Overview of Innovation Programs

Rathindra (Babu) DasGuptaProgram Director

Industrial Innovation and Partnerships

National Science Foundation

APLU MeetingJune 11, 2013

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Outline

• Organization Charts : ENG Directorate and Industrial Innovation and Partnerships (IIP)

• Current (established) Programs & Outcomes • Filling gaps in the Innovation Ecosystem• New Programs (I‐Corps)• Q & A

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Emerging Frontiers in Research and Innovation

(EFRI)

Chemical, Bioengineering,Environmental, And Transport

Systems(CBET)

Civil, Mechanical, and

ManufacturingInnovation

(CMMI)

Electrical, Communications

and Cyber Systems(ECCS)

EngineeringEducation and

Centers(EEC)

IndustrialInnovation andPartnerships

(IIP)

Engineering Directorate

Office of the Assistant Director

(OAD)Senior Advisor

Nanotechnology

Grace WangDivision Director

Industrial Innovation and Partnerships (IIP)

Donald SenichAcademic Partnerships

Joe HennesseySmall Business Partnerships

Errol ArkilicI‐CORPS

Rathindra DasGuptaIndustry/University Cooperative Research 

Centers (I/UCRC)

Karlene HooPartnerships for Innovation: Accelerating 

Innovation Research (PFI‐AIR)

Sally NerlovePartnerships for Innovation: Building 

Innovation Capacity (PFI‐BIC)

Larry HornakI/UCRC

Shashank PriyaI/UCRC

Prakash BalanChemical & Environmental Technologies

Juan FigueroaOptoelectronics & Wireless Technology

Steven KonsekSemiconductors, Electronics, & Photonics

Glenn LarsenTechnology for Education Applications

Rajesh MehtaAdvanced Manufacturing

Murali NairRobotics & Sensor Technology

Ben SchragNanotechnologies & Advanced Materials

Ruth ShumanBiological Technologies

Jesus SorianoBiomedical Technologies

Josh AbbottProgram Specialist

Chris CampbellEinstein Fellow

Lindsay D’AmbrosioScience Assistant

Alexandria HaleProgram Specialist

Caroline HaleProgram Specialist

Mary KonjevodaProgram Analyst

Willis PhanProgram Specialist 

Gracie NarchoStaff Associate

Division of Industrial Innovation and Partnerships

Venture Capital

Industry

NSF overall

SBIR

Resources Invested

Research Development Commercialization

Angel Investors

NSF Innovation Investments

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Translational Research

University Small Business

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NSF Programs for Translational Research

• Science and Technology Centers (STC)• Engineering Research Centers (ERC)• Grant Opportunities for Academic Liaison with Industry 

(GOALI)• Industry/University Cooperative Research Centers (I/UCRC)• Partnerships for Innovation (PFI): Building Innovation Capacity• Partnerships for Innovation (PFI): Accelerating Innovation 

Research• Small Business Technology Transfer (STTR)• Small Business Innovation Research (SBIR)• Emerging Frontiers of Research and Innovation (EFRI)• Innovation Corps (I‐Corps) 

Venture Capital

Industry

NSF overall

GOAL

I

I /UCR

C

ERC

SBIR

STC

Resources Invested

Research Development Commercialization

Angel Investors

NSF Innovation Investments

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University Small Business

Industry/University Cooperative Research Center (I/UCRC)

I/UCRC Synopsis 

• Started in 1973 to develop long‐term partnerships amongst industry, academe and government

• NSF invests in these partnerships to encourage collaborative, pre‐competitive research driven by industry

• Helps increase the intellectual capacity of the engineering and science workforce through the integration of research and education

I/UCRCDiscovery

&Innovation

Government(NSF)

MembersUniversityPartners

I/UCRCs work like a research “franchise” with operational guidelines and  evaluation tools

• Center catalyzed by a small investment from NSF.

• NSF takes a supportive role throughout the life of the center.

An I/UCRC is primarily funded by industry members , other federal agencies & other organizations

What Values does an I/UCRC Offer?• High value research projects • Investment leveraging• Sector networking, learning from 

industry peers and customers• Access to intellectual property• Pre‐publication access to research• Center researchers & facilities• Access to students• Tech transfer

• New research and education program dimensions

• Trusted relationships with industry• Ready partners for translation of discoveries

• Recruitment and placement of students• Organize industry sector relationships• Means to achieve institutional mission.

Outcomes from a cooperatively defined and managed, portfolio of industry‐precompetitive fundamental research. 

Center Faculty Research

IAB Research Needs

I/UCRC Research

Valu

e to

IAB

Academ

ic Value

I/UCRC Fast Facts – FY12 Snapshot

Program Funding• $16.4M in Program Funding

(ENG, CISE)• $130M in Total Center Funding, • 8:1 Leveraging of NSF funds.Centers Nationally: • 61 Centers with 178 Sites• Over 760 Members; holding 1080

Memberships• 52% Large Business, 26% SB,

15% Federal Members

Students• 2100 students engaged• 1000 graduated in 2011, over 30%

hired by members• 350 PhDs, 425 MS & 250 UGs

graduated in 2011, trained in Center research

Sustainability• Over 40 Graduated I/UCRCs

remain in operation true to model

ENG & CISE.

I/UCRC Success Stories Spin‐offs:

3 centers; 1 ENG & 2 CISE in FY 2012 22 spin‐offs in last 4‐5 years

International Collaborations : 4 international I/UCRC sites (India, Germany, Belgium & Russia)

Technology Transfers & Impacts: Air Liquide & I/UCRC for Excellence in Logistics and Distribution (CELDi): 1 to 2% realized savings in 

logistics ratio (investment in tanks to logistics transportation costs)

Sam’s Club & I/UCRC for CELDi: Estimated $60M annual impact resulting from reduction in club inventory

Victaulic Company  & I/UCRC for Resource, Recovery and Recycling (CR3) : On‐site recovery and recycling of bag‐house dust; estimated $1M savings annually

Medical Center Health System & I/UCRC for CELDi: Improve patient discharge process; $250,000 annual impact

Others :  Center for High Performance Reconfigurable Computing (CHREC): Supercomputer Novo‐G (the most 

powerful reconfigurable computer that can rearrange its internal circuitry to suit the  task at hand Child Injury  Prevention Studies (CChIPS): Testimony  before the Subcommittee  on Health Energy and  

Commerce Committee; March 19, 2012

Special Study: Impact vs. Investment3 Centers 

• Realized impacts with a net present value of $1.25B. 

• Each dollar invested by NSF‐I/UCRC generated an estimated 64.7 dollars in impacts. 

IUCRC Evaluation Team (D. Gray, et al.) 

IUCRC investments & Impacts TOTAL IMS BSAC CPaSS

Estimated impacts (present value) $1267.1M $846,738,946 $410,727,849 $9,638,633 

Total investments (present value) $19.6M $3,133,857 $13,250,712  $3,203,057 

Benefit:Cost Ratio 64.7:1 270.2:1 31.2:1 3.0:1

Net Present Value $1247.5M $843,605,090 $397,477,137  $6,435,577 

Industry Sector Impacts, NSF IUCRC Investments since center inception

IMS: Intelligent Maintenance Systems CPaSS: Center for Particulates & Surfactants BSAC:  Berkeley Sensors and Actuators Center 

•Spur Translation of Fundamental Research

•Encourage Collaboration between Academia and Industry

•Educate to Innovate

Filling Gaps in the Innovation Ecosystem

•Translation Research in the Academic Community (TRAC)Resources for existing NSF grantee researchers aimed at translating fundamental research into commercial applications

• Industry Inspired Fundamental Research (IFR)Small groups of industry identify innovation opportunity and fundamental research questions / needs

•Industry Post DocsCorporate Research Postdoctoral Fellowship Program provides recent engineering PhD recipients the opportunity to conduct postdoctoral research in a corporate setting

Pilot Programs

I‐Corps in A Nutshell• Transcending the “Ditch of Death”: a public‐private partnership to 

support the translation of NSF research into the development of technologies, products and processes

• Increasing Network Opportunities: aims to help create a national network scientists, engineers, innovators, business leaders and entrepreneurs building on existing NSF grantee events

• Aligns with NSF Strategy: I‐Corps will enhance our nation’s economic competitiveness by “reaching out to a range of communities that play complementary roles in the innovation process and are essential to ensuring the impact of NSF Investments.” * 

15*From “Empowering the Nation through Discovery and Innovation” NSF Strategic Plan, April 2011

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Investors

Industry

NSF

ove

rall

GO

ALI

STTR

AIR

/PFI

ERC

I/UC

RC

SBIR

STC

Res

ourc

es In

vest

ed

Discovery Development Commercialization

Foundations

Valley of Death

I-Corps

University

Small Business

I‐Corps “Home”

“Ditch of Death”

Building the Nation’s I‐Corps “Fabric” How I‐Corps evolved?

I-Corps Nodes

I-Corps Sites

I-Corps Teams

I-Corps Mentors

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NSF I‐Corps  Flow Diagram

Recruiting processes

(NSF)

Pool of eligible Teams(NSF)

TeamSelection

(NSF)

Node Assignmen

t(NSF)

Awarded I-Corps Teams(NSF)

Curriculum Delivery &

Refinement(Nodes)

Customer Discovery

(Teams/Nodes)

Business Model

Canvasses(Teams)

“Go” Decision(Teams)

“No-Go”

Decision(Teams)

Resource Infusion

Strategic Partnership

Private Capitalization

Public Funding (e.g., SBIR, STIR,

…. )

Private Sector

I‐Corps Curriculum• Based on hypothesis‐driven business‐model discovery– Pioneered by Stanford and Steve Blank 

• Focuses on addressing market risk• Requires getting out of the lab

– AT LEAST 15 hours of prep per week• Mandatory for all I‐Corps participants

– First 3 Days (at one of the five nodes)– 5 follow‐on webinars with team presentations– 2 Days (lessoned learned )

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I‐Corps Approach

• Emphasizes experiential learning and feedback• Challenges teams to create their own business model canvas 

• Values revision and continual improvement of business development elements

• Expects teams to be inquisitive, motivated and capable of self management

• Full contact immersive class

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NSF I‐Corps Program Dashboard Cohorts 1‐9FY12Q1‐FY13Q3

• 212 Awards• 110 Academic Institutions• 42 States

Other I‐Corps Teams Success Stories• $1MM in angel financing (Arlington cohort); UVA team (Stanford cohort) received a $2MM angel 

investment; and one acquisition 

• “Grand Prize of $25k went to I‐Corps Alum Bio‐Adhesive Alliance from NC A&T  as selected by a panel of Venture Capitalists” 

• “Thermally Targeted Therapeutics got the first place for the business and commercialization plan and presentation, in Pre‐Revenue group at 2013 Mississippi New Venture Challenge business plan competition.”

• “After interviewing over 100 organizations and individuals throughout the world, as part of the I‐Corps project, we made a major market ‘pivot’ that pointed us to look into the Agriculture Market Segment. As part of it, the I/UCRC Associate Director and I‐Corps' Entrepreneurial  Lead Mike Bazakos was able to engage the MN Corn Growers to the NSF I/UCRC on Safety, Security and Rescue.”

• “Thank you for asking. We didn't win the final competition ‐ only one in state level including all disciplines. However, it was a great experience for us, particularly Giacomo Ghidini (EL) and undergrad student Josh Kornbaum, to face sharp questions from entrepreneurs, VCs, etc.”

• “In fact, I can confirm that all references to I‐Corps on my resume, and what I learned during the curriculum helped me a great deal during job interviews and afterwards.  Indeed, the I‐Corps experience made the transition from academia to industry very smooth.”

I‐Corps Sites

Anita Lasalle

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• Sites are funded at academic institutions:• with already existing innovation or entrepreneurial units, • to enable them to nurture teams of students and/or faculty

who are engaged in projects having the potential to be transitioned into the marketplace.

• Sites provide:• infrastructure, advice, resources, networking opportunities,

training, and • modest funding ($1,000 to $3,000 total to individual

teams) to enable groups to transition their work into the marketplace or into becoming I-Corps Team. Approx. 30teams per institution per year.

• Sites can be funded up to $100,000/year for up to 3 yrs.

I‐Corps Sites

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NSF I‐Corps Flow Diagram

Recruiting processes

(NSF)

Pool of eligible Teams(NSF)

TeamSelectio

n(NSF)

Node Assignmen

t(NSF)

Awarded I-

Corps Teams(NSF)

Curriculum Delivery

& Refinemen

t(Nodes)

Customer Discovery

(Teams/Nodes)

Business Model

Canvasses

(Teams)

“Go” Decision(Teams)

“No-Go”

Decision(Teams)

Resource Infusion

Strategic Partnership

Private Capitalizati

on

Public Funding (e.g., SBIR, STIR,

…. )

Private Sector

I‐Corps NodesDon Millard

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I‐Corps Nodes

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Level 1 – Regional Training

Level 2 – Develop Tools and Resources

Level 3 – Blue Sky Research

Deliver a training program at least once a year, across disciplines

Build teams of students, faculty, researchers and other local/regional stakeholders

Deliver the curriculum to NSF’s I-Corps teams

Compile assessment and evaluation data

Engage members from the local investment community

Develop near-term tools and resources

Identify models of effective innovation content, curricula, and teaching practices

Utilize a logic model to measure and analyze any commensurate changes/success/achievements

Further build entrepreneurial capacity in the node environments

Identify and pursue longer-term R&D projects

Leverage and analyze data from Levels 1&2

Research how institutions can improve support for innovation ecosystems

Examine and track the I-Corps teams’ outcomes

Develop methods for scaling effective practices

Explore collaborations to support commercialization - independent of geographic location

I‐Corps Node Activities

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Spur Translation of Fundamental Research

Encourage Collaboration between Academia and Industry

Educate to Innovate

Thank You

Other Supporting Slides

Disclaimer

• NSF doesn’t claim SOLE responsibility for these successes, but

• NSF played a clear and definable role in the intellectual evolution of all these innovations.

STC: Magnetic Resonance Imaging

• STC for Magnetic Resonance Technology for Basic Biological Research at UIUC established in 1991 

• PI Paul Lauterbur discovered the possibility of creating a two‐dimensional image by producing variations in a magnetic field

Lauterbur was awarded a Nobel Prize in 2003 for discoveries leading to magnetic resonance

imaging.

Plasma Reactor

GOALI: Nanocrystal Formation and Morphology in Nonthermal Plasmas

• Uwe Kortshagen (University of Minnesota) and Michael Zachariah (Univ. of Maryland College Park) have demonstrated the ability of plasmas to produce crystalline nanoparticles with specific geometries and beneficial properties.

• InnovaLight, Inc., licensed the approach to synthesize silicon nanocrystals for the use in low‐cost, efficient solar cells based on silicon nanoparticle films. 

GOALI: aims to synergize university-industry partnerships and fund transformative Research that lies beyond that which industry would normally fund

ERC: Radar Network Detects Low‐Altitude Weather Phenomena

• ERC for Collaborative Adaptive Sensing of the Atmosphere, Univ. of Massachusetts, Amherst

• Improves on Doppler radar and NEXRAD

ERC: goal is to create a culture in engineering research and education

that integrates discovery with technological innovation to advance technology and produce graduates who will be creative U.S. innovators in a globally competitive economy.

IA IAPhase IB

Third-PartyInvestment + 1:2NSF Matching

(up to $30k)

Phase IIBThird-Party

Investment + 1:2NSF Matching(up to $500k)

Private SectorOr

Non-SBIRInvestment

Phase IFeasibility Research

SBIR - $ 150k/6 monthsSTTR - $ 225k/12

months

Phase IIResearch towards

Prototype$750k/24 months

Phase IIIProduct Development

toCommercial Market

IA = Innovation Accelerator

SBIR: Support of Qualcomm

• In 1985, Andrew Viterbi and 6 colleagues formed “QUALity COMMunications”

• In 1987–1988 SBIR provided $265,000 for single chip implementation of Viterbi decoder – Led to high‐speed data transmission via wireless and satellite 

• Now the $78B company holds more than 10,100 U.S. patents, licensed to more than 165 companies

SBIR: Support of Symantec

• In 1981, Gary Hendrix founds Symantec• In 1982, NSF SBIR awards $30,000 for developing a framework for managing dissimilar data

• In 1984, Symantec was acquired by C&E Software

• Now, a leading anti‐virus and PC‐utilities software company valued at $12B