[{"data":1,"prerenderedAt":-1},["ShallowReactive",2],{"doc-seo-162188-105":3,"detail-sidebar-cat-1-en-105":80,"doc-detail-162188-en":126},{"code":4,"msg":5,"data":6},0,"ok",{"site_id":7,"language":8,"slug":9,"title":10,"keywords":11,"description":12,"schema_data":13,"social_meta":73,"head_meta":75,"extra_data":77,"updated_unix":79},105,"en","dhs-sbirsttr-phase-iii-award-job-aid-and-memorandum-for-record-template","DHS SBIR/STTR Phase III Award Job Aid and Memorandum for Record Template","","Guidance for executing DHS Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Phase III awards. Covers how Phase III work may be pursued after Phases I/II, including non-competitive and sole source follow-on requirements, documentation steps, and coordination with the DHS SBIR/STTR Program Office and SBA. Includes requirements for data rights and intellectual property, applicable contract clauses, and annual Phase III reporting via a Phase III Award Information Form.",{"@graph":14,"@context":72},[15,34,55],{"@type":16,"itemListElement":17},"BreadcrumbList",[18,23,27,31],{"item":19,"name":20,"@type":21,"position":22},"https://docshare.wps.com","Home","ListItem",1,{"item":24,"name":25,"@type":21,"position":26},"https://docshare.wps.com/template/","Template",2,{"item":28,"name":29,"@type":21,"position":30},"https://docshare.wps.com/template/letters/","Letters",3,{"item":32,"name":10,"@type":21,"position":33},"https://docshare.wps.com/template/dhs-sbirsttr-phase-iii-award-job-aid-and-memorandum-for-record-template/162188/",4,{"url":32,"name":10,"@type":35,"image":36,"author":41,"headline":10,"publisher":44,"fileFormat":47,"inLanguage":8,"description":12,"dateModified":48,"datePublished":49,"encodingFormat":47,"isAccessibleForFree":50,"interactionStatistic":51},"DigitalDocument",{"url":37,"@type":38,"width":39,"height":40},"https://docshare.wps.com/thumbnails/dhs-sbirsttr-phase-iii-award-job-aid-and-memorandum-for-record-template/162188.png","ImageObject",442,249,{"name":42,"@type":43},"Quinn","Person",{"url":19,"name":45,"@type":46},"DocShare","Organization","application/vnd.openxmlformats-officedocument.wordprocessingml.document","2026-09-19","2026-08-30",true,{"@type":52,"interactionType":53,"userInteractionCount":30},"InteractionCounter",{"@type":54},"ViewAction",{"@type":56,"mainEntity":57},"FAQPage",[58,64,68],{"name":59,"@type":60,"acceptedAnswer":61},"What is the purpose of the DHS SBIR/STTR Phase III job aid and memorandum template?","Question",{"text":62,"@type":63},"It provides practical insight into information commonly required to execute a Phase III SBIR/STTR contract, including authorities, documentation expectations, data rights, and reporting requirements.","Answer",{"name":65,"@type":60,"acceptedAnswer":66},"Under what conditions can Phase III awards be non-competitive or sole source?",{"text":67,"@type":63},"Phase III may be non-competitive/sole source when the awardee (or successor in interest) developed the technology under prior SBIR/STTR funding and the product/effort derives from, extends, or completes prior work, subject to availability, practicality, and capability requirements.",{"name":69,"@type":60,"acceptedAnswer":70},"How are IP and SBIR data rights handled for Phase I, II, and III?",{"text":71,"@type":63},"The SBIR awardee owns the data developed under an SBIR award, and SBIR Data Rights apply across Phase I, II, and III. Data rights cannot be negotiated prior to award and cannot be contingent on changes in data rights.","https://schema.org",{"og:url":32,"og:type":74,"og:title":10,"og:site_name":45,"og:description":12},"article",{"robots":76,"canonical":32},"index,follow",{"doc_id":78,"site_id":7},162188,1788119886,{"code":4,"msg":81,"data":82},"success",[83,88,93,98,103,108,113,117,122],{"id":84,"doc_module":22,"doc_module_name":25,"category_name":85,"show_sort_weight":86,"slug":87},11,"Presentations",90,"presentations",{"id":89,"doc_module":22,"doc_module_name":25,"category_name":90,"show_sort_weight":91,"slug":92},12,"Resumes",80,"resumes",{"id":94,"doc_module":22,"doc_module_name":25,"category_name":95,"show_sort_weight":96,"slug":97},14,"Invoices",70,"invoices",{"id":99,"doc_module":22,"doc_module_name":25,"category_name":100,"show_sort_weight":101,"slug":102},15,"Posters",60,"posters",{"id":104,"doc_module":22,"doc_module_name":25,"category_name":105,"show_sort_weight":106,"slug":107},16,"Social Media",50,"social-media",{"id":109,"doc_module":22,"doc_module_name":25,"category_name":110,"show_sort_weight":111,"slug":112},17,"Forms",40,"forms",{"id":114,"doc_module":22,"doc_module_name":25,"category_name":29,"show_sort_weight":115,"slug":116},18,30,"letters",{"id":118,"doc_module":22,"doc_module_name":25,"category_name":119,"show_sort_weight":120,"slug":121},21,"Paper Templates",5,"papers-templates",{"id":123,"doc_module":22,"doc_module_name":25,"category_name":124,"show_sort_weight":4,"slug":125},158,"General","general-158",{"code":4,"msg":81,"data":127},{"doc_id":78,"user_id":128,"nickname":42,"user_avatar":129,"doc_module":22,"category_id":114,"category_name":29,"doc_title":10,"doc_description":12,"doc_content":130,"file_id":131,"file_url":132,"file_type":133,"file_size":134,"view_count":30,"is_deleted":4,"is_public":22,"is_downloadable":22,"audit_status":22,"page_count":33,"language":135,"language_code":8,"site_id":7,"html_lang":8,"table_of_contents":136,"faqs":137,"seo_title":138,"seo_description":12,"update_tm":79,"read_time":26},962075114765,"https://ap-avatar.wpscdn.com/davatar_a8503ba1806abce46bf441b54a3ca4cd","(The comprehensive Small Business Innovation Research (SBIR) and\nSmall Business Technology Transfer (STTR) Program Policy Directive, dated October 1, 2020, is available at sbir.gov)\nIntroduction\nThe Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs are highly competitive programs that encourage domestic small businesses to engage in Federal Research/Research and Development (R/R&D) with the potential for commercialization.  Through a competitive awards-based program, SBIR and STTR enable small businesses to explore their technological potential and provide the incentive to profit from its commercialization.  By including qualified small businesses in the nation's R&D arena, high-tech innovation is stimulated, and the United States gains entrepreneurial spirit as it meets its specific research and development needs.\nThe SBIR/STTR programs may be utilized by all DHS Components.  To ensure compliance with SBIR/STTR program policy and reporting requirements, Contracting Activities shall coordinate with the DHS SBIR/STTR Program Office (\u0013 HYPERLINK \"mailto:stsbir.program@hq.dhs.gov\" \u0014stsbir.program@hq.dhs.gov\u0015) to issue an SBIR/STTR Phase I or II solicitation.  It is highly recommended Contracting Activities coordinate in advance of the pursuit of a Phase III effort.\nOverview of Phase I, II and III Awards\nPhase I and Phase II awards are executed by means of a structured competitive process, using SBIR/STTR funding, managed by the SBIR/STTR Program, resulting from SBIR/STTR solicitations compliant with the SBIR/STTR rules and polices.  Phase III SBIR/STTR awards are funded using Non-SBIR/STTR funding and can be done through a directed (non-competitive award, as the competitive requirements are satisfied by Phases I and II).  SBIR/STTR Policy allows Federal Agencies to award subsequent Phase III awards from other Federal Agencies’ SBIR/STTR awards.  There is no limit on the number, duration, type, or dollar value of Phase III awards made to a business concern.  In addition, there is no limit on the time that may elapse between a Phase I or Phase II award and Phase III award, or between a Phase III award and any subsequent Phase III award.\nPhase III Award Authorities and Requirements\nContracting Activities that pursue R/R&D or production of technology developed under the SBIR/STTR program shall issue Phase III awards relating to the technology, including sole source awards, to the SBIR/STTR awardee, or the successor in interest, that developed the technology under prior SBIR/STTR Funding Agreements authorized pursuant to 15 U.S.C. 638(r)(4), to the greatest extent practicable, consistent with an Agency’s mission and optimal small business participation.  When implementing this requirement, the contracting officer shall evaluate the work for consistency with its documented mission requirements, and shall consider the practicality of pursuing the work with the awardee through a direct follow-on award by performing market research to determine whether the firm was available, capable and willing to perform the work.\nIf pursuing Phase III work with the awardee on a sole source or non-competitive basis does not meet the requirements set forth regarding availability, practicality and capability, the contracting officer shall contact the DHS SBIR/STTR Program Office prior to the\n\u000f\nrelease of a solicitation in order to properly document the contract file and provide a copy of the decision, including the rationale, to the Small Business Administration. (SBA).\nIf the contracting officer does pursue a non-competitive, sole source award, the award may only be made (1) to the SBIR/STTR awardee (or the successor in interest) that developed the technology under the prior SBIR/STTR Funding Agreement; and (2) for a product or effort that is derived from, extends, or completes efforts made under a prior SBIR/STTR Funding Agreement.  In this case, the contracting officer shall include a completed DHS SBIR Ph","cbCaicd9bCspbRk4","https://ap.wps.com/l/cbCaicd9bCspbRk4","docx",40515,"English","# Introduction\n# Overview of Phase I, II and III Awards\n# Phase III Award Authorities and Requirements\n# Intellectual Property (IP) and Data Rights\n# Applicable Clauses\n# Annual Phase III Reporting Requirements\n# Conclusion\n# Points of Contact","[{\"question\":\"What is the purpose of the DHS SBIR/STTR Phase III job aid and memorandum template?\",\"answer\":\"It provides practical insight into information commonly required to execute a Phase III SBIR/STTR contract, including authorities, documentation expectations, data rights, and reporting requirements.\"},{\"question\":\"Under what conditions can Phase III awards be non-competitive or sole source?\",\"answer\":\"Phase III may be non-competitive/sole source when the awardee (or successor in interest) developed the technology under prior SBIR/STTR funding and the product/effort derives from, extends, or completes prior work, subject to availability, practicality, and capability requirements.\"},{\"question\":\"How are IP and SBIR data rights handled for Phase I, II, and III?\",\"answer\":\"The SBIR awardee owns the data developed under an SBIR award, and SBIR Data Rights apply across Phase I, II, and III. Data rights cannot be negotiated prior to award and cannot be contingent on changes in data rights.\"}]","DHS SBIR/STTR Phase III Award Job Aid and Memorandum for Record Template | DOCX"]