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

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… one small business at a time.

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. Program 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???? 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 Program PHASE I Ü Feasibility Study Ü $100K and 6-month (SBIR) or 12-month (STTR) Award PHASE II Ü Full Research/R&D Ü $750K and 2-year Award (SBIR/STTR) PHASE III Ü Commercialization Stage Ü 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 A dvice and Guidance What’s Hot: New initiatives A nswer your scientific questions Review Issues: Dos and Don’ts Discuss funding alternatives In other words, send Augie a 1-2 page concept for SBIR!!

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?

files/PA 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 PROGRAM ELIGIBILITY CHECKPOINTS 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. SBIR PROGRAM ELIGIBILITY CHECKPOINTS ELIGIBILITY CHECKPOINTS

Applicant is Small Business Concern Subsidiaries are NOT eligible for STTR program Formal Cooperative R&D Effort Ü Minimum 40% by small business Ü 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 Ü Allocation of Rights in IP and Rights to Carry out Follow-on R&D and Commercialization STTR PROGRAM ELIGIBILITY CHECKPOINTS

Standard Phase I Process Agencies describe R&D topics in solicitations. Evaluation Ph I award Solicitation Topics Proposal Submission 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. About 6-9 months

Agency SBIR Differences Granting Agencies Ü Investigator initiates approach Ü Less-specified topics Ü Assistance mechanism Ü More flexibility DOD HHS/NIH NASAED EPADOT DOC Contracting Agencies Ü Agency establishes plans, protocols, requirements Ü Highly focused topics Ü Procurement mechanism for DOD and NASA Ü More fiscal requirements HHS/NIH NSF ED USDA DOE

CRITICAL DIFFERENCES SBIR AND STTR PROGRAMS CRITICAL DIFFERENCES Research Partner Research 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 CRITICAL DIFFERENCES SBIR AND STTR PROGRAMS CRITICAL 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 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 Awardees Don’t Don’t judge an agency’s interests by name its “name ” agency’s mission & needs Understand agency’s mission & needs agency Program Get to know your agency ProgramManager follow Read solicitation and followinstructions

Advice from Awardees solely Don’t depend solely on SBIR funding alone Don’t go it alone - use support systems outcome Have an outcome get and review Win or lose - get and review evaluations PERSISTENT Be PERSISTENT

Entrepreneurial Research Institutions Universities / Industry Partnerships and Cultural Differences

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

UNIVERSITY AND INDUSTRY: Two diverse cultures University culture u Research, discover, educate and train future workforce u Pace is slower - aligned to academic cycle u Mission = basic and applied research u Technology transfer activities are companion to applied research mission u Fertile ground for economic development

UNIVERSITY AND INDUSTRY: Two diverse cultures Industry culture u Mission toward research / R&D / commercialization u Quick-paced u Solve problems - develop new products  profit u Maintain control of science to explore full potential of discovery (initially) u Economic impact: Jobs, societal benefit

CULTURAL DIVERSITY University - Industry Partnerships University - Industry Partnerships Critical dimension of the new “Knowledge-based Economy” u Universities are establishing creative and entrepreneurial environments for the commercialization of university intellectual property u Universities and Industry learning to work together This is now… That was then… is KEY!

Final Exam The Top 10 List

Top 10 Reasons to Seek SBIR / STTR Funding Opportunities Over $2.0 Billion available 9.NOT A LOAN 9. NOT A LOAN - no repayment Provides recognition, verification and visibility Potential leveraging tool to attract venture capital/other sources of $$$

Top 10 Reasons to Seek SBIR / STTR Funding Opportunities Fosters partnerships (e.g., large corporations, academia) Stimulates local and state economies = stronger national economy Provides seed money to fund high risk projects

Top 10 Reasons to Seek SBIR / STTR Funding Opportunities Intellectual property rights are normally retained by the small business Small business concerns are recognized as a unique national resource of technological innovation

Top 10 Reasons to Seek SBIR / STTR Funding Opportunities To make economic and societal contributions to America And….because your chances of winning an award are substantially higher than with many mechanisms.