The Complete List of NIH SBIR/STTR Application Forms (And Which Ones to Skip)
Quick Answer
An NIH SBIR/STTR application is built from a specific set of standardized forms, most of which live in NIH's general application guide alongside forms for grant types you will never use. Knowing which forms actually apply, in what order, and which ones to skip with confidence saves real time and avoids the confusion of trying to figure out whether a Modular Budget Form or a Training Budget form belongs in your package. It does not.
The Forms Your Application Actually Uses
SF 424 (R&R) Form. The cover form: applicant identity, project title, dates, and contacts. If you are submitting a Phase II or later application following an earlier award, this is where you enter the prior Phase I or Phase II grant number, in the Federal Identifier field.
PHS 398 Cover Page Supplement. Supplemental cover information beyond the SF 424, including program income and certain certifications. Short and structured, with little room for interpretation.
R&R Other Project Information. This form holds several attachments you write yourself: the Project Summary/Abstract, the Project Narrative, Facilities, and Equipment, along with human-subjects and vertebrate-animal flags. If your business is majority owned by a VC, hedge fund, or private equity firm, the VCOC certification attaches here as well.
Project/Performance Site Location(s). Where the work physically happens. This needs to line up with your U.S.-performance certification and your work-split percentages, since a mismatch between where you say the work happens and where your budget or personnel are located is the kind of inconsistency reviewers notice.
R&R Senior/Key Person Profile (Expanded). Profiles and biosketches for your PD/PI and key personnel. Remember the SBIR PD/PI primary-employment rule here, and that biosketches must now come from SciENcv rather than being built by hand. Budget real time for this step, since SciENcv setup can take longer than expected for personnel who have never used it.
R&R Budget Form (detailed). The budget SBIR/STTR applications actually use: personnel, equipment, travel, other direct costs, and indirect costs, plus fee, with a written justification. Any TABA request is entered here under Other Direct Costs, and your number needs to stay within your Institute's specific cap.
R&R Subaward Budget Attachment(s). Only required if you have a subaward, such as the research-institution partner required in an STTR project or a consultant organization. Each subaward gets its own detailed budget.
PHS 398 Research Plan Form. This is where the application is won or lost. It holds your Specific Aims and Research Strategy, plus attachments for vertebrate animals, letters of support, consortium arrangements, and resource sharing. Investor or partner commitment letters supporting your commercialization story go in the Letters of Support attachment here.
SBIR/STTR Information Form. The form that makes this an SBIR/STTR application rather than a standard research grant: your program and phase, your SBC Control ID, your eligibility certifications, and your Commercialization Plan. This form deserves its own dedicated read, since several of its answers are legal certifications rather than simple checkboxes.
PHS Human Subjects and Clinical Trials Information. Required even when you have no human subjects, since you complete it to formally record that determination. If your project does involve human subjects or a clinical trial, this form becomes substantial, so start it early rather than treating it as a late-stage checkbox.
PHS Assignment Request Form. Optional. Use it to request a specific Institute and study section, and to name individuals who should not review your application. Only NIH referral staff see this form, so it has no bearing on how reviewers read your science.
Forms You Can Skip With Confidence
Most of NIH's general application guide covers grant types that are not small business awards. Unless your specific NOFO calls for one of these, you can skip them entirely:
PHS 398 Modular Budget Form. Use the detailed R&R budget instead.
PHS 398 Training Budget and Training Subaward Budget.
PHS Additional Indirect Costs Form. Rare and situational.
SF 424C Construction Budget. Construction programs only.
PHS 398 Career Development Award Supplemental. This is for "K" awards.
PHS 398 Research Training Program Plan. This is for "T" programs.
PHS Fellowship Supplemental Form. This is for individual "F" fellowships.
Why the Order Matters
These forms are not independent of each other. Your Performance Site Location needs to match your work-split percentages. Your budget needs to reflect your finalized Research Plan and personnel. Your SBIR/STTR Information Form certifications need to match facts established earlier in the process, not be treated as a final step you fill in quickly at the end. Working through these forms in order, rather than jumping around, is what keeps the whole package internally consistent by the time you submit.
FAQ
Which NIH form actually makes an application an SBIR or STTR application? The SBIR/STTR Information Form. It carries your program and phase designation, your SBC Control ID, your eligibility certifications, and your Commercialization Plan.
Do I need to complete the Human Subjects form if my project has no human subjects? Yes. It is required even when you have no human subjects, since completing it is how you formally record that determination for NIH.
Is the PHS Assignment Request Form required? No, it is optional. It lets you request a specific Institute and study section and name individuals who should not review your application, but only NIH referral staff see it.
Should I use the Modular Budget Form for my SBIR application? No. The Modular Budget Form is for certain other research grants, not SBIR/STTR. Use the detailed R&R Budget Form instead.
Where do investor or partner commitment letters go in the application? In the Letters of Support attachment within the PHS 398 Research Plan Form, alongside your Specific Aims and Research Strategy.