karlene hoo outlines nsf innovation programs
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Industrial Innovation and Partnerships Division at the
NSFKarlene A. Hoo, Ph.D.
PD: Accelerating Innovation Research
Univ. Nebraska LincolnJune 20, 2012
Industrial Innovation & Partnerships 1
DirectorDr. Subra Suresh
National Science Foundation
Directorate for
Engineering
Directorate forComputer andInformationScience andEngineering
Directorate forGeosciences
Directorate forEducation andHumanResources
Directorate forMathematicaland PhysicalSciences
Directorate forSocial,Behavioral,and EconomicSciences
National Science Board Office of theInspector General
Deputy DirectorDr. Cora Marrett
Office of International Science and Engineering
Office of Equal Opportunity Programs
Office of Integrative Activities
Office of Budget, Finance, and Award Management
Office of Information and Resource Management
Office of the General Counsel
Office of Legislative and Public Affairs
Directorate forBiologicalSciences
Office of Cyberinfrastructure
Office of Polar Programs
Directorate of Engineering
3
Emerging Frontiers in Research and Innovation
(EFRI)
Emerging Frontiers in Research and Innovation
(EFRI)
Chemical, Bioengineering,Environmental, and Transport
Systems(CBET)
Chemical, Bioengineering,Environmental, and Transport
Systems(CBET)
Civil, Mechanical, and Manufacturing
Innovation(CMMI)
Civil, Mechanical, and Manufacturing
Innovation(CMMI)
Electrical, Communications,
and Cyber Systems(ECCS)
Electrical, Communications,
and Cyber Systems(ECCS)
EngineeringEducation and
Centers(EEC)
EngineeringEducation and
Centers(EEC)
IndustrialInnovation andPartnerships
(IIP)
IndustrialInnovation andPartnerships
(IIP)
Office of the Assistant DirectorThomas Peterson
Deputy Assistant DirectorKesh Narayanan
Office of the Assistant DirectorThomas Peterson
Deputy Assistant DirectorKesh Narayanan
Senior Advisor forNanotechnology
Senior Advisor forNanotechnology
4
Industrial Innovation and Partnerships
Innovation ClusterCheryl Albus
Innovation ClusterCheryl Albus
Grant Opportunitiesfor Academic
Liaison with IndustryDonald Senich
Grant Opportunitiesfor Academic
Liaison with IndustryDonald Senich
Small Business PartnershipsJoe Hennessey
Small Business PartnershipsJoe Hennessey
Division DirectorGrace Wang
Division DirectorGrace Wang
ProgramSupport Manager
Amanda May
ProgramSupport Manager
Amanda May
Academic PartnershipsDonald Senich
Academic PartnershipsDonald Senich
Einstein FellowsRobert Pauley
Mark Supal
Einstein FellowsRobert Pauley
Mark Supal
Operations Specialist
Greg Misiorek
Operations Specialist
Greg MisiorekIndustry/University
CooperativeResearch CentersRathindra DasGupta
Larry Hornak
Industry/UniversityCooperative
Research CentersRathindra DasGupta
Larry Hornak
Partnerships for Innovation:Building Innovation Capacity
(PFI-BIC) Sara Nerlove
Partnerships for Innovation:Building Innovation Capacity
(PFI-BIC) Sara Nerlove
Partnerships for Innovation:Accelerating Innovation
Research (PFI-AIR) Karlene Hoo
Partnerships for Innovation:Accelerating Innovation
Research (PFI-AIR) Karlene Hoo
I-CorpsErrol Arkilic,
Rathindra DasGupta
I-CorpsErrol Arkilic,
Rathindra DasGupta
Nanotechnology, Advanced Materials & Manufacturing (NM) Ben Schrag, Vacancy
Nanotechnology, Advanced Materials & Manufacturing (NM) Ben Schrag, Vacancy
Biological and Chemical Technology (BC)
Ruth Shuman, Prakash Balan, Jesus Soriano
Biological and Chemical Technology (BC)
Ruth Shuman, Prakash Balan, Jesus Soriano
Electronics, Information & Communication Technology (EI)
Juan Figueroa, Murali Nair, Glenn Larsen
Electronics, Information & Communication Technology (EI)
Juan Figueroa, Murali Nair, Glenn Larsen
Education Applications (EA)
Glenn Larsen
Education Applications (EA)
Glenn Larsen
Experts/Special TopicsGeorge Vermont
Experts/Special TopicsGeorge Vermont
AnalystsAlex Schwarzkopf,
Kevin Simmons
AnalystsAlex Schwarzkopf,
Kevin Simmons
Assessment and DiversityCheryl Albus
Assessment and DiversityCheryl Albus
• Vision - To be the pre-eminent federal resource driving
the expansion of our nation’s innovation capacity by stimulating partnerships among industry, academe, investors, government and other stakeholders
• Mission - IIP will enhance our nation’s economic
competitiveness by catalyzing the transformation of discovery into societal benefits through stimulating partnerships and promoting learning environments for innovators
5
IIP Vision & Mission
Research: transformation of money ($) into knowledge
Innovation: transformation of knowledge into money ($)
Industrial Innovation & Partnerships 6
Geoffrey Nicholson3M Retired
NSF Innovation Investments
Translational
Research
See http://www.nsf.gov/eng/iip/innovatio
n.pdf
Investors
Industry
NS
F o
vera
ll
GO
ALI
ST
TR
PFI:
BIC
, P
FI:
AIR
ER
C
I/U
CR
C
SB
IR
STC
Resou
rces I
nveste
d
Discovery Development Commercialization
Foundations
I- Corp
s
UniversitySmall Business
NSF Innovation Investments
Translational
Research
See http://www.nsf.gov/eng/iip/innovatio
n.pdf
Investors
Industry
NS
F o
vera
ll
GO
ALI
ST
TR
PFI:
BIC
, P
FI:
AIR
ER
C
I/U
CR
C
SB
IR
STC
Resou
rces I
nveste
d
Discovery Development Commercialization
Foundations
I- Corp
s
UniversitySmall Business
translation/transition/transformation/transfer
IIP Innovation Programs
• GOALI
• PFI: BIC
• PFI: AIR
• I/UCRC
• I-Corps
• SBIR/STTR
Academic Programs 07070000 FY 2010 FY 2011
PFI: AIR $11,550,000
GOALI $4,932,355 $4,701,057
I-Corps $450,000
I/UCRC $7,711,588 $8,467,732I/UCRC Fundamental Research $674,852 $1,362,654
PFI: BIC $9,245,760 $7,597,718
Total $22,564,555 $34,129,161
IIP Academic Programs
Funding
• Proposals must address NSF goals– Transform the Frontiers – Innovate for Society
• NSF merit review criteria– Intellectual merit – Societal impact
• Funding may be found in ENG and crosscutting/interdisciplinary programs
Directorate for Engineering 11
GRANT OPPORTUNITIES FOR
ACADEMIC LIAISON WITHINDUSTRY
GOALI NSF 12-513
Please contact the appropriate disciplinary program office to obtain information about current deadline dates.
Please discuss with the appropriate disciplinary program office prior to
submitting a request for supplemental funding.
Grants Opportunities for Academic Liaison with Industry (GOALI)
Goal To promote university-industry partnerships by
providing project funds or fellowships/traineeships to support an eclectic mix of industry-university linkages
Three mechanisms Faculty and students go to industry Industrial scientist and/or engineer go to the
university Industry-University Collaborative Research Projects
13
Co-funding opportunities for academic proposals
Grant Opportunities for Academic Liaison with
Industry (GOALI)• Industry-University collaboration required for research and
education aspects of the proposal
• Required matching funds from industry for residence period in industry
• NSF $ support university participation
• Opportunities for future employment of students
• Dissemination Plan
14
Targets high-risk/high-gain research with a focus on fundamental research and direct transfer of new knowledge between academe and industry.
Funds transformative research that lies beyond that which industry would normally fund.
GOALI: Distribution of 2009-2011 Awards by Directorate / Division
15
CCF CNS CBET CMMI ECCS EFRI IIP CHE DMR SES SMACISE CISE ENG ENG ENG ENG ENG MPS MPS SBE SBE
0
10
20
30
40
50
2009 2010
2011
Aw
ard
Fre
quen
cy
GOALI Data 2009-2011
Why should you be interested?
• Potential of wealth creation • Creation of new knowledge• Intellectually right thing to do• Potential employment opportunities• Making a real impact
Innovation through Partnerships 16
Partnerships for Innovation
PFI
Designed to accelerate innovation that results in the creation of new wealth and the building of strong local, regional, and national economies.
ACA: Sec 508 Partnerships for Innovation
Industrial Innovation & Partnerships 18
Increase the impact of the
most promising research
Mentoring ..
innovation
and
entrepreneursh
ip
Build lasting partnerships ..
businesses, governments, others
Innovation Strategy for Sustainable Growth and Creation of Quality Jobs
19Industrial Innovation & Partnerships
OSTP & NEC RFI: seeks public comments on whether proof-of-concept centers can be a means of stimulating the commercialization of early-stage technologies by bridging the “valley of death.”
OSTP & NEC RFI: 3/25/10 (75:57)
•Catalyzing breakthroughs for national priorities•Promoting competitive markets that spur productive entrepreneurship
•Investing in building blocks of American Innovation
EXECUTIVE OFFICE OF THE PRESIDENT: SEPT 2009
In response to this …
Industrial Innovation & Partnerships 20
PFI: Umbrella of subprograms
• BIC: Building Innovation Capacity • AIR: Accelerating Innovation Research
BIC AIR
TechnologyTranslation
Research Alliance
•Promotes collaborations to stimulate the translation and transfer of existing knowledge created by the research enterprise into
–market-valued solutions –potential commercial reality and spinoffs
•Integrates multiple disciplines
•Public- private partnerships-industries, practitioners, and others
•Focus on research/technology platforms that enable engineered systems
IIP’s Investments in an Innovation Ecosystem
Industrial Innovation & Partnerships 21
Shared goals: INNOVATION and PARTNERSHIPS
PFI: BIC (NSF 12-511)
Building Innovation Capacity
•Core –Academic researchers–At least 2 or more existing small businesses–Others: businesses, profit, not-for-profit, large, small, …–$600K/2-years per award–LOI required, Full proposal
•Goals– Joining of academic and business perspectives–Businesses: “Takeaways” with potential to help them thrive and grow
–Academics: Increased agility in adapting their existing research discoveries into market-valued solutions
Industrial Innovation & Partnerships 22
S Ner
love
PFI: AIR Technology Translation (NSF 12-571)•Core
– Single investigator or small groups of faculty
– Current or 4-years prior NSF research award recipient
– $150K/18-months per award
–LOI required (Sept 12, 2012, Mar 13, 2013)–Full proposal (Nov 13, 2012, May 15, 2013)
•Goals–To complete the necessary research such as proof-of-concept, prototyping and/or scale-up that addresses real-world constraints
–To move more research discoveries on the path to becoming new technologies
– To create entrepreneurial small groups of facultyIndustrial Innovation & Partnerships 23
PFI: AIR Research Alliance (NSF 12-571)•Core
– NSF-funded research alliance
–Others: another research entity, small business consortia, local/regional innovation entity
– Third-party investment (1:1) - 75% cash match
•Goals– Creates an innovation ecosystem–Translates and transfers existing research discoveries to commercial reality and potential spin-offs
– Builds new partnerships– Develops entrepreneurial culture
Industrial Innovation & Partnerships 24
PFI: AIR Current Awards
Industrial Innovation and Partnerships 25
Industry University Cooperative Research
CentersI/UCRC NSF 12-516
Letter of Intent Due (required)
Planning Grant : must complete a workshop
Full Center Proposal: must complete boot camp
I/UCRCs enable discovery and innovation through collaboration
I/UCRCDiscovery &Innovation
GovernmentNSF
Members
University
Members
Single or multi-university
Key Features:• Small investment from NSF
• Primarily supported by industry center members
• A shared portfolio of pre-competitive research projects
• Research “franchise”
Include industry, other agencies (state & federal), and other organizations
I/UCRC: Funding opportunity for academic institutions
• Goals– Develop long-term partnerships among
industry, academe and government– Leverage NSF funds with industry to
support graduate students performing industrially-relevant research
• 60 active centers (172 sites)
28
Innovation through Partnerships
29
I/UCRC: Leveraging of other NSF support
Some I/UCRCs have indicated that their current or past research results were enabled by research results or infrastructure supported by other divisions or Programs within NSF
National Distribution of I/UCRCs
60 Centers172 I/UCRC Sites
Plus Participating International Sites
ENG CISE
Over 760 Memberships
I/UCRC: Technology sectors
• Advanced Electronics (5)• Advanced Manufacturing & Materials (15)• Biotechnology (3)• Civil Infrastructure Systems (3)• Energy and Environment (9)• Fabrication & Processing (1)• Health and Safety (2)• Information, Communication and Computing (14)• System Design and Simulation (4)
NSF 11-560
To identify NSF-funded researchers who will receive additional support - in the form of mentoring and funding - to accelerate innovation that can attract subsequent third-party funding.
I-Corps (Background)
Leveraging NSF-lineage of previous support Small grants to focus on creating a commercialization roadmap
Quick assessment Team-based Curriculum-focused
I-Corps Team
Entrepreneurial Lead Post-doc or Student to move it forward
I-Corps Mentor Domain-relevant volunteer guide Proximity is better
Principal Investigator Researcher with current or previous award
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 (Stanford, …) 5 follow-on webinars with team presentations 2 Days (lessoned learned) in Stanford, …)
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
NSF I-Corps Program Cohorts
Additional Funding Proposals
CISE ENG MPS SBE BIO EHR0
1
2
3
4
5
6
7
8
9
4
9
4
1 1
2
SBIR Licensing Agreement Potential Candidates for Private Funding
Pending Potential02468
1012
7
12
111st cohort
Directorates Represented
CISE ENG MPS SBE BIO 0
2
4
6
8
10
12
2nd cohort1st cohort
Feedback from the I-Corps Kickoff
Your business “plan” is irrelevant… the truth is out there
Its all about customer development
Don’t confuse search with execution
Getting out of the Office is foreign to many
Getting critical feedback is tough
Small Business Innovation Research/Small Business
Technology Transfer Research (SBIR/STTR)
NSF 12-548
Stimulates technological innovation in the private sector
NSF SBIR/STTR Programs
Invest in for-profit small businesses
To Catalyze Technology Commercialization
IAIA
IA = Innovation Accelerator
SBIR: Program Status
• Total funding ~ $125 million (FY 2011)
• 277 Phase I awards
• 107 Phase II awards
SBIR: Technology Thrusts
• Nanotechnology, Advanced Materials, and Manufacturing
• Electronic, Information, and Communication Technologies
• Biological and Chemical Technologies
• Education Applications
SBIR: Funding and Review Criteria
• High-risk, high-payback innovations• High commercialization potential is a must
• Proposals should demonstrate:– Sound research plan– Highly qualified technical and business team– Marketable product with significant
commercialization potential
Questions?
• GOALI - grant opportunities for academic liaison with industry
• PFI: BIC - partnerships for innovation: building innovation capacity
• PFI: AIR - partnerships for innovation: accelerating innovation research (choice 1: Technology Translation, choice 2: Research Alliance)
• I/UCRC - industry, university cooperative research centers
• I-Corps - innovation corps• SBIR/STTR - small business innovation
research/small business technology transfer research
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