it? What’s the path from prototype to product?
That’s where we’re heading next, taking this Mini-Plan and layering in your market story.
Keep Going: Ready to build your commercial hook? Head to our next post: “From Hypothesis to Hustle: Writing the Phase I Commercialization Plan That Gets You to Phase II.”
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