Cost Analysis and Pre-Award (CAP)

It is VITAL that all Phase I awardees ensure the integrity of their accounting systems and resulting financial statements from the outset of the Phase I project. If your SBIR or STTR Phase II proposal is considered for funding, your company will be required to provide detailed documentation to NSF (with a very short turnaround time) to enable the NSF CAP branch to conduct the required Phase II administrative and financial reviews. This includes an external financial capability review by an NSF-selected CPA firm to ensure that your organization is financially stable and will examine solvency, debt obligations, liquidity, historical profit and loss, cash flows, operating trends, and financial commitments. To prepare for this review and ensure that your company is eligible for Phase II funding, please watch the webinar and review the critical information found at the links below. Representatives from CAP will be available during the workshop on March 21st to answer questions.

Watch this 45-minute webinar hosted by NSF SBIR and CAP. Note that the webinar features reference to the “Cost Analysis and Audit Resolution (CAAR)” branch of NSF, which was what the CAP division was called until recently.

Webinar Slides

SBIR/STTR CAP Website

Frequently Asked Questions: NSF SBIR/STTR Phase II Budgets and Accounting

IP AWARENESS ASSESSMENT TOOL

The U.S. Patent & Trademark Office (USPTO) strongly recommends that all new Phase I awardees take the IP Awareness Assessment. The IP Awareness Assessment, developed under the joint efforts of the United States Patent and Trademark Office (USPTO) and National Institute of Standards and Technology/Manufacturing Extension Partnership (NIST/MEP), allows you to assess your intellectual property awareness. Following the completion of the assessment, you will receive customized training material.

OPEN ASSESSMENT TOOL