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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 l.jpg

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


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Federal Research Opportunities

Reserved for Small Business

Small Business Innovation

Research (SBIR) Program

Small Business Technology

Transfer (STTR) Program

Updated 03/16/09

(kjs)


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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.


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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%


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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


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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


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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


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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


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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


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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!! dianaa@nida.nih.gov


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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


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Careers in Research: How NIDA Can Help

What are experiential educators good at?

What are they not so good at?


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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


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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


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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


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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


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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)


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Sold Yet????

  • What research areas in adventure and experiential education are a good fit for the small business approach to research?


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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)


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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


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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.


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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


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    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.


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    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

    NASAED

    EPADOT

    DOC

    HHS/NIH NSF

    ED USDA

    DOE


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    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


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    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


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    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.


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    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


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    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


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    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


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    Entrepreneurial Research Institutions

    Universities / Industry Partnerships

    and

    Cultural Differences


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    UNIVERSITY AND INDUSTRY:Two diverse cultures

    Industry Researchers

    are from MARS

    University Researchers

    are from Venus


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    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


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    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


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    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


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    Final Exam

    The Top 10 List


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    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 $$$


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    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


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    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


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    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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