The aim of this guide is to announce that NIH is implementing certain SBIR/STTR-specific certifications based on the SBIR/STTR Reauthorization Act 2011 and the Small Business Administration`s (SBA) SBIR and STTR guidelines. The guidelines revised the certifications required prior to the award and added that small businesses must certify that they meet the program requirements during the life cycle of the funding agreement. NiH will replace the “Verification Statement” form for small businesses with a revised certification of a pre-award funding agreement and will introduce a certification form after the award of life cycles, in accordance with the sBIR and STTR guidelines. If, after award, the grant manager believes that the entity does not meet certain requirements of the funding agreement, the Agency may request additional clarifications and supporting documentation to help verify the information provided. The certification and lifecycle certification forms for SBIR and STTR winners are now available in full format at: grants.nih.gov/grants/forms.htm#sbir. Nominees are encouraged to carefully review each form before applying or accepting a distinction. New certification: As of October 1, 2013, NIH will also require all new or continuous SBIR and STTR premium recipients to complete a “Life Cycle Certification” as soon as certain milestones have been achieved during the project period. Scholars are not required to send this certification directly to NIH, but must complete a certification and file it in accordance with the data retention policy in Section 8.4.2 of the NIH Grant Policy Statement. Certification is required at the following hours: if the delegate to the funding agreement (for grants is the person responsible for the management of the grants) believes that the company may not meet certain eligibility requirements at the time of award, it may request a size determination from the SBA which determines eligibility.
On that date, the SBA will ask the candidate small business for additional clarification and supporting documentation to help verify the information provided as part of the investigation request. All recipients of SBIR Phase I and Phase II must complete this certification at any time, as stipulated in the funding agreement (see point 8 (h) of the SBIR Directive). These include the verification of all fields and the signature of an authorized representative of the winner and the date of certification if necessary. Recipients are not required to submit this certification directly to NIH, but must complete the certification and retain it in accordance with the documents and conservation guidelines in Section 8.4.2 of the nih Grants Policy Statement or as indicated in the SBIR contract application or contracting. Certification is required at the following hours: Revised Certification: Effective October 1, 2013, NIH requires the conclusion of a SBIR Funding Agreement certification by all SBIR applicants for new or renewed grants prior to the award of a new award (subsidy or contract) or a competitive renewal bonus (grant or contract). Similarly, STTR funding certification is required of applicants for all new and competing STTR renewal grants.