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Manage a Small Business SBIR/STTR Award

The following forms are required to manage an SBIR/STTR award. Information on applying for a small business grant may be found at How to Apply.

SBIR/STTR Grants

Form Name Form Number Description How to Access Instructions Additional Information Updated Date
SBIR VCOC (Venture Capital Operating Company/s) Application Certification

VCOC Certification

Certification for SBIR Applicants that are majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms. Used for SBIR grant and contract application/proposal submissions. N/A for STTR.

SBIR Application VCOC Certification pdf
SBIR Application VCOC Certification

 Applicant small business concerns that are majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms (e.g. majority VCOC-owned) are required to submit a Certification at time of their  SBIR application submission per the SBA SBIR Policy Directive.  Instructions are found in every SBIR grant and contract solicitation and in the SBIR/STTR Application Guide (FORMS-FFORMS-G) (Other Project Information form, Other Attachments field.)

December 2021
SBIR Funding Agreement Certification

SBIR Funding Agreement Certification

Certifications for SBIR applicants to determine eligibility for an SBIR/STTR award. Completed at the time of award.

SBIR Funding Agreement Certification pdf
SBIR Funding Agreement Certification

All small businesses that are selected for award of an SBIR funding agreement must complete this certification at the time of award and any other time set forth in the Notice of Award or Contract Award that is prior to performance of work under this award. This includes checking all of the boxes and having an authorized officer of the awardee sign and date the certification each time it is requested.

  • Used for SBIR grants and contracts.
December 2022
STTR Funding Agreement Certification

STTR Funding Agreement Certification

Certifications for SBIR/STTR applicants to determine eligibility for an SBIR/STTR award. Completed at the time of award.

STTR Funding Agreement Certification pdf
STTR Funding Agreement Certification

December 2022
SBIR Life Cycle Certification

SBIR Life Cycle Certification

Certifications for SBIR awardees (grants and contracts) to confirm continuing compliance with SBIR program requirements.

SBIR Life Cycle Certification pdf
SBIR Life Cycle Certification
SBIR Life Cycle Certification

All SBIR Phase I and Phase II awardees must complete this certification at all times set forth in the funding agreement (see §8(h) of the SBIR Policy Directive). This includes checking all of the boxes and having an authorized officer of the awardee sign and date the certification each time it is required. Awardees are not required to submit this certification directly to NIH but must instead complete the certification and maintain it on file in accordance with the records and retention policy in Section 8.4.2 of the NIH Grants Policy Statement or as listed in the SBIR contract solicitation or contract award. A certification is required at the following times:

  • For SBIR Phase I Awardees: At the time of receiving final payment or disbursement from the Payment Management System or via contract.
  • For SBIR Phase II Awardees: prior to receiving more than 50% of the total award amount and prior to final payment or disbursement from the Payment Management System or via contract.
December 2021
STTR Life Cycle Certification

STTR Life Cycle Certification

Certifications for SBIR/STTR grantees to confirm continuing compliance with program requirements

STTR Life Cycle Certification pdf
STTR Life Cycle Certification
STTR Life Cycle Certification

December 2021