Introduction to
Industrial Innovation
& Partnerships (IIP)
Kesh Narayanan
Division Director, Industrial Innovation
& Partnerships
National Science Foundation
Discovery for Innovation
National Science Board
Office of Polar
Programs
Division of
Industrial
Innovation
Partnership
Office of the
Inspector General
Director
Staff Offices
Directorate for
Computer and
Information
Science and
Engineering
Directorate for
Biological
Sciences
Directorate for
Engineering
Directorate for
Geosciences
Discovery to Innovation
Directorate for
Education and
Human
Resource
Directorate for
Mathematical
and Physical
Sciences
Directorate for
Social,
Behavioral,
and Economic
Sciences
Integrative
Activities
(MRI, STC)
Division Director
Kesh Narayanan
Academic
Partnerships
Small Business
Partnerships
Donald Senich
Joe Hennessey
Grant Opportunities
for Academic
Liaison with
Industry
AAAS Fellow
Malathi Srivatsan
(Tiffany Sargent)
Einstein Fellows
Kevin Simmons
Bernadine Okoro
Donald Senich
Industry/University
Cooperative
Research Centers
Rathindra DasGupta
Larry Hornak
Partnerships
for Innovation
Sara Nerlove
Program
Support
Manager
Amanda May
Operations
Specialist
Greg Misiorek
Expert / Special Topics
James Rudd, George
Vermont
Innovation through Partnerships
Nanotechnology, Advanced
Material & Manufacturing
(NAM)
Cheryl Albus, Ben Schrag,
Grace Wang
Biotechnology and Chemical
Technology (BCT)
Greg Baxter, Ruth Shuman,
Tony Walters
Information &
Communication Technology
(ICT)
Errol Arkilic, Juan Figueroa,
Murali Nair
Education Applications
Glenn Larsen, Ian Bennett,
3
IIP Budget (in Millions)
2007
2008
Small Business
Academic
$ 108.23
$ 21.86
$ 109.00
$ 21.76
$ 119.2
$ 21.73
2009
ARRA
$ 49.91
$ 4.4
Total
$130.09
$130.77
$140.93
$54.70
2009
1. Small Business Innovation Research (SBIR)
Set-Aside = 2.5% extramural research $ of NSF
2. Small Business Technology Transfer (STTR)
Set-Aside = 0.3% extramural $
4
SBIR/STTR Clusters
1. Nanotechnology, Advanced Materials &
Manufacturing (NAM)
2. Biotechnology and Chemical Technology (BCT)
3. Information & Communication Technology (ICT)
4. Education Applications (EA)
5
SBIR/STTR Proposal Pressure
Ph I
Ph II
Year
proposals
awards
Funding Rate
proposals
awards
Funding Rate
Year
Total # of
Proposals
2007
2,114
403
19%
223
89
40%
2008
1,856
319
17%
306
108
39%
2009
1,829
370
20%
305
146
43%
2007
2008
2009
2585
2406
2285
60%
Increase
2010
3633
6
NSF SBIR/STTR Innovation Model
Unique to NSF
Phase IB Third
Party
Investment
match
PHASE I
Feasibility
Research
$150k/6 mos
Phase IIB
Third Party
Investment
match
Private Sector or
Non-SBIR
Investment
MATCH
MAKER
PHASE II
Research
towards
Prototype
$500k/24 mos
PHASE III
Product
Development to
Commercial
Market
Taxes
Federal Investment
Impact on Economy
100%
100%
90%
80%
70%
60%
50%
40%
30%
20%
10%
0%
Phase II Vs Phase IIB
Commercialization Rates
64%
36%
50%
0%
40%
Phase II
Grantees
Ph II B
Grantees
19%
7%
Annual Job
Growth Rate
(Phase II
Companies)
Annual
Revenue
Growth Rate
(Phase II
Companies)
Phase II
Grantees
Generating
Significant
Income
8
Academic Proposal Pressure
proposals
GOALI awards
proposals
PFI
awards
proposals
I/UCRC awards
2007
2008
2009
231
264
312
95
112
154
209
29
66
12
14
19
238
190
228
80
56
90
total
807
361
304
45
656
226
9
Academic Proposal Pressure
proposals
GOALI awards
proposals
PFI
awards
proposals
*I/UCRC awards
2007
2008
2009
231
264
312
95
112
154
209
29
66
12
14
19
238
190
228
80
56
90
total
807
361
304
45
656
226
*I/UCRC Interagency and International
• DOD, NASA, DOE, DHS, DOC, Justice, NSA
• UK, Northern Ireland, Japan, India, Haiti
10
I/UCRC: The Mechanism
I/UCRCs work like a research
“franchise” with operational
guidelines and evaluation tools
Government
NSF
I/UCRC
Discovery
&
Innovation
Single or
multiuniversity
University
Members
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
Industry
Members
ERC and I/UCRC Technology Sectors
Lead Institution shown (# ERCs
, # I/UCRCs )
12
Total Students Supported
in I/UCRCs
700
600
500
400
2007
300
2008
2009
200
100
0
BA
MA
PhD
PostDoc
13
I/UCRC Total Industry
Members by Year
700
600
500
400
300
200
100
0
2007
2008
2009
14
Academic Proposal Pressure
proposals
*GOALI awards
proposals
PFI
awards
proposals
I/UCRC awards
2007
231
95
209
12
238
80
2008
264
112
29
14
190
56
2009
312
154
66
19
228
90
total
807
361
304
45
656
226
*GOALI
GOALI provides co-funding to grants from
other disciplinary programs
15
Grant Opportunities for
Academic Liaison with Industry
(GOALI)
The Mechanisms
• Faculty and Students in industry
• Industry Scientists and Engineers in Academe
• Industry-University Collaborative Research
Projects
GOALI Award Rates
2007-9
2007-9
DIVISION
CBET
CMMI
ECCS
TOTAL
GOALI
Awarded
97
179
72
348
GOALI
Funding Rate
36%
42%
36%
39%
Funding Rate for GOALI significantly higher than that for ENG Base
17
Academic Proposal Pressure
2007
2008
2009
total
proposals
231
264
312
807
GOALI awards
95
112
154
361
proposals
209
29
66
304
PFI*
awards
12
14
19
45
proposals
238
190
228
656
I/UCRC awards
80
56
90
226
*PFI History
•Started in 2000
•Funded 171 awards (multi-PI) out of 1210
•Awards at $600,000 over 3 years
18
•Innovation Ecosystem across 40 States
What Do the PFI Partnerships
Organize to Do?
Research &
Knowledge Transfer
Education/Training
STEM Workforce &
Entrepreneurs
Innovation
Infrastructure
& Community
19
Cumulative Active PFI
Partnerships
250
200
150
100
50
0
ACADEMIC
BUSINESS
OTHER
20
IIP COV Report to ENG AdCom
2007-2009
Louis Martin Vega
Tom Knight*
*ENG AdCom Member,
Chair, SBIR/STTR AdCom
Subcommittee
21
Strengthening Programs
2010
• Industry Inspired Fundamental Research (IRI )
• i6 Regional Innovation Challenge (EDA)
• Partnerships between Centers & Small Businesses
– SBIR/STTR with I/UCRC & ERC
• Post-docs in SBIR/STTR (ASEE)
• SBIR 2.0 (SBA)
– Robotics Joint Solicitation (5 agencies)
22
IIP Budget Request for 2011
(in Millions)
2007
2008
2009
2009
ARRA
2010
Small
Business
$ 108.23 $ 109.00 $ 119.2 $ 49.91 $125.77
Academic
$ 21.86 $ 21.76 $ 21.73
$ 4.4 $26.23
*Innovation
Ecosystem
Total
$130.09 $130.77 $140.93 $54.70 $152.00
2011 Req.
$142.86
$22.91
$12.00*
$177.77
*Innovation Ecosystem
Intensive OSTP/ENG discussions led to
targeted NSF budget request in 2011
23
Promoting Innovation and
Economic Growth
Promote the commercialization of promising technologies:
The Budget proposes $12 million for the National Science Foundation
(NSF) for a new Innovation Ecosystem in which universities partner with
other institutions to increase the impact of the most promising
innovations through commercialization, industry alliances, and start-up
formation.
Office of Science and Technology Policy , February 1, 2010
With community input, NSF designed two new solicitations to encourage
translation of new knowledge to economic or societal impact:
Accelerating Innovation Research (AIR), and a
‘reinvented’ Partnerships for Innovation (PFI)
Directorate for Engineering
24
Components of New
Solicitations for 2011
Single Investigator and Small Groups of Faculty
•Accelerating Innovation Research Option 1:
–Technology Translation Plan Competition (AIR/$4M)
•Partnerships for Innovation:
Academic - Small Business Technology Platform (PFI$7M)
Partnerships of Large Research Groups
•Accelerating Innovation Research Option 2:
-Research Alliance Competition (AIR/$8M)
Directorate for Engineering
25
ENG overall
GOALI
ERC
PFI
AIR
STTR
I /UCRC
SBIR
STC
NSF overall
NSF Innovation Investments
Industry
Resources Invested
Investors
Translational
Research
See http://www.nsf.gov/eng/iip/innovation.pdf
Foundations
Small Business
University
Discovery
Development
Directorate for Engineering
Commercialization
26
Division Director
Kesh Narayanan
Academic
Partnerships
Small Business
Partnerships
Donald Senich
Grant Opportunities
for Academic
Liaison with
Industry
Joe Hennessey
AAAS Fellow
Malathi Srivatsan
(Tiffany Sargent)
Einstein Fellow
Kevin Simmons
Bernadine Okoro
Donald Senich
Industry/University
Cooperative
Research Centers
Rathindra DasGupta
Larry Hornak
Partnerships
for Innovation
Sara Nerlove
Program
Support
Manager
Amanda May
Operations
Specialist
Greg Misiorek
Expert / Special Topics
James Rudd, George
Vermont
Innovation through Partnerships
Nanotechnology, Advanced
Material & Manufacturing
(NAM)
Cheryl Albus, Ben Schrag,
Grace Wang
Biotechnology and Chemical
Technology (BCT)
Greg Baxter, Ruth Shuman,
Tony Walters
Information &
Communication Technology
(ICT)
Errol Arkilic, Juan Figueroa,
Murali Nair
Education Applications
Glenn Larsen, Ian Bennett,
27