Pre-Award Reporting Requirements for the National Science Foundation (NSF) Small Business Innovation Research (SBIR)/ Small Business Technology Transfer Research (STTR) Program

Forms and Documents

Document Name	Status
Form SBIR/STTR pre-awar Pre-Award Reporting Requirements for the National Science Foundation (NSF) Small Business Innovation Research (SBIR)/ Small Business Technology Transfer Research (STTR) Program Form and Instruction	New
SBIR Pre-Award Management Supporting Statement A_FINAL.docx Supporting Statement A	2022-10-07
nsf22551.pdf Supplementary Document	2022-10-05
SBIR-STTR_Policy_Directive_2019.pdf Supplementary Document	2022-10-05

IC Document Collections

IC ID	Document Title	Status
256294	Pre-Award Reporting Requirements for the National Science Foundation (NSF) Small Business Innovation Research (SBIR)/ Small Business Technology Transfer Research (STTR) Program Form and Instruction	New

ICR Details

OMB Control No:	ICR Reference No: 202210-3145-001
Status: Received in OIRA	Previous ICR Reference No:
Agency/Subagency: NSF	Agency Tracking No:
Title: Pre-Award Reporting Requirements for the National Science Foundation (NSF) Small Business Innovation Research (SBIR)/ Small Business Technology Transfer Research (STTR) Program
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 10/07/2022

	Requested	Previously Approved
Expiration Date	36 Months From Approved
Responses	750	0
Time Burden (Hours)	125	0
Cost Burden (Dollars)	3,375	0

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Abstract: This clearance that will allow the SBIR/STTR programs to collect information from a selected group of Phase I and Phase II applicants—those that have been reviewed by independent experts and that NSF Program Directors are considering recommending for funding—for the purpose of making a funding decision. This information includes, but is not exclusive to, a list of company officers and the corresponding ownership status of each company officer within the startup, whether the startup is associated or affiliated with other companies, whether there exist any relationships (personal, financial, and/or professional) between project personnel, and the locations of all the facilities where significant research will be performed for the proposed project. Such data will enable the NSF Program Directors to evaluate a given company’s business structure, ascertain the level of commitment of the Principal Investigator (PI) and co-PIs to the startup venture, and identify conflicts of interests (if any), as part of the due diligence process that the programs undertake to verify there are no fraudulent or inappropriate business practices prior to recommending the small business for an award.

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Authorizing Statute(s): US Code: 42 USC 1861 et seq. Name of Law: National Science Foundation Act of 1950, as amended
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 38428	06/28/2022
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 60418	10/05/2022
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Pre-Award Reporting Requirements for the National Science Foundation (NSF) Small Business Innovation Research (SBIR)/ Small Business Technology Transfer Research (STTR) Program	SBIR/STTR pre-award	SBIR/STTR pre-award

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ICR Summary of Burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	750	0	0	750	0	0
Annual Time Burden (Hours)	125	0	0	125	0	0
Annual Cost Burden (Dollars)	3,375	0	0	3,375	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: This is a new collection for the National Science Foundation

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Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 10/07/2022

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