Disclosure of Foreign Relationships 

All SBIR and STTR applicants must disclose their foreign relationships as required by the SBIR and STTR Extension Act of 2022. Please see the link at right to access the form.  Instructions are included on the form and included below as well.  

Please note that even if you do not have any foreign relationships, you must complete this form to certify that such relationships do not exist. Failure to include this form may result in declination of your application without review at DOE’s discretion. 

The completed and signed foreign relationship disclosure form is attached to field 12 of the Research and Related: Other Project Information form. 

For an up-to-date list of countries that are considered “of concern,” please visit SBIR.gov and review the “Required Disclosures of Foreign Affiliations or Relationships” section.   

Disclosure of Foreign Relationships Form Instructions: 

\Disclosure of Foreign Relationships Form Instructions 

Field/Question 

Instructions 

Applicant Name 

Enter the name of the small business. 

Applicant EIN or UEI 

Enter the EIN of the small business or the UEI if the EIN is unavailable. 

1 

Is any owner or covered individual of the applicant or awardee party to any malign foreign talent recruitment program? 

  • Check “Yes” or “No” 
  • If Yes, disclose the first and last name of each owner or covered individual, identify their role, and the malign foreign talent program. 

2 

Is there a parent company, joint venture, or subsidiary, of the applicant or awardee that is based in or receives funding from, any foreign country of concern? 

  • Check “Yes” or “No” 
  • If Yes, disclose the name, full address, applicant or awardee relationships (i.e., parent company, joint venture, or subsidiary) of each entity based in, or funded by, any foreign country of concern. 

3 

Does the applicant or awardee have any current or pending contractual or financial obligation or other agreement specific to a business arrangement, or joint venture-like arrangement with an enterprise owned by a foreign state or any foreign entity? 

  • Check “Yes” or “No” 
  • If Yes, disclose the name of each enterprise or foreign entity, type of obligation, agreement, or arrangement (i.e., contractual, financial or other), description of obligation, agreement, or arrangement and the foreign state(s) and/or the country of the foreign entity (or entities). 

4 

Is the applicant or awardee wholly owned in a foreign country? 

  • Check “Yes” or “No” 
  • If Yes, disclose the foreign country. 

5 

Does the applicant or awardee have any venture capital or institutional investment? 

  • Check “Yes” or “No” 
  • If Yes, proceed to question 5a. 
  • If No, proceed to question 6. 

5a 

Does the investing entity have a general partner or any other individual holding a leadership role who has a foreign affiliation with any foreign country of concern? 

  • Check “Yes” or “No” or “Unable to determine” 
  • If Yes or Unable to determine, disclose the venture capital or investing entity’s name, the percentage of ownership obtained by the investing entity, and the type of investment (i.e., equity, debt, or combination of equity and debt). 

6 

During the previous 5-year period, did the applicant or awardee have any technology licensing or intellectual property sales or transfers to a foreign country of concern? 

  • Check “Yes” or “No” 
  • If Yes, disclose the name, address, and country, of the institution or entity that licensed, purchased, or received the technology or intellectual property. 

7 

Is there any foreign business entity, offshore entity, or entity outside the Unites States related to the applicant or awardee? 

  • Check “Yes” or “No” 
  • If Yes, disclose the entity name, relationship type (i.e., foreign business entity, offshore entity, entity outside the United States), description of the relationship to the applicant or awardee, and entity address and country. 

8 

Does the applicant or awardee have an owner, officer, or covered individual that has a foreign affiliation with a research institution located in a foreign country of concern? 

  • Check “Yes” or “No” 
  • If Yes, disclose the first and last name of each owner, officer, or covered individual that has a foreign affiliation with a foreign country of concern, identify their role (i.e., owner, officer, or covered individual) and the name of the foreign research institution and the foreign country of concern where it is located. 


Blank & Sample Forms:

  • A blank Foreign Disclosures form:

  • No labels

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