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Seeking Funding for Research through a Small Business Approach. Aleta L. Meyer, Ph.D. (for Augusto Diana, Ph.D.) National Institute on Drug Abuse 5 th Annual Research and Evaluation on Adventure Programs Symposium Atlanta, GA March 19, 2009 . Federal Research Opportunities

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seeking funding for research through a small business approach

Seeking Funding for Research through a Small Business Approach

Aleta L. Meyer, Ph.D.

(for Augusto Diana, Ph.D.)

National Institute on Drug Abuse

5th Annual Research and Evaluation on Adventure Programs Symposium

Atlanta, GA

March 19, 2009

slide2

Federal Research Opportunities

Reserved for Small Business

Small Business Innovation

Research (SBIR) Program

Small Business Technology

Transfer (STTR) Program

Updated 03/16/09

(kjs)

slide3

SBIR / STTR Program

Mission

Supporting scientific excellence and technological innovation

through the investment of federal research funds

in critical American priorities

to build a strong national economy…

onesmallbusinessatatime.

slide4

Program Descriptions

  • Small Business Innovation Research (SBIR)

Set-aside program for small business

concerns to engage in federal R&D --

with potential for commercialization.

  • Small Business Technology Transfer (STTR)

Set-aside program to facilitate cooperative

R&D between small business concerns and U.S. research institutions -- with

potential for commercialization.

2.5%

0.3%

why sbir
WHY SBIR????

Small Business Innovation Development Act of 1982

Congress designated 4 major goals

  • Stimulate technological innovation
  • Use small business to meet federal R&D needs
  • Foster and encourage participation by minorities and disadvantaged persons in technological innovation
  • Increase private-sector commercialization innovations derived from federal R&D
why sttr
WHY STTR????

Small Business Research and Development

Enhancement Act of 1992

  • Stimulate and foster scientific and technological innovation through cooperative research and development carried out betweensmall business concerns andresearch institutions
  • Foster technology transfer between small business concerns and research institutions
sbir sttr 3 phase program
SBIR/STTR: 3-Phase Program

PHASE I

  • Feasibility Study
  • $100K and 6-month (SBIR)

or 12-month (STTR) Award

PHASE II

  • Full Research/R&D
  • $750K and 2-year Award

(SBIR/STTR)

PHASE III

  • Commercialization Stage
  • Use of non-SBIR/STTR Funds
examples of adventure related sbir sttr research
Examples of Adventure Related SBIR/STTR Research
  • Utilizing Adolescent Leisure Activities as a Context for Prevention – M. Tibbits
  • Substance Abuse Prevention Media Literacy Curriculum – J. Kupersmidt
  • Multimedia Program to Promote Positive Bus Behavior – L. Swartz
examples of adventure related sbir sttr research9
Examples of Adventure Related SBIR/STTR Research
  • Drug and Alcohol Prevention for College Athletes – M. Fearnow-Kenney
  • Crossroads: Cooperative High School Drug Prevention
  • Science Snoops: Life Science Interventions – I Ortabasi
  • Promoting Fidelity of Program Implementation in Schools – L. Dusenbury
augie and i program officials
Augie and I = Program Officials

Advice and Guidance

What’s Hot: New initiatives

Answer your scientific questions

Review Issues: Dos and Don’ts

Discuss funding alternatives

In other words, send Augie a 1-2 page concept for SBIR!! [email protected]

you principal investigator pi
You = Principal Investigator (PI)
  • Responsible for the scientific and/or technical aspects of the grant
  • Day-to-day management of the project
  • Responsible for the scientific conduct of the project and to provide the required progress reports
careers in research how nida can help
Careers in Research: How NIDA Can Help

What are experiential educators good at?

What are they not so good at?

what experiential educators do well
What Experiential Educators Do Well…
  • Research Eye
    • We see the study in all social situations
  • Analytic Mind
    • We approach all situations by
      • asking questions
      • exploring the unknown
      • exposing truths
what experiential educators don t do as well
What Experiential Educators Don’t Do as Well…
  • Business Sense
    • We have an entrepreneurial spirit but we tend to see business as the enemy
  • Management Skills
    • We are turned off by management because we have historically sided and identified with the worker
how experiential educators skills translate to business opportunities
How Experiential Educators’ Skills Translate to Business Opportunities
  • Research Eye
    • We understand research and can write research grants
      • Some examples of funding opportunities more sociologists should pursue
    • The core steps of a good research report taught as only a sociologist can teach it
  • Analytic Mind
    • We can help people immeasurably to think about what they are trying to do, from start to finish
      • Most program-level people don’t know where to begin about evaluation
      • Most find that an “analyst” helps them to think about their program activity and they are grateful
      • Most are happy to rely on an “outside expert” to take some of the work from them
what sociologists may not realize about themselves
What Sociologists may not realize about themselves
  • Business Sense
    • Most business relations and new business development is about social interaction and human/social exchange. Who’s better at that than us?
    • Venturing into the forbidden realm – take some business classes – can have huge payoffs for understanding this world when you are ready to encounter it
  • Management
    • Who is more knowledgeable about labor-management relations than we are? Most organizational consultants are, or started as, sociologists
    • Venturing into the forbidden realm – take some management classes – can help you to understand how a manager thinks and why
opportunities to apply these skills
Opportunities to apply these skills
  • Small Business Incorporation
    • Don’t just function as a “private consultant”
    • Form a small business
    • You’d be surprised what doors that opens
  • NIH Grants
    • Traditional Grants (R01)
    • New (New PI) or Small Research Grants
    • SBIR/STTR (R41 – R44)
sold yet
Sold Yet????
  • What research areas in adventure and experiential education are a good fit for the small business approach to research?
http grants nih gov grants guide pa files pa 09 080 html
http://grants.nih.gov/grants/guide/pa-files/PA-09-080.html
  • SUBMISSION DATES
    • APRIL 5, AUGUST 5, AND DECEMBER 5, 2009
    • (MAY 7, SEPTEMBER 7, 2009 AND JANUARY 7, 2010 FOR AIDS/AIDS-RELATED RESEARCH)
slide20

SBIR PROGRAM

ELIGIBILITY CHECKPOINTS

  • Organized for- profit U.S. business
  • At least 51% U.S.- owned by individuals and independently operated or it must be a for‑profit business concern that is at least 51% owned and controlled by another (one) for-profit business concern that is at least 51% owned and controlled by one or more individuals
slide21

SBIR PROGRAM

ELIGIBILITY CHECKPOINTS

  • 500 employees or fewer including affiliates
  • PI’s primary employment must be with the small business concern at the time of award and for the duration of the project period.
slide22

STTR PROGRAM

ELIGIBILITY CHECKPOINTS

  • Applicantis Small Business ConcernSubsidiaries are NOT eligible for STTR program
  • Formal Cooperative R&D Effort
      • Minimum 40% by small business
      • Minimum 30% by U.S. research institution
  • U.S. Research Institution
      • College or University; other non-profit research

organization; Federal R&D center

  • Intellectual Property Agreement
      • Allocation of Rights in IP and Rights to Carry out

Follow-on R&D and Commercialization

standard phase i process

About 6-9 months

Standard Phase I Process

Solicitation

Topics

  • Agencies describe R&D topics

in solicitations.

  • Small Business Concerns prepare

short (usually 25-page)proposals.

Unsolicited proposals not accepted.

Proposal

Submission

Evaluation

  • Agencies evaluate based on technical

merit, firm’s qualifications, and

commercial potential / societal benefit.

Ph I award

  • Agenciesmake Phase I awards.
agency sbir differences
Agency SBIR Differences
  • Contracting Agencies
    • Agency establishes plans,

protocols, requirements

    • Highly focused topics
    • Procurement mechanism

for DOD and NASA

    • More fiscal requirements
  • Granting Agencies
    • Investigator initiates

approach

    • Less-specified topics
    • Assistance mechanism
    • More flexibility

DOD HHS/NIH

NASA ED

EPA DOT

DOC

HHS/NIH NSF

ED USDA

DOE

sbir and sttr programs critical differences
SBIR AND STTR PROGRAMSCRITICAL DIFFERENCES
  • Research Partner

SBIR:Permits research institution partners

[Outsource ~ 33% Phase I and 50% Phase II R&D]

STTR:Requiresresearch institution partners (e.g., universities)

[40% small business concerns (for-profit) and

30% U.S. research institution (non-profit)]

AWARD ALWAYS MADE TO SMALL BUSINESS

sbir and sttr programs critical differences26
SBIR AND STTR PROGRAMSCRITICAL DIFFERENCES
  • Principal Investigator

SBIR: Primary (>50%) employment must be with small business concern

STTR: Primary employment not stipulated

[PI can be from research institution and/or

from small business concern*]

*DISCUSS WITH AGENCIES

slide27

Firm Size Distribution*

*FY01 Phase I DOD Award Winners

Who Participates in SBIR?

  • Firms are typically small and new to the program.
  • About 1/3 are first-time Phase I awardees.
  • Small hi-tech firms from across the country.
important facts to remember
Important Facts to Remember
  • Eligibility is determined at time of award
  • Noappendices allowed in Phase I
  • The PI is not required to have a Ph.D. or M.D.
  • The PI is required to have expertise to oversee

project scientifically and technically

  • Applications may be submitted to different

agencies for similar work

  • Awards may not be accepted from different

agencies for duplicative projects

slide29

Advice from Awardees

Don’t judge an agency’s interests by

its “name ”

Understand agency’s mission & needs

Get to know your agency Program

Manager

Read solicitation and follow

instructions

slide30

Advice from Awardees

Don’t depend solely on SBIR funding

Don’t go it alone - use support systems

Have an outcome

Win or lose - get and review evaluations

Be PERSISTENT

slide31

Entrepreneurial Research Institutions

Universities / Industry Partnerships

and

Cultural Differences

university and industry two diverse cultures
UNIVERSITY AND INDUSTRY:Two diverse cultures

Industry Researchers

are from MARS

University Researchers

are from Venus

university and industry two diverse cultures33
UNIVERSITY AND INDUSTRY:Two diverse cultures

University culture

  • Research, discover, educate and train future

workforce

  • Pace is slower - aligned to academic cycle
  • Mission = basic and applied research
  • Technology transfer activities are companion

to applied research mission

  • Fertile ground for economic development
university and industry two diverse cultures34
UNIVERSITY AND INDUSTRY:Two diverse cultures

Industry culture

  • Missiontoward research / R&D /

commercialization

  • Quick-paced
  • Solve problems - develop new products  profit
  • Maintain control of science to explore full

potential of discovery (initially)

  • Economic impact: Jobs, societal benefit
cultural diversity

FLEXIBILITY

and

UNDERSTANDING ISSUES

is KEY!

CULTURAL DIVERSITY

That was then…

This is now…

University - Industry Partnerships Critical dimension of the new “Knowledge-based Economy”

  • Universities are establishing creative and entrepreneurial environments for the commercialization of university intellectual property
  • Universities and Industry learning to work together
slide36

Final Exam

The Top 10 List

slide37

Top 10 Reasons to Seek

SBIR / STTR Funding Opportunities

10. Over $2.0 Billion available

9.NOT A LOAN - no repayment

8. Provides recognition, verification

and visibility

7.Potentialleveraging tool to attract

venture capital/other sources of $$$

slide38

Top 10 Reasons to Seek

SBIR / STTR Funding Opportunities

6. Fosterspartnerships (e.g., large

corporations, academia)

5. Stimulates local and state

economies = stronger national

economy

4. Provides seed money to fund high

risk projects

slide39

Top 10 Reasons to Seek

SBIR / STTR Funding Opportunities

3.Intellectual property rights are

normally retained by the small

business

2. Small business concerns are

recognized as a unique national

resource of technological

innovation

slide40

Top 10 Reasons to Seek

SBIR / STTR Funding Opportunities

1. To make economic and societal

contributions toAmerica

And….because your chances of

winning an award are substantially

higher than with many mechanisms.

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