蘑菇tv

Guidelines for 蘑菇tv Employee Participation in SBIR & STTR Grant Programs

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

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

• The SBC utilizes a 蘑菇tv recharge facility or service; and/or
• The SBC leases space in a 蘑菇tv-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 蘑菇tv Principal Investigator to discuss the potential for a proposal, it may be necessary to establish a confidentiality agreement, which is handled by 蘑菇tv鈥檚 Office of Innovation & Technology Commercialization (ITC). Once the SBC and the 蘑菇tv Principal Investigator finalize the scope of work, the 蘑菇tv Principal Investigators routes his/her subcontract proposal to 蘑菇tv鈥檚 Office of Sponsored Programs (OSP) for review and approval using the electronic proposal routing and approval system. 蘑菇tv鈥檚 OSP will provide institutional review and endorsement by 蘑菇tv鈥檚 Authorized Representative, allowing the proposal to be submitted.  Should the award be funded, 蘑菇tv 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 蘑菇tv 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 蘑菇tv Principal Investigator or any other 蘑菇tv Personnel has a role with the SBC that would rise to the level of providing an economic benefit as identified in PM-11, the 蘑菇tv 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 蘑菇tv. 蘑菇tv Personnel with an interest in the SBC (including immediate family members) may not be involved in negotiation or decision making on behalf of 蘑菇tv with respect to the subcontract.

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

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