海角社区

Guidelines for 海角社区 Employee Participation in SBIR & STTR Grant Programs

The federal Small Business Innovation Research (SBIR) and Small Business Technology Transfer Research (STTR) grant programs encourage the engagement of Small Business Concerns (SBC) in federal research and development. 海角社区 is not eligible to directly receive SBIR/STTR funding, but because collaborations between SBCs and research institutions are encouraged by the SBIR program and required by the STTR program, SBCs regularly seek 海角社区 researchers to participate in their projects as a subcontractor. 海角社区 researchers may also want to start or grow their own SBC and consider SBIR/STTR funding for the establishment and/or future development of their SBC.

Compliance with University Regulations

In all cases, 海角社区 researchers may collaborate with SBCs on SBIR/STTR funded projects. However, all activities undertaken by 海角社区 employees associated with the SBIR or STTR funding programs must comply with 海角社区 Bylaws and Regulations, Permanent Memoranda, and internal policies, including (but not limited to):

• PM-11 鈥� 鈥淥utside Employment of University Employees鈥�
• PM-67 鈥� 鈥淐ontracts between the University and its Faculty Members鈥�
• PS-98 鈥� 鈥淒isclosure of Financial Interests鈥� 

General Requirements

In general, the 海角社区 Principal Investigator on any subcontract from an SBC and the SBC鈥檚 Principal Investigator cannot be the same individual due to the conflict of interest that would result from such an arrangement. A clear distinction must be made between the work performed by the 海角社区 Personnel conducting the research under the subcontract and the work performed by the SBC employees without 海角社区 Personnel involvement. .

SBCs may not use any 海角社区 resources (for example, space, facilities, instruments or equipment, or human resources) to carry out their portion of the work unless:

• The SBC utilizes a 海角社区 recharge facility or service; and/or
• The SBC leases space in a 海角社区-owned/operated incubator (such as Louisiana Business and Technology Center or the Louisiana Emerging Technology Center).

Engagement, Approval, and Submission of SBIR & STTR Proposals

When an SBC initiates contact with an 海角社区 Principal Investigator to discuss the potential for a proposal, it may be necessary to establish a confidentiality agreement, which is handled by 海角社区鈥檚 Office of Innovation & Technology Commercialization (ITC). Once the SBC and the 海角社区 Principal Investigator finalize the scope of work, the 海角社区 Principal Investigators routes his/her subcontract proposal to 海角社区鈥檚 Office of Sponsored Programs (OSP) for review and approval using the electronic proposal routing and approval system. 海角社区鈥檚 OSP will provide institutional review and endorsement by 海角社区鈥檚 Authorized Representative, allowing the proposal to be submitted.  Should the award be funded, 海角社区 and SBC would need to enter into an agreement that incorporates terms substantially similar to the STTR Model Agreement.

If the 海角社区 Principal Investigator, any other Project Personnel, or other department personnel (including immediate family members) have a financial interest in the SBC, including consulting contracts, the PM-67 question on the electronic proposal routing cover sheet must be marked 鈥淵es鈥� at time of proposal submission. This will require that any contract with the SBC (i.e. a sub award or a license) must go through the PM-67 review process. These documents are not required for submission of the SBIR/STTR proposal, but will be required if the award is received by the SBC. If the 海角社区 Principal Investigator or any other 海角社区 Personnel has a role with the SBC that would rise to the level of providing an economic benefit as identified in PM-11, the 海角社区 personnel are responsible for complying with PM-11 prior to any submission.

Sample SBIR/STTR Cover Letter

Negotiation and Acceptance of SBIR & STTR Subcontracts

OSP is responsible for negotiating a subcontract between the SBC and 海角社区. 海角社区 Personnel with an interest in the SBC (including immediate family members) may not be involved in negotiation or decision making on behalf of 海角社区 with respect to the subcontract.

Prior to 海角社区鈥檚 acceptance of a subcontract from an SBC that involves 海角社区 employees with an interest in the SBC (including immediate family members) and the performance of 海角社区鈥檚 portion of the SBIR/STTR-funded work, a current PM-11 must be in place and PM-67 approval must be obtained.

Use of 海角社区 Technology

The SBC may not use 海角社区 technology without first negotiating a license with 海角社区 through 海角社区鈥檚 Innovation & Technology Commercialization office. 海角社区 Personnel with an interest in the SBC (including immediate family members) may not be involved with the negotiation or decision making on behalf of 海角社区. Before the license can be signed the 海角社区 faculty inventors/company founders must obtain PM-11 and PM-67 approval.