Survey on SBIR Data Rights Protection under Phase III Contracts
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This survey is being conducted by the NDIA small business division to support the study being performed by the Intellectual Property Subcommittee. Further information is available at the following web site.

http://www.ndia.org/Content/ContentGroups/Divisions1/Small_Business/Subcommittee_on_Improving_IP_Protection.htm

Background: The SBA's SBIR Policy Directive section 4 (c) defines SBIR Phase III as work that derives from, extends or logically concludes effort(s) performed under prior SBIR funding agreements, but is funded by sources other than the SBIR Program. Examples of SBIR Phase III work include, but are not limited to: 4 ( c) (1) (ii) SBIR-derived products or services intended for use by the Federal Government, funded by non-SBIR sources of Federal funding; and 4 ( c) (1) (iii) continuation of R/R&D that has been competitively selected using peer review or scientific review criteria, funded by non-SBIR Federal funding sources.

The SBIR Policy Directive allows for Phase III awards to be made sole source to the developing Small Business, and also allows for the Small Business to claim Phase III status on competitive awards that include work that “derives from, extends or logically concludes” prior SBIR efforts.

A Phase III award has SBIR status and must be accorded SBIR data rights. Thus, if an SBIR awardee is awarded a non-SBIR-funded contract for work that derives from, extends, or logically concludes that firm's work under a prior SBIR funding agreement, whether the contract is awarded competitively or noncompetitively, then the funding agreement for the new work must be accorded SBIR Phase III status and must be granted all SBIR data rights.

The SBIR policy directive states that an agency official may determine, using the criteria set forth in the Directive as guidance, whether a contract or agreement is a Phase III award. The NDIA IP Protection subcommittee had previously issued a survey to NDIA small business division members soliciting feedback on IP protection issues of concern. Responses to this survey highlighted that different agencies used different criteria for determining whether a contract or agreement should have Phase III status. Also, some small businesses referred to cases where they believed that their contract or agreement should have received Phase III contract status in accordance with the Policy Directive but the agency had disagreed.

While the SBA has the final authority in determining whether agencies are correctly interpreting and following the SBA's SBIR Policy guidance, the NDIA IP subcommittee is issuing this survey to collect information on the rationale that has been previously applied to determine when a funding agreement should or should not be awarded SBIR Phase III status and data rights. This information will be used by the NDIA IP subcommittee to compile reference material with examples of SBIR Phase III funding agreements and the rationale used by the awarding agency to determine Phase III contract award status. The SBA's Office of Technology intends to review this material and use this, and other information, to provide illustrative examples that can be used by Government agencies and their Prime Contractors as guidance on how they can correctly apply the SBA's SBIR Policy Directive in determining Phase III contract award status.

1. All information provided in this survey will be handled in strictest confidence. The results of this survey will be used to compile statistics on types of intellectual property issues that small businesses have been experiencing. You may also be contacted by members of the NDIA subcommittee to discuss if you would be interested in participating as a case study under the study effort.

All information provided in this survey will be handled in strictest confidence. The results of this survey will be used to compile statistics on types of intellectual property issues that small businesses have been experiencing. You may also be contacted by members of the NDIA subcommittee to discuss if you would be interested in participating as a case study under the study effort. Name:
Company:
Address:
Address 2:
City/Town:
State:
ZIP/Postal Code:
Country:
Email Address:
Phone Number:

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2. Would you be willing to allow information from this survey be used as an illustrative example to be shared with the SBIR community? (Actual names of companies will be held confidential by the IP subcommittee)

Would you be willing to allow information from this survey be used as an illustrative example to be shared with the SBIR community? (Actual names of companies will be held confidential by the IP subcommittee) Yes

3. SBIR Phase 1 Solicitation Number (Please enter a new survey entry for each SBIR Phase III case study that you submit)

SBIR Phase 1 Solicitation Number (Please enter a new survey entry for each SBIR Phase III case study that you submit)

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4. Did you receive a follow-on, non-SBIR-funded contract with the Government or Prime Contractor?

Did you receive a follow-on, non-SBIR-funded contract with the Government or Prime Contractor? Yes

Survey on SBIR Data Rights Protection under Phase III ContractsExit this survey

*2. Would you be willing to allow information from this survey be used as an illustrative example to be shared with the SBIR community? (Actual names of companies will be held confidential by the IP subcommittee)

3. SBIR Phase 1 Solicitation Number (Please enter a new survey entry for each SBIR Phase III case study that you submit)

*4. Did you receive a follow-on, non-SBIR-funded contract with the Government or Prime Contractor?

Survey on SBIR Data Rights Protection under Phase III Contracts
Exit this survey

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2. Would you be willing to allow information from this survey be used as an illustrative example to be shared with the SBIR community? (Actual names of companies will be held confidential by the IP subcommittee)

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4. Did you receive a follow-on, non-SBIR-funded contract with the Government or Prime Contractor?