Defense Tech BaseHow the course works
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Lesson 1 of 5
Map proposed work to the original research
A useful Phase III starting point is a documented relationship between the proposed work and prior SBIR/STTR effort.
Collect the original award reference, topic, statement of work, deliverables and relevant reports. Then describe the proposed follow-on in ordinary product or service language. Map each proposed deliverable to the prior effort it derives from, extends or completes. Keep unexplained additions visible.
This relationship is more useful than saying “we have an SBIR.” An award attached to the company does not automatically establish a link for every product or future project. Your map should let a customer inspect which work is connected and what evidence supports that connection.
Use a short lineage table: original effort, relevant result, proposed deliverable, supporting reference and open question. Avoid copying controlled or proprietary technical material into a public worksheet; references and a suitable summary are enough for an initial working draft.
A worked example
Illustrative example: an award developed a scheduling method. A follow-on integrates that method into a user workflow; an unrelated analytics feature remains a separate scope question.
Put it to work
Prepare a lineage table for your proposed follow-on and identify any deliverables without an explained connection.
- Original awards and work references located
- Proposed deliverables individually mapped
- Unexplained scope additions identified
Lesson 2 of 5
Separate the user from the transition buyer
A transition customer needs an actual use case and purchasing path; technical interest alone does not establish either.
Identify the user who would benefit, the organization responsible for the workflow and the team that could purchase the follow-on. Ask how the work would be evaluated, accepted and supported. Do not substitute a supportive conversation for a recorded customer requirement.
Describe the operational or business result in terms the prospective customer can test. Keep research achievements separate from deployment evidence. A successful laboratory result can be relevant while still leaving integration, training, sustainment or acceptance questions open.
Prepare questions for the customer rather than a presumed acquisition plan: what outcome matters, which current process it changes, who owns evaluation, what evidence is needed and which constraints could prevent adoption. Record responses with their source and date.
A worked example
Illustrative example: a prototype has an enthusiastic research sponsor, but no operating unit has agreed to evaluate it. The plan identifies that customer conversation as the next dependency.
Put it to work
Write a one-page transition use case with user, evaluation owner, purchased deliverable and unanswered adoption questions.
- User and purchasing organization distinguished
- Acceptance evidence defined as a question
- Technical and deployment evidence separated
Lesson 3 of 5
Clarify funding and acquisition questions
Phase III uses non-SBIR/STTR funding; a plausible follow-on still needs a customer-funded acquisition.
Make a funding-question log that distinguishes confirmed information, customer statements and assumptions. Identify the proposed purchased scope and the organization that can explain the acquisition route. Do not infer an available budget from an agency’s historical award total.
Ask the contracting team which evidence it needs to evaluate the relationship to prior SBIR/STTR work and the proposed route. DOT’s official guidance describes a possible sole-source follow-on; that possibility is not a promise of an award to your company.
Estimate the team’s effort to support the discussion and the dependencies before delivery can begin. A customer may need technical evaluation, integration approval or other preparation. Keep those actions separate from the contracting decision so you can make useful progress without claiming the acquisition has been approved.
A worked example
Illustrative example: a team hears “there may be funds next quarter.” It records that as unconfirmed and asks which office owns the requirement and what documentation the contracting team needs.
Put it to work
Record five acquisition questions, the appropriate owner for each and what would count as a confirmed answer.
- Funding assumptions remain explicit
- Contracting questions have owners
- Possible route distinguished from award commitment
Lesson 4 of 5
Organize data-rights questions before sharing
Review rights and markings using the actual awards, agreements and proposed deliverables, rather than a generic promise about owning all IP.
Collect the applicable clauses and rights records for the prior work. Identify the technical data, software and other deliverables in the proposed follow-on. Keep company ownership, government license rights, marking obligations and disclosure decisions as separate questions.
Create a deliverable-by-deliverable rights checklist with the relevant agreement reference, proposed recipient and unresolved issue. Ask appropriate counsel or the contracting team to review those questions. A course cannot decide the rights treatment of an agreement it has not seen.
Use a sanitized summary for early customer and investor discussions. Decide what can be shared before sending detailed material, and keep a record of what was supplied and under which process. This allows a practical conversation without assuming every audience needs your complete technical record.
A worked example
Illustrative example: a founder separates a demonstration summary from source-code delivery and asks counsel to review the applicable rights and markings before either is shared.
Put it to work
Prepare a rights-question register for the proposed deliverables and assign the review to a qualified owner.
- Actual clauses and prior agreements collected
- Deliverables reviewed separately
- Sharing and marking questions assigned
Lesson 5 of 5
Assemble a transition brief and action plan
A good transition brief lets a customer inspect the proposed result, research lineage, delivery evidence and remaining acquisition questions.
Keep the first version short enough to discuss. Include the use case, proposed work, original award references, lineage summary, current evidence and an outline of delivery and acceptance. Distinguish what exists from what requires additional development.
Add a visible question log for funding, purchasing route, integration, rights and support. Do not label the project “approved Phase III” unless the responsible agency has actually established that status. A careful brief is useful precisely because it lets the right people resolve open questions.
Finish with a meeting objective and a small number of next actions. Ask for review of the proposed scope and identification of the correct acquisition owner. Record the response, update the brief and retain the original evidence. This turns the course into a repeatable working process rather than a one-time document.
A worked example
Illustrative example: the founder’s meeting goal is to validate the work package and identify the contracting point of contact, not to announce a funding decision that has not happened.
Put it to work
Combine your four prior exercises into a transition brief, with three next actions and an owner for each.
- Scope and research lineage are understandable
- Evidence and open questions are distinct
- Next meeting has a concrete review objective
Questions about this course
What makes work SBIR Phase III?
The work must derive from, extend or complete prior SBIR/STTR effort and use non-SBIR/STTR funding. Document the relationship and have the agency evaluate the proposed acquisition.
Does Phase III guarantee a sole-source award?
No. A potential Phase III route does not establish a funded requirement or promise an award. The customer and contracting team must address the actual acquisition.
Can I use the course before I have a transition buyer?
Yes. Use the exercises to identify missing customer evidence and prepare the questions needed for a useful transition discussion. A completed worksheet does not establish a buyer commitment.