Useful Documents for Awardees

Frequently Asked Questions following Award:
Here you will find the answers to many of the questions asked following the award of a Phase I or Phase II SBIR/STTR award. Answers to areas of inquiry include, award notification, no-cost extensions, progress reports, and audit requirements.

Awardees’ project reporting requirements are identified on the Federal Assistance Reporting Checklist and Instructions for RD&D Projects, DOE F 4600.2, attached to the award agreement.

Property and Commercialization Rights:  applies to STTR Program Only

The Small Business Administration Policy Directive (PD) establishes policy for the conduct of the STTR program. The PD requires that an agreement exist between the Small Business Concern (SBC) and the participating Research Institution concerning the allocation of property and commercialization rights.

  • DOE Certification Form: Certification for Property and Commercialization Rights Agreement

    Please use this DOE Certification form to certify that an agreement exists between an SBC and the Research Institution that allocates intellectual property rights and rights, if any, to carry out follow-on research, development, or commercialization resulting from an STTR project.

General Terms and Conditions:
The general terms and conditions do not restate all the provisions of applicable statutes and regulations, nor do they represent an exhaustive listing of all requirements applicable to this Assistance Agreement. Rather, they highlight and are consistent with those requirements which are especially pertinent to research grants in general. Note that there are different T&Cs with and without TABA:

Funding Agreement Certification – Time of Award
Awardees are required to sign the following funding agreement certifications at time of award:

Funding Agreement Certification – Life Cycle
Awardees will also sign certifications when they submit renewal applications or at the completion of their award.

Phase Shift <> TABA Coordination
How DOE SBIR/STTR Phase Shift (formerly known as I-Corps) and Technical and Business Assistance (TABA) Programs Work Together Toward Improved Commercialization Outcomes. Read more…

Guidance for Phase III Awards at DOE

The continuation of SBIR/STTR Special Intellectual Property Rights during Phase III awards is described in this document.  This guidance may be helpful to both DOE Contracting Offices issuing Phase III awards and the small businesses receiving them.