Reporting Information

Attention: Effective immediately the NSF SBIR/STTR program no longer requires Annual Commercialization Reports for Phase II awards for 5 years after the completion of the award. (See Section C)

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A. Reporting Requirements for Phase I/IB

B. Phase I Reporting

B.1 Interim Report (Phase IB)
B.2 Final Report

C. Phase II Reporting - Reporting Instructions - Please read carefully

C.1. Progress Reports
C.2. Phase II/IIB Final Report

Phase II Progress Report Example

A. Reporting Requirements for Phase I/IB.
SBIR/STTR Phase I grantees must submit a Phase I Final Report or a Phase I Interim Report prior to submitting a Phase II proposal. All reports must be prepared in FastLane. For additional support in preparing a report in FastLane please reference:How to Use FastLane for SBIR/STTR Project Reports and for grant guidance please reference the appropriate link Phase I or Phase II.

B. Phase I Reporting

B.1. Interim Report (for Phase IB)
The SBIR/STTR Phase IB Interim Report should not exceed 15 pages in length and the electronic submission of the Interim Report is a requirement for all Phase IB projects.

The SBIR/STTR Phase IB 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.

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. The SBIR/STTR Phase I Final Report must be prepared using the NSF FastLane Reporting System. Prepare the Phase I Final Report ensuring that all information is provided

Phase I grantees exercising the Phase IB option must provide an interim report via FastLane.  The report should provide a summary of accomplishments of the original Phase I grant. A Phase IB Interim Report must have the following components:

1. A Phase I/IB SBIR/STTR 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 then attach it as part of the interim report.  To attach the cover page; please follow the following steps:

1. Download the Cover Page Document
2. Make sure you have Adobe Reader
3. Fill out and Sign the cover page
4. Click the button inside of word to covert to an Adobe PDF File
5. Upload this PDF into the interim report.

Please note that you must sign the cover page as you are certifying that all information contained in the report is accurate.

2. An interim report section documenting the Phase I and IB research accomplishments. (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.) This section should not exceed 15 pages.

A Phase IB Interim Report Has 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 findings and how these conclusions support a Phase II proposal.

B.2. Final Report.
The SBIR/STTR Phase I/IB Final Report should not exceed 15 pages in length and the electronic submission of the Final Report fulfills the NSF reporting requirements for a SBIR/STTR Phase I grant.

The SBIR/STTR Phase I/IB Final Report should be submitted by the 15th day of the month following the end of the SBIR/STTR Phase I/IB grant performance period.

An SBIR/STTR Phase II proposal will not be processed until the SBIR Phase I Final Report is received and approved by NSF. The SBIR/STTR Phase I Final Report must be prepared using the NSF FastLane Reporting System. Prepare the Phase I Final Report ensuring that all information is provided.

A Phase I Final Report Has The Following Components:

1. A Phase I SBIR/STTR Final Report 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 then attach it as a part of the technical report. To attach the cover page; please follow the following steps:

1. Download the Cover Page Document
2. Make sure you have Adobe Reader
3. Fill out and SIGN the cover page
4. Click the button inside of word to convert to an Adobe PDF File
5. Upload this PDF into the technical report

Failure to submit the SIGNED Report Cover Page as a part of the technical report will delay payment

2. A technical report section documenting the research accomplishments of the Phase I/IB project. (Note that this technical report will be uploaded in the Phase II proposal.) 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 including 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.

Additionally, FastLane requires information on individuals participating on the project. This information is entered directly into the FastLane Reporting Module. The Phase I Final Report, including technical data, may be made available to the public except for that portion of the report containing technical data properly identified and marked as set forth in Treatment and Protection of Proposal Information. To the extent permitted by law, except for evaluation purposes, the Government will not release properly identified and marked technical data outside the Government without the approval of the grantee for a period of four (4) years from the expiration of a Phase II grant or from the expiration of the Phase I grant, when no Phase II award is made. The Phase I Final Report will be sent by NSF to the National Technical Information Service (NTIS) four years following expiration of the Phase II grant or four years from the expiration of the Phase I grant when no Phase II award is made.

C. Phase II Reporting:
Phase II grantees must submit Interim Progress Reports, and a Phase II Final Report. All reports are submitted electronically via FastLane. Interim reports must be submitted within 30 days after each six month period. The Phase II Final Report is required to be submitted 90 days following the expiration of the grant. Final payments will not be made and pending future proposals will not be processed until all final reporting requirements are satisfied. Note: No cost extensions do not change the requirement for six month interim reports.

Effective immediately the NSF SBIR/STTR program no longer requires Annual Commercialization Reports for Phase II awards for 5 years after the completion of the award.The NSF SBIR/STTR program has developed a new telephone interview process (endorsed by the SBIR External Advisory Committee) to gather this commercialization results information on the 3 rd, 5 th and 8 th anniversary of the  Phase II award. The telephone interview is part of the expanded awards management process within our program. The information on the company, the current status of commercialization, the products and/or services developed, why commercialization may have failed, intellectual property situation, key strategic and/or investor relationships, and employment statistics will be collected for a data base for subsequent analysis.

Phase II grantees will be contacted by NSF to schedule an interview at the appropriate times.

If you have any questions please contact Joseph Hennessey, Senior Advisor, at jhenness@nsf.gov or 703-292-7069.

C.1. Interim Progress Reports. (Interim Progress Reports used for reporting progress typically at the 6, 12, and 18 month performance periods).
Note: If you receive a Phase IIB supplement, you are required to provide progress reports, typically at the 24 and 30 month performance periods. Phase II progress reports must be submitted using the NSF FastLane Reporting System. Complete step-by-step instructions on how to prepare a SBIR/STTR Progress report in FastLane is located on the How to Use FastLane web page.

The interim progress report has four components:

1. A Phase II SBIR/STTR Report 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 then attach it as a part of the technical report. To attach the cover page; please follow the following steps:

1. Download the Cover Page Document
2. Make sure you have Adobe Reader
3. Fill out and SIGN the cover page
4. Click the button inside of word to convert to an Adobe PDF File
5. Upload this PDF into the technical reportFailure to submit the SIGNED Report
6. Cover Page as a part of the technical report will delay payment

2. Project Milestone Information Template ( Milestone Information Template)
The template is available as a Word document - Each progress report must contain updated Project Milestone Information. This section should reflect the cumulative effort and expenditures. The following are required:

1. Details on the level of effort (in person-months) by the PI, key personnel, and consultants and/or subawardees during the interim reporting period.
2. Level of effort ( in dollars) by the PI, key personnel and consultants and/or subawardees during the interim reporting period.
3. Permanent equipment (leased or purchased) and/or major purchases of supplies interim reporting period

3. A 3 to 5 page narrative that includes the following:

1. Details about progress and percentage completion of milestones during the interim reporting period. (Include a brief description of each task worked on during the reporting period.)
2. Problems encountered during the interim reporting period. (If NONE, so state.)
3. Status of commercialization activities the interim reporting period. (If NONE, so state.

4. An email must be sent to the Program Officer informing them that a report has been submitted via the FastLane system.

Progress reports provide information which justifies progress payments. Inadequate content, format, or time expenditure details will delay approval of interim progress payments. Under the standard payment schedule for Phase II grants (typically 24-months), one report is required within one month after the end of each respective progress period.

C.2. Phase II/IIB Final Report. Complete step-by-step instructions on how to prepare a SBIR/STTR Phase II Final Report in FastLane is located on the How to Use FastLane for SBIR/STTR Project Reports web page. Each Final Report has four components.

1. A Phase II SBIR/STTR Report 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 then attach it as a part of the technical report. To attach the cover page; please follow the following steps:

1. Download the Cover Page Document
2. Make sure you have Adobe Reader
3. Fill out and SIGN the cover page
4. Click the button inside word to convert to an Adobe PDFFile
5. Upload this PDF into the technical report

Failure to submit the SIGNED Report Cover Page as a part of the technical report will delay payment

2. Cumulative Project Milestone Information (Milestone Information Template) the template is available as a Word-97 document) ­ The cumulative milestone information must cover the entire performance period of the project. The following are required:

1. Details on the level of effort (in person-months) by the PI, key personnel, and consultants and/or subawardees.
2. Level of effort ( in dollars) by the PI, key personnel and consultants and/or subawardees.
3. Permanent equipment (leased or purchased) and/or major purchases of supplies.

3. A technical report section documenting the research accomplishments of the entire 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 10 pages plus associated reference data, graphics, or tabular data. The technical report will include the following four parts:

1. Summary description of the research carried out, the results and the extent to which the stated Phase II/IIB objectives were met.
2. Problems encountered and methods of resolution used.
3. Problems remaining or unfulfilled research objectives.
4. Unexpected or serendipitous results, information or events which may have altered the direction of the project. The impact these results may have on the potential transition into similar or related research or products.

4. A commercialization report section is a requirement of all Phase II/IIB grants (Blank Commercialization Report Format). The commercialization report section should not exceed 10 pages.

The Commercialization Report section has six (6) parts. Grantees are required to prepare the Commercialization Report section in the format shown below:

Part 1: Company Data (Basic data about the company and the SBIR project.)

SBIR/STTR Award Number:
Name of Company:
Company Address:
Telephone Number:
Fax Number:
Email:
Name and Title of the person preparing the report:

Part 2: Funding Commitment(s) (Status of any Funding Commitment(s))
Was the original FC exercised?

If yes, provide the following information:
Date:
Amount:
Source:

If no, provide explanation. Possible reasons for not exercising the FC:

a.) Technical Objectives not met.
b.) Technology by-passed in market place.
c.) Technology not economically viable
d.) Other (Explain)

Part 3: Were you awarded a Phase IIB supplement?
If yes, describe the commercialization activities related to this supplement.

Part 4: List any products and/or processes currently in the marketplace, or patents or other protection of intellectual property resulting from the SBIR/STTR project.

Part 5. Company Employment and Revenue Data

Part 6. Briefly describe the company's efforts to commercialize technology resulting from this SBIR/STTR award. (This includes customer/potential customer base, overview of marketing and sales strategies, market readiness and/or market window of opportunity and financingstrategies for product life cycle.)