蜜桃APP

Guidelines for 蜜桃APP Employee Participation in SBIR & STTR Grant Programs

The federal grant programs encourage the engagement of Small Business Concerns (SBC) in federal research and development. 蜜桃APP 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 蜜桃APP researchers to participate in their projects as a subcontractor. 蜜桃APP 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, 蜜桃APP researchers may collaborate with SBCs on SBIR/STTR funded projects. However, all activities undertaken by 蜜桃APP employees associated with the SBIR or STTR funding programs must comply with 蜜桃APP 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 蜜桃APP 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 蜜桃APP Personnel conducting the research under the subcontract and the work performed by the SBC employees without 蜜桃APP Personnel involvement. .

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

• The SBC utilizes a 蜜桃APP recharge facility or service; and/or
• The SBC leases space in a 蜜桃APP-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 蜜桃APP Principal Investigator to discuss the potential for a proposal, it may be necessary to establish a confidentiality agreement, which is handled by 蜜桃APP鈥檚 Office of Innovation & Technology Commercialization (ITC). Once the SBC and the 蜜桃APP Principal Investigator finalize the scope of work, the 蜜桃APP Principal Investigators routes his/her subcontract proposal to 蜜桃APP鈥檚 Office of Sponsored Programs (OSP) for review and approval using the electronic proposal routing and approval system. 蜜桃APP鈥檚 OSP will provide institutional review and endorsement by 蜜桃APP鈥檚 Authorized Representative, allowing the proposal to be submitted.  Should the award be funded, 蜜桃APP and SBC would need to enter into an agreement for Allocation of Rights in Intellectual Property and Rights to Carry Out Follow-on Research, Development, or Commercialization which incorporates terms substantially similar to the NIH STTR or NSF STTR Model Agreement. 

If the 蜜桃APP 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 蜜桃APP Principal Investigator or any other 蜜桃APP Personnel has a role with the SBC that would rise to the level of providing an economic benefit as identified in PM-11, the 蜜桃APP 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 蜜桃APP. 蜜桃APP Personnel with an interest in the SBC (including immediate family members) may not be involved in negotiation or decision making on behalf of 蜜桃APP with respect to the subcontract.

Prior to 蜜桃APP鈥檚 acceptance of a subcontract from an SBC that involves 蜜桃APP employees with an interest in the SBC (including immediate family members) and the performance of 蜜桃APP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 蜜桃APP Technology

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