KSU Procedures for Partnering on SBIR/STTR Projects

As an institution that values partnership with corporate partners, Kent State University (KSU) strives to be responsive and flexible with regards to SBIR/STTR proposal requests. University participation in these types of projects, however, requires a base level of oversight, review, and approval before Kent State can agree to engage in a project. 

Frequently, requests to collaborate on SBIR/STTR proposals are submitted to the Office of Sponsored Programs (OSP) with very tight deadlines that: 1. do not meet KSU proposal submission policies; 2. lack the details we need to fully understand the opportunity and our ability to participate; and 3. have underdeveloped/unrealistic budget assumptions that do not incorporate all costs (e.g. fringe benefits or F&A). While we may be able to sign off on proposal requirements at time of submission, if terms and conditions cannot be reasonably met at the point of award, KSU will not be able to enter into a subaward agreement. It is important that we are transparent with our external partners about this matter, as it can introduce some risk or uncertainty.  

Aligned with KSU’s commitment to responsiveness, we have developed pre-approved agreement templates, including Non-Disclosure Agreements (NDA), Teaming Agreements and Allocation of Rights documents, which are often required for these proposals. Utilizing these templates can significantly speed up the proposal preparation process. In addition, active and open communication with both faculty and external partners about university processes and participation requirements ensures that all parties are well-prepared for KSU’s involvement. 

Minimum Criteria for KSU to Move Forward with an SBIR or STTR Proposal   

An identified SBIR or STTR funding opportunity

An identified SBIR or STTR funding opportunity, provided by the industry partner submitting the proposal. 

An identified KSU Principal Investigator (PI) who is willing and able to actively participate in the proposed project and who:

A. Develops an appropriate scope of work with the industry collaborators and provides a copy to OSP to aid in budget development.

B. Ensures that KSU intellectual property (IP) is protected, and appropriate protections are in place.

C. Acknowledges that the Office of Sponsored Programs (OSP) has less opportunity to provide support for and oversight over last-minute proposals.

The industry partner accepts that KSU:

A. Requires that a subcontract to the university stipulates that its portion of the project will be considered fundamental research.

B. Cannot participate in a (funded) project if the university is unable to agree to the terms and conditions of the subcontract.

Both KSU PI and industry partner have realistic timing expectations

 KSU understands the benefit of partnering with industry and will pursue collaborative funding opportunities if time and resources are available. However, if facilitating submission of an SBIR/STTR increases the risk of missing the deadline for other proposals that were scheduled in accordance with KSU submission policies, the other proposals take priority. 

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