Lori,

At my previous institution, I submitted many, many STTRs and SBIRs.  Many were in the situation you describe.  We did not allow them at proposal stage to be both the PI at the company and PI at the university.  Sometimes they would designate another person to be PI on the company side and sometimes they would designate someone to be PI on the University side.  Either way, they had to  have their COI filed and preferably approved with a mitigation plan for this situations prior to submission.

Thank you.

Vicky

Vicky Ortiz Batson, MA
Grants & Contracts Manager
Department of Pharmacology and Cancer Biology
Duke University School of Medicine
308 Research Drive, Durham, North Carolina 27710
Phone: 919-684-8007
xxxxxx@duke.edu

-----Original Message-----
From: xxxxxx@lists.healthresearch.org <xxxxxx@lists.healthresearch.org>
Sent: Wednesday, February 15, 2023 3:08 PM
To: xxxxxx@lists.healthresearch.org
Subject: Re: [RESADM-L] NASA STTR Submission - PI at both SBC & RI

Lori,

I have been involved in several STTR proposals, where the PI at the small business & the PI at the university were the same, although these proposals were to other federal agencies.  Our practice was to inform the PI that should an award result, they would need to work with our conflict of interest office to develop & implement a management plan.

Bobbie Ursin
Semi-retired
________________________________________
From: xxxxxx@lists.healthresearch.org <xxxxxx@lists.healthresearch.org> on behalf of Lori Doll <xxxxxx@nd.edu>
Sent: Wednesday, February 15, 2023 12:21:31 PM
To: xxxxxx@lists.healthresearch.org
Subject: [RESADM-L] NASA STTR Submission - PI at both SBC & RI

Hello Research Administration Think Tank,

I have a question regarding a NASA STTR submission. The guidelines state that the PI of the award can either be from the SBC or the research institution; however, it does not mention anything about being the PI at the SBC AND the PI at the research institute at the same time. We have a faculty member inquiring if this can be done.

I am curious if any of you have had this situation and if so, how did you manage it? Was it allowable? Thanks so much for your help!

Have a great day,
Lori
Lori Doll
Research Policy, Compliance & Education Outreach Program Director Notre Dame Research Administration & Compliance xxxxxx@nd.edu<https://urldefense.com/v3/__https://mail.google.com/mail/?view=cm&fs=1&tf=1&to=xxxxxx@nd.edu__;!!OToaGQ!v2Ut0eKoqbSxXZBG-h812oCvZFWbXsIr4zmsIRFotfjCPNHqpaEbTZJ5U6eztnRjjLLv0Omn4vNZfS71qtGedJwdr-hAChPNy68U_g$ >

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