To initiate a Phase III sole source contract, the Government technical expert or Program Manager (PM) must document how the work to be performed on the Phase III contract derives from, extends or completes prior SBIR / STTR efforts. The Government Expert or PM, and/or the Company, must provide the narrative and lineage to prior SBIR / STTR PH I/II/III efforts. Below is a template used by NASA. Note: other templates available here

[Firm Name]

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

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).

The firm first introduced the technology in a Phase [I / II / III] titled “[ title ]” on [Agency such as NASA or Air Force] Contract No. [prior award number].

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).

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