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
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.

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. See SBIR/STTR Instructions in the How to Apply - Application Guide (R&R Other Project Information Form, Other Attachments field).

• SEED's guidance on Preparing Your Application

PHS 416-1

Use only for a change of sponsoring institution applications.
 

NRSA Forms and Instructions

May be submitted electronically. Follow instructions in funding opportunity.

PHS 6031-1

The Annual Payback Activities Certification form is the formal communication between former Kirschstein-NRSA recipients and the PHS regarding the status of payback activities.

The certification form must be signed and returned to the NRSA Payback Service center. See form instruction for details.

There is no electronic system for submission of the Annual Payback Activities Certification. 

NIH Grants Policy Statement, Section 11.4.4 Certification of Payback Activities

Annual Payback Activities Certification instruction and form
Annual Payback Activities Certification instruction and form

PHS 6031

To be completed by trainees and fellows in their first 12 months of post-doctoral support.

There is no electronic system for submission of the Payback Agreement.

Payback Agreement instructions and form
Payback Agreement instructions and form

• See NIH Grants Policy Statement, Section  11.3.13.2 Payback Agreement (Form PHS 6031)

PHS 416-7

Used to document the termination of appointments to non-NRSA individual and institutional research training programs. The Termination Notice serves as the official record of your training.

Must use the eRA Commons xTrain system to prepare Termination Notices.  
 

For reference only

Termination Notice form and instruction
Termination Notice form and instruction

• See NIH Grants Policy Statement, Section 11.3.13.3 Termination Notice (Form PHS 416-7)
• xTrain Help & Tutorials

PHS 416-5

All fellows must complete this form for the first year of their fellowship, indicating their start date under the fellowship and other requested information.

There is no electronic submission system for fellowship activation notices.
 

Individual Fellowship form and instructions
Individual Fellowship form and instructions

• See NIH Grants Policy Statement, Section 11.2.11.1 Activation Notice

PHS 2271

Use for each appointment of an individual as a trainee under a Kirschstein-NRSA or other institutional training grant.
Also use for appointments on career development awards.

Must use the eRA Commons xTrain system to prepare and submit PHS 2271 Statement of Appointment forms.
 

For reference only

Statement of Appointment form and instructions

• See NIH Grants Policy Statement, Section 11.3.13.1 Statement of Appointment (Form PHS 2271)
• xTrain Help & Tutorials

NIH’s Federal Financial Report Supplemental Instructions provide
NIH grantees with instructions they should follow in conjunction with the standard FFR Instructions. 

SF 425

The Federal Financial Report (FFR) is used to submit financial information about individual grant awards. The FFR is required on an annual basis, except for domestic awards under the Streamlined Noncompeting Award Process (SNAP) and awards that require more frequent reporting as indicated in the Notice of Award. When required on an annual basis, the report must be submitted for each budget period no later than 90 days after the end of the calendar quarter in which the budget period ends.

In lieu of the annual FFR expenditure data, NIH will monitor the financial aspects of grants under SNAP by using the information submitted directly to PMS.

A final FFR shall be submitted at the completion of the award agreement for all awards. For final FFRs, the reporting period end date shall be the end date of the project or grant period. The final FFR must be submitted within 120 days after the end of the competitive segment.

FFR instructions should be used in combination with the NIH Federal Financial Report supplemental instructions

• eRA Submit Federal Financial Report page
• NOT-OD-24-017: NIH Will Send Reminder Notifications to Recipients with Final Federal Financial Reports (FFRs) in Rejected Status Beginning November 2023
• NOT-OD-23-086: Updated Process for Requesting Drawdowns Outside of the Liquidation Period
• Effective April 1, 2022, recipients are no longer required to submit quarterly cash transaction reports 30 days after the end of each calendar quarter. Instead, PMS will pre-populate the cash transaction section (lines 10a through 10c) of the FFR using recipient real-time cash expenses information from PMS, and adjust recipient-reported disbursements to equal cash advance drawdowns on all non-closed sub-accounts (PMS type P). See NOT-OD-22-099 for additional details.
• In June 2021 NIH began converting final FFRs to interim FFRS in the Payment Management System to bypass some system checks to reconcile expenditure versus quarterly cash transaction data (NOT-OD-21-138). This conversion practice was discontinued in September 2022 (NOT-OD-22-215)