An official website of the United States government

Here's how you know

U.S. Department of Health and Human Services National Institutes of Health

Official websites use .gov

A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS

A lock ( ) or https:// means you've safely connected to the .gov website. Share sensitive information only on official, secure websites.

COVID-19

Expand for resources

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
Grant Application - Standard Form 424 (Research & Related)	SF424 (R&R)	Use to apply for grants and cooperative agreements.	Forms must be completed and submitted using ASSIST, Workspace, or institutional system-to-system solution. See Submission Options. The Application and Submission Information section (Section IV) of each funding opportunity identifies the customized set of forms (referred to as an “application package”) required for that opportunity. Each of the approved submission options automatically present the correct application package based on opportunity number (e.g., PA-FY-123).	See How to Apply – Application Guide for general instructions. Additional instructions may be found in the funding opportunity.	Needs Tips about Forms? Annotated forms Accessing forms video (2 mins) ► Play video PDF copies of forms found in electronic application packages. The individual application forms (in PDF format) below are for reference only. These forms CANNOT be uploaded to Workspace or ASSIST and CANNOT be used for grant application submission to NIH. Only forms accessed, prepared and submitted through ASSIST, an institutional S2S solution, or Grants.gov Workspace will be accepted. For Reference ONLY! SF424 (R&R) PHS 398 Cover Page Supplement R&R Other Project Information Project/Performance Site Locations(s) R&R Senior/Key Person Profile (Expanded) R&R Budget- 5yr R&R Budget - 10yr PHS 398 Modular Budget PHS 398 Training Budget SF 424C Budget Information – Construction Programs PHS 398 Research Plan PHS 398 Career Development Award Supplemental Form PHS 398 Research Training Program Plan PHS Fellowship Supplemental Form SBIR/STTR Information PHS Human Subjects and Clinical Trials Information Study Record PHS Assignment Request Form Updates: FORMS-H Due dates on/after January 25, 2023 Having trouble opening the PDFs? Download form and open with your local PDF viewer, not your browser. These fillable form PDFs (created and maintained by Grants.gov) are not compatible with the PDF viewers of all browsers. PDF Compatibility Notice NOTE: These forms are not compatible with your Browser's PDF viewer. To open these files: Download Form Go to your Downloads folder Right-Click on your file > Open with > Acrobat Reader Note that you may have to update Acrobat to the latest version. Download Form	March 2020
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	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-F; FORMS-G) (Other Project Information form, Other Attachments field.)	SEED's guidance on Preparing Your Application	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	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			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 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 STTR Life Cycle Certification			December 2021

Technical Issues: E-mail OER Webmaster