Seeking Funding for Research through a Small Business Approach

1. 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

2. Federal Research Opportunities Reserved for Small Business Small Business Innovation Research (SBIR) Program Small Business Technology Transfer (STTR) Program Updated 03/16/09 (kjs)

3. 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.

4. 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%

5. 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

6. 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

7. 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

8. 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

9. 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

10. 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

11. 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

12. Careers in Research: How NIDA Can Help What are experiential educators good at? What are they not so good at?

13. 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

14. 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

15. 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

16. 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

17. 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)

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

19. 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)

20. 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

21. 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.

22. 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

23. 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.

24. 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

25. 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

26. 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

27. 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.

28. 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

29. 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

30. 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

31. Entrepreneurial Research Institutions Universities / Industry Partnerships and Cultural Differences

32. UNIVERSITY AND INDUSTRY:Two diverse cultures Industry Researchers are from MARS University Researchers are from Venus

33. 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

34. 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

35. 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

36. Final Exam The Top 10 List

37. 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 $$$

38. 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

39. 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

40. 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.