Understanding the TRL scale and SBIR/STTR programs

Some funding opportunities or programs refer to a scale known as TRL. The Technology Readiness Level (TRL) scale was originally developed by the National Aeronautics and Space Administration (NASA) and provides a common understanding of technology status. It is a scale with a range from 1 to 9, with 1 being basic research, and 9 equaling mature, "proven" technology. TRLs are generally consistent across the various federal agencies that use them, with some adaptations to create definitions that are specific to certain fields of science. For example, the Biomedical Advanced Research Development Authority (BARDA) uses TRLs with the same scale but has one specific set for drugs and biologics and another set for assays, models, and reagents.

The Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs are common federal funding mechanisms for technology projects that pursue commercialization. In FY2018, SBIR/STTR provided about $3.6B in contracts and grants to small U.S.-owned companies to develop new products that are based on innovative, untested ideas and technologies. Eleven federal agencies have SBIR programs, and five also have STTR programs. The chief difference between the two programs is that STTR requires the small business to collaborate with a research institution. The programs progress through phases. Phase I covers research and development across TRLs 1-3. Phase II typically ranges over TRLs 4-6. The last phase, Phase III, covers the final steps through to commercialization, or TRLs 7-9. Eligibility for Phase II and Phase III is dependent upon successful completion of the previous phase.

Phase III funding does not come through the SBIR program, but from other existing programs and solicitations from the agencies, which may include contracts for products, processes, or services. Funding mechanisms vary widely from agency to agency, and even within agencies.

More information about federal SBIR programs can be found at: https://www.sbir.gov/about/about-sbir