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Phase I Reporting Requirements

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Phase I SBIR/STTR grantees have formal reporting obligations in two different contexts: 1) when the Phase I award period ends and 2) when the follow-on Phase II proposal is submitted. These two requirements have similar deliverables, but happen at different times and are accomplished through different electronic systems. See details on each requirement below.

Reporting Requirements: End of Phase I Award

This requirement 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/STTR program are detailed below.

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.

If the instructions on this website conflict with instructions provided to you by NSF via email or another NSF web page, the instructions on this page supersede all other instructions!

1. COMPLETE COVER PAGE (uploaded as a single PDF):

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. COMPLETE TECHNICAL NARRATIVE (uploaded as a single PDF):

Documents the Phase I 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 remainder of the Phase I project (if applicable).
  2. Problems encountered and methods of resolution used.
  3. Problems remaining or unfilled research objectives.
  4. Conclusion of the Phase I findings and how these conclusions support a Phase II proposal.

3. SUBMIT REPORT VIA RESEARCH.GOV:

  1. Use your FastLane UserID and password to Log in to 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 NARRATIVE PDF in the "Accomplishments" section under "Supporting Files".

Reporting Requirements: Phase II Proposal Submission

This requirement is managed through Fastlane during the Phase II proposal submission process, which may occur before or after the Phase I project ends. As a requirement of this process, an up-to-date Technical Narrative (not to exceed 15 pages), with the same format as that listed in section 2 above, should be prepared and included in the Phase II proposal as a supplementary document. See the Phase II proposal preparation instructions page here for more detail.

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