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Small Business Innovation Research (SBIR) & Small Business Technology Transfer (STTR) Program

SBIR


small business innovation research
seed money for high risk, high reward private sector ventures

Phase I Reporting Requirements

All reporting is administered through Research.gov. Please see the following website for technical guidance and tips on the submission process: Research.gov Reporting Information. The Research.gov can be contacted at Help Desk Rgov@nsf.gov or 1-800-381-1532. The requirements expected for the SBIR program are detailed below.

Phase I Reporting

An SBIR/STTR Phase II proposal will NOT be processed until a SBIR Phase I Final Report or Phase IB Interim Report is received and approved by NSF. These reports must be prepared using the Research.gov Research Performance Progress Report (RPPR). For grant guidance please reference the appropriate link: Phase I or Phase II.

Note: The Interim Report (IPR) reporting period is autopopulated to include only the date that the report was created (e.g., 05/01/2013 - 05/01-2013). This is a problem with the system that you cannot correct; please proceed with the report as normal.

Interim Report (for Phase IB only)

Phase I grantees exercising the Phase IB option must provide an interim report via Research.gov. [No-cost extensions may but are not required to submit an interim report]. The Interim Report should be submitted by the 15th day of the month following the end of the original SBIR/STTR Phase I grant performance period. Research.gov indicates that the Interim Progress Reports are optional. However, please disregard this statement as Interim Project Reports are a requirement of Phase Ib awards. A Phase IB Interim Report must have the following components:


1. COVER PAGE:

The report cover page is filled out and signed by the PI and the Authorized Company Representative. Once the cover page is filled out and signed, you MUST attach it as part of the interim report, using the following steps:

  1. Make sure you have Adobe Reader.
  2. Download the Cover Page Document.
  3. Fill out and print the form.
  4. Physically sign the Cover Page in the signature field.
  5. Scan the Cover Page as a PDF file.
    (Note: You must sign the cover page because you are certifying that all information contained in the report is accurate.)

2. TECHNICAL REPORT:

Documents the Phase I/IB research accomplishments; not to exceed 15 pages. This section must include the following components:

  1. A summary description of the research carried out, the results thus far and the activities to be carried out for the remaining time of the Phase I/IB project.
  2. Problems encountered and methods of resolution used.
  3. Problems remaining or unfilled research objectives.
  4. Conclusion of the Phase I/IB findings and how these conclusions support a Phase II proposal.
    (Note: The Phase IB technical report must be uploaded as part of the Phase II proposal submission if a Phase II proposal is submitted during the Phase IB extension.)

3. RESEARCH.GOV INFORMATION / SUBMISSION:

  1. Use your FastLane UserID and password to log into Research.gov
  2. On the Project Reporting Dashboard, select “Annual, Final, and Interim Report” to navigate to the “All Awards” tab. Navigate to the appropriate award.
  3. Once on the award screen, click on “Create IPR” in the upper right hand corner under “Available Actions”
  4. Complete the “Cover” information.
  5. Complete the “Products” and “Participants” tabs.
    This structured information is vital, and it should be completed via the HTML questions and check boxes (regardless of whether or not it is present in a supplementary PDF!!)
  6. (Optional) Complete the “Accomplishments”, “Impact”, “Changes/Problems”, and “Special Requirements” tabs with information or use the check boxes to indicate that there is “Nothing to Report”.
  7. Upload the COVER PAGE PDF in the “Special Requirements” section under “Supporting Files”. If "Special Requirements" tab is not visible, please upload the COVER PAGE PDF under the "Accomplishments" tab.
  8. Upload the TECHNICAL REPORT PDF in the “Accomplishments” section under “Supporting Files”.

 

Final Report

The electronic submission of the Final Report fulfills the NSF reporting requirements for a SBIR/STTR Phase I/IB grant. The Final Report should be submitted by the 15th day of the month following the end of the Phase I/IB grant performance period. A Phase I final report has the following components:

1. COVER PAGE: 

The report cover page is filled out and signed by the PI and the Authorized Company Representative. Failure to submit the SIGNED Report Cover Page as a part of the technical report will delay payment. Once the cover page is filled out and signed, you MUST attach it as part of the interim report, using the following steps:

  1. Make sure you have Adobe Reader.
  2. Download the Cover Page Document.
  3. Fill out and Print the form.
  4. Physically sign the Cover Page in the signature field.
  5. Scan the Cover Page as a PDF file.
    (Note: You must sign the cover page because you are certifying that all information contained in the report is accurate.)

2. TECHNICAL REPORT:

Documents the research accomplishments of the Phase I/IB project. This section should demonstrate that the research activities were carried out and are consistent with the level of effort originally proposed and the amount of funding received. This section should not exceed 15 pages including reference data, graphics, or tabular data. The technical report must include the following components:

  1. A summary/description of the research carried out, the results and the extent to which the stated Phase I/IB objectives were met.
  2. Problems encountered and methods of resolution used.
  3. Problems remaining or unfilled research objectives.
  4. Conclusions of the Phase I/IB findings and how these conclusions support a Phase II proposal.
    (Note: This technical report will be uploaded in the Phase II proposal.)

3. RESEARCH.GOV INFORMATION / SUBMISSION:

  1. Use your FastLane UserID and password to log into Research.gov.
  2. On the Project Reporting Dashboard, select “Annual, Final, and Interim Report” to navigate to the “All Awards” tab. Navigate to the appropriate award.
  3. Complete the “Cover” information.
  4. Complete the “Products” and “Participants” tabs.
    This structured information is vital, and it should be completed via the HTML questions and check boxes (regardless of whether or not it is present in a supplementary PDF!!)
  5. (Optional) Complete the “Accomplishments”, “Impact”, “Changes/Problems”, and “Special Requirements” tabs with information or use the check boxes to indicate that there is “Nothing to Report”.
  6. Upload the COVER PAGE PDF in the “Special Requirements” section under “Supporting Files”. If "Special Requirements" tab is not visible, please upload the COVER PAGE PDF under the "Accomplishments" tab.
  7. Upload the TECHNICAL REPORT PDF in the “Accomplishments” section under “Supporting Files”.
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