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 SymposiumAtlanta, GA

March 19, 2009

Federal Research OpportunitiesFederal Research Opportunities ReservedReserved for Small Business for Small Business

Small Business Innovation Small Business Innovation Research (SBIR) ProgramResearch (SBIR) Program

Small Business Technology Small Business Technology Transfer (STTR) ProgramTransfer (STTR) Program

Updated 03/16/09 (kjs)

SBIR / STTR Program SBIR / STTR Program MissionMission

Supporting Supporting scientific excellencescientific excellence and and technological technological innovationinnovation

through the investment of through the investment of federal federal researchresearch funds funds

in critical in critical American prioritiesAmerican priorities to build a strong to build a strong national economynational economy……

oneone smallsmall businessbusiness atat aa timetime..

• Small Business Innovation Research (SBIR) Set-aside program for small businessconcerns 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.

Program DescriptionsProgram Descriptions

2.5%

0.3%

WHY SBIR????

Congress designated 4 major goals

Small Business Innovation Development Act of 1982

• 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 between small business concerns and research institutions

• Foster technology transfer between small business concerns and research institutions

SBIR/STTR: 3-Phase ProgramSBIR/STTR: 3-Phase ProgramPHASE 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

• 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 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

Advice and GuidanceWhat’s Hot: New initiatives

Answer your scientific questions Review Issues: Dos and Don’tsDiscuss funding alternatives

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

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

What are experiential educators good at?

What are they not so good at?

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…

• 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

• 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

• 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

• 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????

• 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

• SUBMISSION DATES

– APRIL 5, AUGUST 5, AND DECEMBER 5, 2009

– (MAY 7, SEPTEMBER 7, 2009 AND JANUARY 7, 2010 FOR AIDS/AIDS-RELATED RESEARCH)

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

SBIR PROGRAMSBIR PROGRAM ELIGIBILITY CHECKPOINTSELIGIBILITY 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.

SBIR PROGRAMSBIR PROGRAM ELIGIBILITY CHECKPOINTSELIGIBILITY CHECKPOINTS

Applicant is Small Business Concern Subsidiaries 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 AgreementAllocation of Rights in IP and Rights to Carry out

Follow-on R&D and Commercialization

STTR PROGRAMSTTR PROGRAMELIGIBILITY CHECKPOINTSELIGIBILITY CHECKPOINTS

Standard Phase I ProcessStandard Phase I Process

• Agencies describe R&D topics in solicitations.

Evaluation

Ph I award

SolicitationTopics

ProposalSubmission

• Small Business Concerns prepare

short (usually 25-page)proposals.

Unsolicited proposals not accepted.

• Agencies evaluate based on technical

merit, firm’s qualifications, and

commercial potential / societal benefit.

• Agencies make Phase I awards.

Ab

ou

t 6-

9 m

on

ths

Agency SBIR Differences

• Granting Agencies Investigator initiates approach Less-specified topics Assistance mechanism

More flexibility

DOD HHS/NIHNASA EDEPA DOT

DOC

• Contracting Agencies Agency establishes plans, protocols, requirements Highly focused topics Procurement mechanism for DOD and NASA More fiscal requirements

HHS/NIH NSF ED USDA DOE

SBIR AND STTR PROGRAMSCRITICAL DIFFERENCESCRITICAL DIFFERENCES

• Research PartnerResearch Partner

SBIR: Permits research institution partners [Outsource ~ 33% Phase I and 50% Phase II R&D]

STTR: Requires research 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

• Principal InvestigatorPrincipal 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

SBIR AND STTR PROGRAMSCRITICAL DIFFERENCESCRITICAL DIFFERENCES

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.

*FY01 Phase I DOD Award Winners

Firm Size Distribution*

Important Facts to RememberImportant Facts to Remember

• Eligibility is determined at time of award

• No appendices 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

Advice from AwardeesAdvice from Awardees

Don’t Don’t judge an agency’s interests byits “name name ”

Understand agency’s mission & needsagency’s mission & needs

Get to know your agency Program agency Program ManagerManager

Read solicitation and follow follow instructionsinstructions

Advice from AwardeesAdvice from Awardees

Don’t depend solelysolely on SBIR funding

Don’t go it alone alone - use support systems

Have an outcomeoutcome

Win or lose - get and review get and review evaluations

Be PERSISTENTPERSISTENT

Entrepreneurial Research Entrepreneurial Research InstitutionsInstitutions

Universities / Industry Partnershipsand

Cultural Differences

UNIVERSITY AND INDUSTRY:Two diverse cultures

Industry Researchers Industry Researchers

are from MARSare from MARS

University Researchers University Researchers

are from Venusare from Venus


University cultureUniversity 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


Industry cultureIndustry culture

Mission toward 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

University - Industry Partnerships 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

This is now…That was then…

is KEY!is KEY!

Final Exam

The Top 10 List

Top 10 Reasons to Seek SBIR / STTR Funding Opportunities

10.10. Over $2.0 Billion available

9.9. NOT A LOANNOT A LOAN - no repayment

8.8. Provides recognition, verificationand visibility

77.. Potential leveraging tool to attractventure capital/other sources of $$$


6.6. Fosters partnerships (e.g., large corporations, academia)

5.5. Stimulates local and state economies = stronger national economy

4.4. Provides seed money to fund highrisk projects


3.3. Intellectual property rights arenormally retained by the smallbusiness

2.2. Small business concerns are recognized as a unique national resource of technological innovation


1.1. To make economic and societal contributions to America

And….because your chances of winning an award are substantially higher than with many mechanisms.

seeking funding for research through a small business approach

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