Forward Edge-AI, Inc. was awarded a Phase [enter Phase I or Phase II], [SBIR or STTR] Contract# or Award # [enter contract or award number] on [insert effective date of award], resulting from Solicitation [insert solicitation number], Topic Number [Topic number]. Topic [enter Topic number] was titled “[enter title]”. Forward Edge-AI was subsequently awarded a [SBIR or STTR or not applicable] Phase II [contract number or not applicable] on [date of award].

Topic [enter Topic number] sought the development of [enter brief description of the project from Forward Edge-AI Market Survey]. This Phase III effort [insert brief description of the Phase III project or what is being acquired]. This proposed funding agreement [enter brief explanation] and as a result has been deemed to [enter derive from, extend, or conclude] the Phase I/II effort.

This funding agreement is for [enter product, service, research, production, or combination of].

Lineage to prior SBIR/STTR PH I/II/III efforts:

Drafting Note (delete after reading): The Air Force refers to this as a "Determination and Finding (DNF)." The Army refers to this as a "Statement/Memorandum for Record (MFR)." The format may vary from agency to agency.

Definitions (delete after reading): An agency that wishes to fund an SBIR/STTR Phase III award, which derives from, extends, or concludes a prior Phase I and/or Phase II award, is not required to conduct another competition for the Phase III award in order to satisfy those statutory provisions. Phase III contracts “incorporate original concepts, findings, ideas, or research results that a contractor generated through performance of a contract or grant” awarded in prior SBIR/STTR phases. The following are examples of the types of activities that constitute SBIR Phase III work:

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Forward Edge-AI, Inc.

NASA Shared Service Center (NSSC) will negotiate with the above firm a Phase III contract.

[Provide a description of the research requested to meet the agency’s needs].

The estimated value of this effort is $[ estimated value ]. RELATED WORK:

[Explain the relevance of this research to this NASA Program (or to other programs)].

Forward Edge-AI, Inc. first introduced the technology in a Phase [enter I / II / III, or any combination] titled “[ enter the title of the previous Phase I, II, or III ]” on [enter the previous Phase I, II or III Agency's name ] Contract No. [enter the prior contract or award numbers].

Pursuant to FAR 13:106-l(b) and 13.106-3(b)(3)(i), the acquisition of the above referenced research is determined to be available from only one source. Competition is not required for the following reason:

The competition for SBIR – Phase I and Phase II awards satisfies any competition requirement of the Armed Services Procurement Act, the Federal Property and Administrative Services Act, and the Competition in Contracting Act. Therefore, an agency that wishes to fund an SBIR Phase III project is not required to conduct another competition in order to satisfy those statutory provisions. As a result, in conducting actions relative to a Phase III SBIR award, it is sufficient to state for purposes of a Justification and Approval pursuant to FAR 6.302-5, that the project is an SBIR Phase III award that is derived from, extends, or logically concludes efforts performed under prior SBIR funding agreements and is authorized under 10 U.S.C. 2304(b) (2) or 41 U.S.C. 253(b) (2).

COR/TM Signature

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DATE: [Drafting note: Customer to enter Month, Day, Year]

SUBJECT: Small Business Innovation Research (SBIR) or Small Business Technology Transfer (STTR) Program Phase III Award

CONTRACT NUMBER: [Drafting note: customer to enter Contract Number]

This project is an SBIR/STTR Phase III award that is derived from, extends, or completes efforts made under prior SBIR/STTR Funding Agreements and is authorized pursuant to 15 U.S.C. 638(r)(4). An agency that wishes to fund an SBIR/STTR Phase III award, is not required to conduct another competition for the Phase III award as competitions for SBIR/STTR Phase I and Phase II awards satisfy competition requirements.

A review of prior SBIR/STTR Funding Agreement(s) [Insert Phase I and II Contract Numbers] has been conducted. [Insert description of the current effort and the basis for the determination that the work derives from, extends or completes the prior funding agreements.] Therefore, this award [enter derives from, extends, or concludes] efforts made under the following prior SBIR/STTR Funding Agreements to Forward Edge-AI, Inc.

The Phase III work to be performed under this award applies to the following type(s) of activities: [enter derive from, extend, or conclude] the Phase I/II effort. This award is for [enter product, service, research, production, or combination of].

Pursuing Phase III work with the awardee was found to be practicable, and the firm was awarded a non-competitive contract, funded by the following source(s):(Insert source of funding that is not the SBIR/STTR program).

This award adheres to the Phase III guidelines set forth in the SBIR and STTR Program Policy Directive and includes the required SBIR/STTR Data Rights Clause.

__________________________

Name

Contracting Officer

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To be completed by procurement initiator:

TO: [Enter NOAA SBIR PROGRAM OFFICE] FROM: [ Enter Name of PROCUREMENT INITIATOR]

SUBJECT: PROPOSED SBIR PHASE III PROCUREMENT

The following SBIR Phase III procurement action is being initiated by this office:

Contractor Name: Forward Edge-AI, Inc.

Title/Description of Procurement: [enter description of Phase III project]

Estimated Dollar Amount of Procurement: [enter contract dollar amount]

Purchase Request Number/Date Initiated: [enter PR number]

Date Initiated: [enter date initiated]

Title/Proposal Number of Phase I and Phase II SBIR award: Date of completion of Phase I and Phase II SBIR awards: [enter title, proposal number, contract number, and date of completion of the Phase I/II awards]

To be completed by Contracting Officer at time of Award:

TO: [Enter NOAA SBIR PROGRAM OFFICE]

FROM: [Enter CONTRACTING OFFICER]

SUBJECT: AWARD OF SBIR PHASE III PROCUREMENT

The Phase III effort described above has been awarded. Contract/Order Number:

Award Amount: [Enter contract number and award amount of the Phase III SBIR contract]

Date of Award: [Enter date]

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Project Title: [Insert Project Title] SBIR Phase III

Contract Structure: [Insert Indefinite Delivery Indefinite Quantity/Stand-alone] Contract

Acquisition ID: [Insert Acquisition PIID]

Requiring/Client Organization: [Insert Client Organization Name]

Statement Prepared By: [Insert Preparer Name]

This SBIR Phase III effort will…[Insert contract scope – May use/adapt PWS/SOO/SOW scope]

The tasks which derive from, extend, and/or complete the Phase I and/or Phase II SBIR efforts are: [Insert applicable requirements/tasks – May use/adapt headings or language from Requirements/Tasks of PWS/SOO/SOW]

This SBIR Phase III award will derive from, extend and/or complete the efforts funded in the SBIR Phase I/II contract(s) listed in Section 2.0.

[Insert language demonstrating how the Phase III contract scope detailed in Section 1.0 derives from, extends, and/or completes the work in the Phase I/II efforts listed in Section 2.0.]

The following table crosswalks Phase I/II topic scope items to contract objectives and focus areas:

Forward Edge-AI is the identified industry partner performing under the SBIR topic(s) in Section 2.0 and resulting contract(s). The Phase I/II(s) was/were awarded to [Insert Contractor Name] and under the applicable SBIR and Small Business Technology Transfer (STTR) Program Policy Directive for work that derives from, extends, or completes efforts made under prior SBIR/STTR Funding Agreements.

Based on the information above, I approve the scope of work for this SBIR Phase III contract and concur that the scope derives from, extends, or completes the efforts made under the prior SBIR/STTR Funding Agreements listed in Section 2.0.

_______________________________ ________________

[Insert Client Name] Date

[Insert Client Job Title] [Insert Client Organization]

Email: [Insert Client Email Address] Phone: [Insert Client Phone Number]

Based on the information above, I concur that the SBIR Phase III contract will derive from, extend, and/or complete the efforts made under the prior SBIR/STTR Funding Agreements listed in Section 2.0 and is authorized pursuant to 15 U.S.C. 638.

_______________________________ ________________

[Insert CO Name] Date

Contracting Officer

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