Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

I/UCRC for Agricultural, Biomedical and Pharmaceutical Nanotechnology (CABPN)

IAB MeetingNovember 16, 2011

Rathindra (Babu) DasGupta & Larry HornakI/UCRC , IIP Division

Dee Hoffman, Center EvaluatorNational Science Foundation

Welcome to the Industry / University Cooperative Research Centers

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

CABPN: An I/UCRC in its 1st Year

Your Center is in its critical and exciting formative stage

CABPN Status:• University of Illinois – Phase I

– Center Lead Site Award in 2011 under NSF 10-595

• Center Evaluator – Dee Hoffman

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

1st Year of Center OperationEstablish a solid foundation upon which to build

• I/UCRC Program• The I/UCRC Model

– NSF’s Role

• Successful I/UCRCs– Characteristics– Outcomes

• CABPN in Phase I

4

ENG Organization

Emerging Frontiers in Research and Innovation

(EFRI)Sohi Rastegar

Emerging Frontiers in Research and Innovation

(EFRI)Sohi Rastegar

Chemical, Bioengineering,Environmental, and Transport

Systems(CBET)

John McGrath

Chemical, Bioengineering,Environmental, and Transport

Systems(CBET)

John McGrath

Civil, Mechanical, and Manufacturing

Innovation(CMMI)

Steven McKnight

Civil, Mechanical, and Manufacturing

Innovation(CMMI)

Steven McKnight

Electrical, Communications,

and Cyber Systems(ECCS)

Robert Trew

Electrical, Communications,

and Cyber Systems(ECCS)

Robert Trew

EngineeringEducation and

Centers(EEC)

Theresa Maldonado

EngineeringEducation and

Centers(EEC)

Theresa Maldonado

IndustrialInnovation andPartnerships

(IIP)Don Senich

(Acting)

IndustrialInnovation andPartnerships

(IIP)Don Senich

(Acting)

Office of the Assistant DirectorThomas Peterson

Deputy Assistant DirectorKesh Narayanan

Office of the Assistant DirectorThomas Peterson

Deputy Assistant DirectorKesh Narayanan

Senior Advisor forNanotechnology

Mihail Roco

Senior Advisor forNanotechnology

Mihail Roco

5

Innovation ClusterCheryl Albus

Innovation ClusterCheryl Albus

Grant Opportunitiesfor AcademicLiaison with

IndustryDonald Senich

Grant Opportunitiesfor AcademicLiaison with

IndustryDonald Senich

Small Business PartnershipsJoe Hennessey

Small Business PartnershipsJoe Hennessey

Division DirectorDonald Senich (Act)

Division DirectorDonald Senich (Act)

AAAS Fellow Reeshemah

Burrell

AAAS Fellow Reeshemah

Burrell

Academic PartnershipsDonald Senich

Academic PartnershipsDonald Senich

Einstein FellowRobert Pauley

Mark Supal

Einstein FellowRobert Pauley

Mark Supal

Operations Specialist

Greg Misiorek

Operations Specialist

Greg Misiorek

ProgramSupport Manager

Amanda May

ProgramSupport Manager

Amanda MayIndustry/University

CooperativeResearch CentersRathindra DasGupta

Larry Hornak

Industry/UniversityCooperative

Research CentersRathindra DasGupta

Larry Hornak

Partnerships for Innovation (PFI)

Sara Nerlove

Partnerships for Innovation (PFI)

Sara Nerlove

Accelerating Innovation Research (AIR) Karlene Hoo

Accelerating Innovation Research (AIR) Karlene Hoo

Industrial Innovation and Partnerships

I-CorpE. Arkilic, R. DasGupta,

R. Voyles (CISE)

I-CorpE. Arkilic, R. DasGupta,

R. Voyles (CISE)

Nanotechnology, Advanced Material & Manufacturing

(NM) Ben Schrag, Grace Wang

Nanotechnology, Advanced Material & Manufacturing

(NM) Ben Schrag, Grace Wang

Biological and Chemical Technology (BC)

Prakash Balan, Greg Baxter, Ruth Shuman, Tony

Walters

Biological and Chemical Technology (BC)

Prakash Balan, Greg Baxter, Ruth Shuman, Tony

Walters

Electronics, Information & Communication Technology

(EI)Errol Arkilic, Juan Figueroa,

Murali Nair

Electronics, Information & Communication Technology

(EI)Errol Arkilic, Juan Figueroa,

Murali Nair

Education Applications (EA)Glenn Larsen

Education Applications (EA)Glenn Larsen

Experts/Special TopicsJames Rudd, George

Vermont

Experts/Special TopicsJames Rudd, George

Vermont

AnalystsAlex Schwarzkopf,

Kevin Simmons

AnalystsAlex Schwarzkopf,

Kevin Simmons

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

I/UCRC: Mission and Vision

Mission:• To contribute to the nation’s research infrastructure base by

developing long-term partnerships among industry, academe and government

• To leverage NSF funds with industry to support graduate students performing industrially relevant research

Vision:• To expand the innovation capacity of our nation’s competitive

workforce through partnerships between industries and universities

I/UCRC Bedrock: Trusted, long-term relationships between industry and academia based on shared value

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

Industry/University Cooperative Research Centers: National Scope, Impact

61 Centers168 I/UCRC Sites

Plus Participating International Sites

ENG CISE

Over 760 Member Organizations (2010)

Academic-Industry partnerships meeting industry sector research needs

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

8

Active I/UCRCs and Sites by Year

52 45 45 44 42 39 34 34 37 4256 61

83 8777

95 96 99

75 8297

116

157168

0

20

40

60

80

100

120

140

160

18001 02 03 04 05 06 07 08 09 10 11 12

Centers Sites

INCREASE IN CENTERS AND SITES 45 ENG16 CISE

* Computer and Information Science and Engineering

Over 760 Members (2010 Survey)

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

ENG Multi-University Centers 1. Advanced Forestry2. Advanced Packaging and Processing (III)3. Bio Energy R & D4. Composites Infrastructure5. Ceramics Composites Optical Materials

Center 6. Computational Materials Design7. Design of Analog Digital Integrated

Circuits (III)8. Dielectrics9. Electromagnetic Compatibility10. Energy Harvesting11. Friction Stir Processing12. Fuel Cells13. Grid-Connected Adv Power Elec14. Health Org. & Transformation15. Integrative Joining of Materials for

Energy Applications16. Laser and Plasma for Adv. Mfg.17. Logistics and Distribution18. Membrane Science, Engineering &

Technology19. Minimally Invasive Diagnostics20. Next Generation Photovoltaics21. Particulate and Surfactants22. Pharmaceutical Development

Industry/University Cooperative Research CentersENG Multi -University Centers23. Plug-In Hybrid Electric Vehicles 24. Precision Forming25. Power Systems Engineering Research Center (III)26. Resource Recovery & Recycling27. Sensors and Actuators (III)28. Smart Vehicles Concepts29. Silicon Solar30. Advanced Space Technologies 31. Connection One32. Water and Environmental Technology33. Water and Equipment Policy34. Wood Based Composites35. Metamaterials36. Biophotonics Sensors and Systems37. Advanced Non-Ferrous Structural Alloys38. Energy Efficient Systems39. Child Injury Studies

ENG Single-University Centers40. Agricultural, Biomedical, and Pharmaceutical

Nanotechnology41. Advanced Cutting Tools42. Advanced Vehicle Electronics (III)43. Biomolecular Interaction44. Electronic Micro-Cooling 45. Non-Destructive Evaluation (III)45 ACTIVE ENG CENTERS

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

Industry/University Cooperative Research Centers

CISE Multi-University Centers1. Advanced Knowledge Enablement2. Autonomic Computing3. Dynamic Data Analysis4. e-Design5. Embedded Systems6. Experimental Computer Systems7. Hybrid Multicore Productivity8. Identification Technology9. Intelligent Maintenance10. Intelligent Storage11. Net-Centrics Systems12. Reconfigurable Computers13. Search & Rescue Robots14 Security and Software Engineering Research Center15. Surveillance Theory16. Wireless Internet

16 ACTIVE COMPUTER AND INFORMATION SCIENCE AND ENGINEERING (CISE) CENTERS

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

The NSF’s Role in I/UCRCsFacilitate a Center environment in which long-term relationships between industry and academia can thrive.• Cooperative Agreement & Operational Framework• Franchise of centers for collaboration• Best practices based on decades of evaluation• Funding Opportunities available to I/UCRCs

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

The I/UCRC Model• IUCRC model moves beyond one-on-one contracts &

decision making

One-on-one

contracts

IUCRC:- collective

decision-making

- collective ownership

Shared portfolio

Industrial Affiliates: - one-on-one

decision-making

- collective ownership

Disadvantages of Affiliates Model: - sub-critical mass

projects

- no sense of community

- value << sum of projects

Advantages of the IUCRC Model: - Conversation validates

shared community needs

- Portfolio shaped, direction aligned with member needs

- Value across the portfolio Value >> sum of projectsMuch more than collective ownership: Collective Value

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

I/UCRC Nucleus: A Cooperatively Defined, Funded & Shared Research Portfolio

Industry Industry Advisory Board

Center, Sites

Universities

Pooled Member $’s

OH investment

Shared Project

Portfolio• Cooperatively

defined, selected

• Governed by NSF I/UCRC Agreement

Addresses precompetitive needs shared by IAB

Leverages & builds university strengths

Value derived from portfolio

Projects

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

What value does an I/UCRC offer?• Industry driven research projects • Investment leveraging via

cooperative• Networking with industry peers

and customers• Access to intellectual property• Pre-publication access to research• World class researchers &

facilities• Access to students

• New research and education program dimensions

• Leveraging of POC results from IUCRC projects

• Trusted relationships with industry• Ready partners for translation of discoveries• Student recruitment, retention and

placement • Means to achieve institutional mission and

meet constituency expectations.

Outcomes from a cooperatively defined and managed, shared portfolio of precompetitive research.

Center Faculty Research

IAB Research Needs

I/UCRC Research

Valu

e t

o I

AB

Acad

em

ic

Valu

e

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

I/UCRC Evaluation & Assessment 30+ year commitment to integrating evaluation with program planning,

implementation and operation . Local Evaluation – Global Assessment

Plus publication in open literature: > 80 publications in journals, national & international conferences: Research Policy; AAAS; Journal of Technology Transfer; Sc. Public Policy; New Directions in Evaluation

TARGETED ASSESSMENTS AND RELATED WORK PRODUCTS

0

20

40

60

80

100

Sustained Not Sustained Operating Not Operating

Post Graduation Status Current Status

IUCRC GRADUATION STATUS

0

10

20

30

40

50

60

70

80

Invention Disclosures

Patent Applications

Patents Granted

Software Copyrights

Licensing Agreements

Royalties Realized

01

02

03

04

05

06

07

08

09

10

CENTER LIFE CYCLE*

-100

-80

-60

-40

-20

0

20

40

60

80

80 82 84 86 88 90 92 94 96 98 00 02 04 06 08 10

0

10

20

30

40

50

60

70

80

90

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

UNIVERSITY

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

OTHER INDUSTRY

INDUST. MEM. FEES

OTHER NSF

IUCRC

IP EVENTS FUNDING SOURCES

CENTER INPUTS AND OUTPUTS ASSESSMENTS

Breakthrough Compendium

Gray & Walters Director’s Guide

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

2011 FY 2009-2010 NSF-I/UCRC Center Structure Database

16

Building Innovation Capacity

0

10

20

30

40

50

60

70

80

90

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

UNIVERSITY

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

OTHER INDUSTRY

INDUST. MEM. FEES

OTHER NSF

$ Millions

IUCRC Program

Spurred Approx $100M in Member Internal R&D (07-08)

TOTAL FUNDING BY SOURCE BY YEAR IN DOLLARS

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

Aggregate Cases: 3 Centers • Realized impacts total nearly $1.27B, with a net present value

of $1.25B. • Each dollar invested by NSF-I/UCRC generated an estimated

64.7 dollars in impacts.

May 2011 IUCRC Evaluation Team (D. Gray, et al.)

PHASE II Center Study

IUCRC investments & Impacts TOTAL IMS BSAC IUCS

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

IMS: Intelligent Maintenance SystemsBSAC: Berkeley Sensors and Actuators CenterIUCS: Industry-University Center for Surfactants

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

Accelerating Innovation Research(NSF 10-608)Option 2 Goals

• The Research Alliance [Option 2] competition - a collaborative effort between an NSF-funded innovation research alliance (including consortia such as ERC, I/UCRC, PFI, STC, NSEC, MRSEC grantees) and at least one partner entity to form a synergistic relationship that will accelerate the innovation of a product, a process or system.

• The ideal partnership would be one that ultimately leverages the collaborative relationship developed under the grant to strengthen the innovation ecosystem. (how the partnership will enable innovation that neither party could do as well or rapidly alone)

• The collaboration would link multiple entities such that research results are more rapidly moved into marketable products through the creation of new start-up businesses or partnerships with existing businesses.

OUTCOME of 2010 Pilot:• Panels Held and Awards Announced: 7 Awards Made

– 4 I/UCRCs (one center recently formed from graduated STC)– 3 PFI Awardees

New Solicitation now posted!

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

NSF I/UCRC Funding OpportunitiesFacilitate a Center environment in which long-term relationships between industry and academia can thrive.• Fundamental Research Program – New RFP Posted

– Due February 1, 2012, Up to $200K for 2 years– Portfolio Expanding Project, defined and executed with IAB– Letter from IAB Chair, commitment to effort

• MIPR - Federal Gov Interagency Exchange of Funds• Supplementary Funding (Contact NSF)

– Research Experiences for Undergraduates (REU), Teachers (RET), and Veterans (REV)

– SBIR/STTR Phase II Grantee Membership– CORBI Projects – Between I/UCRC Centers (NSF matching!) – New Dear

Colleague Letter– International Collaboration/Projects

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

NSF Innovation-CorpsContent • A public-private partnership connecting NSF-funded scientific research

with the technological, entrepreneurial and business communities to help create a stronger national ecosystem for innovation that couples scientific discovery with technology development and societal needs.

• The NSF I-Corps program will identify NSF-funded researchers to receive additional support - in the form of mentoring and funding - to accelerate the translation of knowledge derived from fundamental research into emerging products and services that can attract subsequent third-party funding.

• I-Corps team: Entrepreneurial lead, I-Corps mentor, Principal Investigator• Desired Outcomes:

1) a clear go/no go decision regarding commercial viability of the effort;2) should the decision be to move the technology forward to market, a transition

plan to do so; and 3) a technology demonstration for potential partners.

SEE NSF WEBSITE FOR SOLICITATION AND INFORMATION

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

CABPN in Phase IEstablish CABPN’s I/UCRC Processes, Rhythm • Establish Effective, Consistent Center Operations

– Meetings, financials, cooperative portfolio selection, communications

– Member recruitment and retention– IAB Operation, Bylaws

• Implement a Strategic Research Roadmap• Build Project Lifecycle Processes that Maximize Value

– New proposal cultivation process consistent with strategic roadmap

– Project Meetings/Reporting that maximizes input, engagement at and between center meetings

– Project final reporting

• Hone Center’s Value Proposition

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

New Proposals

IAB Portfolio

Engagement

IAB Portfolio Engagement

New

Projects

Completed Projects

Industry Advisory

Board Needs

Refined

Projects

Initial Results

Center Site Strengths

ReviewDiscussAdaptL.I.F.E.

Biannual IAB Meeting

Biannual IAB Meeting

L.I.F.EReviewDiscuss

AdaptSelect

The co-operative

process rapidly aligns the

Shared Portfolio with

Member Needs and University

strengths

The IUCRC Shared Portfolio Cycle

Cultivation Process

Research Roadmap

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

I/UCRC Process: Maximizing ValueEvaluation, IAB engagement & center operation grounded in good project management principles can yield value >> membership fee

Inau

gura

l Pro

ject

Set

Project 1

Example LIFE Results(# of Members Very Interested or Interested / Interested with Change )

2Project 2

Project 3

Project 4

Project 5

Spring Mtg(Awarded)

1

1/2

1

1/1

Inco

rpor

ate

Com

men

ts, A

dapt

pr

ojec

ts, W

ork

with

IAB,

Men

tors

Fall Mtg(Progress)

2/1

1

3

2/1

2

Spring Mtg(Final Rpt)

Inco

rpor

ate

Com

men

ts, A

dapt

pr

ojec

ts, W

ork

with

IAB,

Men

tors

4

2

4

3

22nd

Sel

ecte

d Pr

ojec

t Set

Inco

rpor

ate

Com

men

ts, A

dapt

pr

ojec

ts, W

ork

with

IAB,

Men

tors

Project 6

Project 7

Project 8

Project 9

3/1

2/2

3/2

4/1

Center Research Roadmap

Program wide, members are Very Interested or Interested in 40-50% of the projects in their Center

(Awarded)

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

I/UCRCs and ERCs: Complementary Programs

NSF Solicitation has RFP in

defined areas

Industry $University

Academic Configuration remains essentially constant

Research & Education Program follows proposed plan NSF $

FUNDING SOURCES

Industry signs on to research direction

Agreements vary across centers

Industry, Agency $

University

Academic sites, members may evolve in time

Cooperatively Defined, Sector

Relevant Research

NSF Solicitation

outlines partnership

requirements NSF $

Industry & Center shape research direction, plan

Uniform cooperative agreements in all centers

Nat

iona

l Sci

ence

Fou

ndat

ion

WH

ER

E D

ISC

OV

ER

IES

BE

GIN

25

Listed alphabetically by last name

Rathindra (Babu) DasGupta, I/UCRC Program Director - rdasgupt@nsf.gov

Larry Hornak, Program Director, lhornak@nsf.gov

Rita Rodriguez, CISE Program Director – rrodrigu@nsf.gov

Alex Schwarzkopf, Consultant – aschwarz@nsf.gov

Denise Hundley, Program Assistant, dhundley@nsf.gov

for more information: http://www.nsf.govand: http://www.nsf.gov/eng/iip/iucrc

Program phone: (703) 292-8383

Note: The best way to contact us is via e-mail. Many are on the road frequently

National Science Foundation I/UCRC Contacts