[Federal Register Volume 88, Number 65 (Wednesday, April 5, 2023)]
[Notices]
[Page 20192]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-07070]



[[Page 20192]]

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NATIONAL SCIENCE FOUNDATION


Notice of Intent To Seek Approval To Renew an Information 
Collection System; Grantee Reporting Requirements for the NSF Small 
Business Innovation Research and the Small Business Technology Transfer 
(SBIR/STTR) Programs

AGENCY: National Science Foundation.

ACTION: Notice and request for comments.

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SUMMARY: Under the Paperwork Reduction Act of 1995, and as part of its 
continuing effort to reduce paperwork and respondent burden, the 
National Science Foundation (NSF) is inviting the general public or 
other Federal agencies to comment on this proposed continuing 
information collection.

DATES: Written comments on this notice must be received by June 5, 
2023, to be assured consideration. Comments received after that date 
will be considered to the extent practicable. Send comments to address 
below.

FOR FURTHER INFORMATION CONTACT: Suzanne H. Plimpton, Reports Clearance 
Officer, National Science Foundation, 2415 Eisenhower Avenue, Suite 
E7400, Alexandria, Virginia 22314; telephone (703) 292-7556; or send 
email to [email protected]. Individuals who use a telecommunications 
device for the deaf (TDD) may call the Federal Information Relay 
Service (FIRS) at 1-800-877-8339, which is accessible 24 hours a day, 7 
days a week, 365 days a year (including federal holidays).
    Comments: Comments are invited on: (a) whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the Foundation, including whether the information will 
have practical utility; (b) the accuracy of the Foundation's estimate 
of the burden of the proposed collection of information; (c) ways to 
enhance the quality, utility, and clarity of the information to be 
collected; and (d) ways to minimize the burden of the collection of 
information on those who are to respond, including through the use of 
automated collection techniques or other forms of information 
technology.

SUPPLEMENTARY INFORMATION: 
    Title of Collection: Grantee Reporting Requirements for the NSF 
Small Business Innovation Research and the Small Business Technology 
Transfer (SBIR/STTR) Programs.
    OMB Number: 3145-0252.
    Expiration Date of Approval: July 31, 2023.
    Type of Request: Revision to and extension of approval of an 
information collection.
    Abstract:
    Proposed Project: This request is for renewal approval of interim 
reporting requirements for the NSF Small Business Innovation Research 
(SBIR)/Small Business Technology Transfer Research (STTR) programs.
    The NSF SBIR/STTR programs focus on transforming scientific 
discovery into products and services with commercial potential and/or 
societal benefit. Unlike fundamental or basic research activities that 
focus on scientific and engineering discoveries, the NSF SBIR/STTR 
programs support the creation of opportunities to move fundamental 
science and engineering out of the lab and into the market at scale, 
through startups and small businesses representing deep technology 
ventures.
    The NSF SBIR/STTR programs have two phases: Phase I and Phase II 
(with an optional Phase IIB as matching supplements). SBIR/STTR Phase I 
is a 6-12 month experimental or theoretical investigation that allows 
the awardees to determine the scientific and technical feasibility, as 
well as the commercial merit of the idea or concept. Phase II further 
develops the proposed concept, building on the feasibility project 
undertaken in Phase I, and accelerate the Phase I project to the 
commercialization stage and enhance the overall strength of the 
commercial potential. As such, Phase II SBIR/STTR awards have a longer 
expected period of performance of 24 months.
    The NSF SBIR/STTR programs request approval from the Office of 
Management and Budget (OMB) on the renewal of the NSF SBIR/STTR Phase 
II interim/progress report data collection.
    The interim/progress report will be required every six months for 
the life of the Phase II award. The report collects information on the 
technical progress of the funded NSF work, which allows managing 
Program Directors to monitor the project and ensure that the award is 
in good standing.
    The report is divided into 6 sections: (1) Basic Reporting Data, 
(2) Level of Effort, (3) SBIR-wide Certifications, (4) Cooperative 
Agreement (NSF-specific Certifications), (5) Technical Narratives, and 
(6) Project Milestones.
    The kinds of data collected from the report include name of the 
startup company, information on the principal investigator (PI) (name, 
email address, and phone number), the number of full-time equivalent 
(FTE) employees working at the startup, amount of funding received 
during the award period. In addition, information pertaining to company 
officers and key personnel, their corresponding ownership status, and 
their levels of efforts provided to the startups are also requested. 
Collectively, these data will enable the managing Program Directors to 
(1) evaluate a given company's business structure, (2) ascertain the 
level of commitment of the PI(s), co-PI(s), and key personnel to the 
startup venture, and (3) identify conflicts of interests (if any), as 
part of the due diligence process that the programs undertake to verify 
that there are no fraudulent or inappropriate business practices.
    The report also asks about: inputs (i.e., project expenditures, 
efforts exerted by key personnel), outputs (i.e., R&D activities, 
technical progresses), outcomes (i.e., research milestones, fundraising 
activities), and impacts (i.e., technical and/or commercial successes).
    Finally, the report also requests: (1) a discussion of progresses 
highlighting key technical and commercial activity/results during the 
reporting period, (2) compliance requirements checklists from the Small 
Business Administration (SBA) and NSF, and (3) a Gantt chart describing 
the project status, as well as task assignments to key personnel in the 
project.
    Use of the Information: The data collected will be used primarily 
for award monitoring. The data could also be used for congressional 
requests, inquiries from the NSF's Office of the Inspector General, 
supporting evidence of litigations, auditing, and other legal 
investigations, NSF internal reports, and program evaluations, if 
necessary.
    Estimate of Burden: The estimated number of respondents is: 800. 
Average time to complete the interim report: 1.0 hour. The estimated 
total burden hours: 800 hours per year.
    Respondents: The respondents are either PIs or Co-PIs listed on the 
NSF SBIR/STTR Proposals, Founders, and/or Co-founders of the startups 
funded by the NSF SBIR/STTR programs.

    Dated: March 31, 2023.
Suzanne H. Plimpton,
Reports Clearance Officer, National Science Foundation.
[FR Doc. 2023-07070 Filed 4-4-23; 8:45 am]
BILLING CODE 7555-01-P