January 01, 2024

Appendix A:

DHS SBIR/STTR Phase III Award Memorandum for Record Template

Drafting Note:  Tailor all aspects of this template to the individual acquisition and ensure that any template areas providing sample language or instructions (e.g. italicized and/or red language) are deleted prior to submission.

MEMORANDUM FOR RECORD

DATE: [Month, Day, Year]

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

CONTRACT NUMBER: [Insert 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 is derived from, extends, or completes efforts made under the following prior SBIR/STTR Funding Agreements to the awardee.

The Phase III work to be performed under this award applies to the following type(s) of activities: [SBIR/STTR-derived products or services intended for use by the Federal Government, funded by non-SBIR/STTR sources of Federal funding or; Continuation of SBIR/STTR work, funded by non-SBIR/STTR sources of Federal funding including R/R&D].

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

Appendix B:

DHS SBIR/STTR Phase III Award Form

						Phase III
Phase III Awardee – Company Name	City	State	Awarding Agency (subcomponent, prime or subcontractor)	Funding Agreement or Contract Number	Amount Obligated	FY for Obligation

				Associated Phase I/II Information (Can list more than one)
Associated Phase I and/or II Topic Number	Associated Phase I and/or II Topic Title (can list more than one)	Primary Phase I or II Awarding Agency (or subcomponent)	Primary Phase II Funding Agreement or Contract Number	FY Awarded

Note:

Note also in a Bid Protest Decision, General Accountability Office (GAO) determined that the Government (technical and contracts) has broad discretion on determining what extends, derives, or completes a SBIR Phase I/II

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