Industrial Innovation and Partnership’s

Academic and Small Business Programs

Ruth M. Shuman, Ph.D.SBIR/STTR Program Director

National Science Foundation

DirectorDr. Subra Suresh

National Science Foundation

Directorate forEngineering

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

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Industrial Innovation and Partnerships (IIP)

Grant Opportunitiesfor Academic Liaison with Industry (GOALI)

Donald Senich

Grant Opportunitiesfor Academic Liaison with Industry (GOALI)

Donald Senich

Small Business Partnerships (SBIR/STTR)

Joe Hennessey

Small Business Partnerships (SBIR/STTR)

Joe Hennessey

Division DirectorGrace Wang

Division DirectorGrace Wang

Program Support Manager

Sonya Williams (detailee)

Program Support Manager

Sonya Williams (detailee)

Academic Partnerships

Donald Senich

Academic Partnerships

Donald Senich

Industry/UniversityCooperative Research

Centers (I/UCRC)Rathindra DasGupta

Larry Hornak

Industry/UniversityCooperative Research

Centers (I/UCRC)Rathindra 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

Innovation-Corps (I-Corps)Errol Arkilic (detailee to OIIA),

Rathindra DasGupta

Innovation-Corps (I-Corps)Errol Arkilic (detailee to OIIA),

Rathindra DasGupta

Nanotechnology, Advanced Material & Manufacturing (NM)

Steve Konsek, Rajesh Mehta,Ben Schrag

Nanotechnology, Advanced Material & Manufacturing (NM)

Steve Konsek, Rajesh Mehta,Ben Schrag

Biological and Chemical Technology (BC)

Prakash Balan, Rajesh Mehta,Ruth Shuman, Jesus Soriano,

Biological and Chemical Technology (BC)

Prakash Balan, Rajesh Mehta,Ruth Shuman, Jesus Soriano,

Electronics, Information & Communication Technology (EI)

Juan Figueroa, Steve Konsek, Glenn Larsen, Murali Nair

Electronics, Information & Communication Technology (EI)

Juan Figueroa, Steve Konsek, Glenn Larsen, Murali Nair

Education Applications (EA)Glenn Larsen

Education Applications (EA)Glenn Larsen

Experts/Special TopicsGeorge Vermont

Experts/Special TopicsGeorge Vermont

Staff AssociateGracie Narcho

Staff AssociateGracie Narcho

Science AssistantLindsay D’AmbrosioScience Assistant

Lindsay D’Ambrosio

Einstein FellowChris Campbell

Einstein FellowChris Campbell

Operations Specialist

Greg Misiorek

Operations Specialist

Greg Misiorek

AdministrativeStaff

AdministrativeStaff

Investors

Industry

NSF ResearchFunding

GO

AL

I

ST

TR

PF

I :

BIC

/ A

IR

ER

C

I/U

CR

C

SB

IR

ST

C

Discovery Development Commercialization

Foundations

Valley of Death

I-C

orp

s

University

Small Business

Industrial Innovation and Partnerships (IIP)http://www.nsf.gov/div/index.jsp?org=IIP (703) 292-8050

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Grant Opportunities for Academic Liaison with Industry (GOALI)Contact: dsenich@nsf.gov (703) 292-7082

• Aims to synergize university-industry partnerships and fund transformative research that industry would not normally fund

• Mechanism:– Faculty and students in industry– Industry scientists and engineers in academe– Industry-University Collaborative Research (I/UCRC) Projects

• Criteria:– Impact/relevance of successful research– Strong industrial co-PI– Resources considered (Time, facilities, materials and intellectual property)

• GOALI Solicitation: NSF 12-513

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Industry/University Cooperative Research Center (I/UCRC)Contact: rdasgupt@nsf.gov, (703) 292-8353

• 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

• Centers succeed based on the value they provide to industry and faculty

• Nearly 8:1 Leveraging of NSF funds.

• 61 Centers (178 Sites) and over 1,000 Memberships

• 52% large business, 26% small business, 15% federal members; rest are state and NPF

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Industry/University Cooperative Research Center (I/UCRC)Contact: rdasgupt@nsf.gov, (703) 292-8353

0

20

40

60

80

100

120

140

80 82 84 87 89 91 93 95 97 99 01 03 05 07 09 11

UNIVERSITY

OTHER (FED. NON-FED., &OTHER CASH)

STATE

OTHER INDUSTRY

INDUST. MEM. FEES

OTHER NSF

IUCRC

Academic sites, members may evolve in time

Cooperatively Defined, Sector Relevant Fundamental

Research

Cooperatively Defined, Sector Relevant Fundamental

Research

NSF NSF Solicitation Solicitation

outlines outlines partnership partnership

requirementsrequirements

Industry, Agency $ Industry,

Agency $

UniversityUniversity

NSF $NSF $ Uniform Cooperative Agreements in all Centers

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Total Center funding per year

Partnerships For Innovation: Building Innovation Capacity (PFI: BIC)Contact: snerlove@nsf.gov, (703) 292-7077

Goals• To build the innovation capacity of the participants (academe

and business)

• To facilitate the viability of the small technology-based businesses• To educate students in building innovation capacity

Core• Lead: Academic institution

• A minimum of 2 small technology-based businesses

• $600k/2 years; requires letter of intent (LOI)

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TECHNOLOGY TRANSLATION OptionGoals• To complete the research that will

result in a proof-of-concept and prototype that addresses real-world constraints

• To move existing research discoveries towards commercial realities

• To create an entrepreneurial culture

Core• Single PI or small groups of faculty • Current or 4-years prior to solicitation

due date NSF research award recipient• $150K/18 months

• Clear identification of technology gaps that will be filled

• Justification that a fully functioning prototype will be an output at the end of the award duration

Partnerships For Innovation: Accelerating Innovation Research (PFI: AIR) Contact: khoo@nsf.gov, dsenich@nsf.gov (703) 292-7077 or -7082

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RESEARCH ALLIANCE OptionGoals•Creates an innovation ecosystem•Translates and transfers existing research to commercial reality, new quality jobs, and potential spin-offs•Develops entrepreneurial culture

Core• NSF-funded research alliance: e.g., centers• Others: research entity, local/regional

innovation entity, small business consortia• Third-party investors: U.S. based entity• $800K/24 months

Ecosystem for Biophotonics Innovation (#1127888)

Translate photonics-based Technologies to biosciences

and medicine

Partnerships For Innovation: Accelerating Innovation Research (PFI: AIR) Contact: khoo@nsf.gov, dsenich@nsf.gov (703) 292-7077 or -7082

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Innovation Corps (I-Corps)Contact: rdasgupt@nsf.gov, (703) 292-8353

• NSF-Wide, Public-Private partnership to support the development of technologies, products, and processes

• Purpose: To leverage NSF investments in research; to support potential transition of technology previously supported by NSF

• Small grants to focus on creating a commercialization roadmap

• Projects are team-based – Entrepreneurial Lead (Post-doc or Student)– I-Corps Mentor– Principal Investigator

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I-Corps Teams Flow Diagram

Innovation Corps (I-Corps)Contact: rdasgupt@nsf.gov, (703) 292-8353

• Previous NSF-Funded Research I-Corps team formation, selection, and award

• Team engages in I-Corps curriculum

• Outcomes: Company formation, license agreements, etc.

• Potential support: SBIR/STTR Awards, strategic partners, private capital, public funding

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Small Business Innovation Research (SBIR) 2.7%

Set-aside program for small businessconcerns to engage in Federal R&D - with potential for commercialization.

Small Business Technology Transfer (STTR) .35%

Set-aside program to facilitate cooperative R&D between small business concerns and U.S. research institutions - with potential for commercialization.

SBIR/STTR Program Descriptions

• $150M in grants (FY12)

• Provides early-stage funding to entrepreneurs for

R&D on high-risk technologies with high potential

for economic/societal benefits

• Awards based on both Technical and Commercial

Merit

• Solicitation released - once/6 months

Small Business Innovation Research (SBIR)Small Business Technology Transfer (STTR)http://www.nsf.gov/eng/iip/sbir/ (703) 292-8050

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Core Values

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

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Program Fundamentals

• Targets early-stage development of technology on a commercial path

• Seeks to fund transformational, game-changing technology

• Values academic collaboration/translation• Strong focus on commercialization• Looks for significant market opportunity• Encourages ties to private sector

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Small Business Innovation Research (SBIR)Small Business Technology Transfer (STTR)http://www.nsf.gov/eng/iip/sbir/ (703) 292-8050

IA = Innovation Accelerator

World’s first unanchored ‘drifter pen’; first farmed fish

grow-out in US waters: allows scale-up, without

discernible footprint.

2001Kona Blue

Water Farms founded,

awarded ATP grant

2004First

integrated open ocean

fish farm and marine fish

hatchery

2008

KAMPACHI FARMS, LLC

2009 - 10$6M - 1 million

lbs of Kampachi; no expansion

opportunities in US waters

2011 2012Unanchored pen

concept tested: regional eddy

patterns, satellite modeling validated

Launched “Beta-Trial” of Velella

concept. Kampachi Farms founded.

“Ph IIB awarded for moored “Velella

Gamma”; SECO for engineering for

commercial moorings

FORTUNE MAGAZINE

“Fish without footprints”

FinancingPhase I-$100K

Other Illinois Soy $1 M

Phase IB-$50K Phase II-$500K Phase IIB-$500K SECO-$200K

In-Kind

Lockheed Martin

International Copper Association (brass mesh) Ocean Farms Tech (net pens)

Vitamar $150K seed

IntraLase: Delivery of Ultra Short Laser Pulses for the Treatment of Glaucoma

STC University of Michigan Ann

Arbor“Center for

Ultrafast Optical Science”

(MPS/PHY)

NSF Lineage:

Developed Intralase

Femtosecond Laser

Phase I$100K

Phase II$400K

Company Spin Off from

Univ. Michigan

Acquired by Advanced

Medical Optic $808 M

Abbott Laboratories

Acquired Advanced

Medical Optic$2.8 B

“Cataract and Refractive Surgery Today” (March 2011); Daily, Stephen

Abbott MedicalOptics

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Small Business Innovation Research (SBIR)Small Business Technology Transfer (STTR)http://www.nsf.gov/eng/iip/sbir/ (703) 292-8050

• Founded in 2008 (Cambridge, MA)• Social web and TV analytics to index video• Based on the PI’s Ph.D. thesis research at MIT’s Media Labs • Fundamental research: 1 CISE/IIS & SBE/BCS• SBIR: Phase I and Phase II• Attracted $19 M in VC funding• Acquired by Twitter ~$100M

BLUEFIN LABS, Inc.

Directorate for Engineering 22

Thank You!

National Science Foundation