National Science Foundation WHERE DISCOVERIES BEGIN National Science Foundation WHERE DISCOVERIES BEGIN NSF 2013 Industry/University Cooperative Research Centers (I/UCRC) Annual Meeting Welcome to the Industry/University Cooperative Research Centers Rathindra (Babu) DasGupta & Larry Hornak, IIP/ENG Alex Schwarzkopf, Consultant Rita Rodriguez, CNS/CISE January 10, 2013
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NSF 2013 Industry/University Cooperative Research Centers
(I/UCRC) Annual Meeting
Welcome to the Industry/University Cooperative Research Centers
Rathindra (Babu) DasGupta & Larry Hornak, IIP/ENGAlex Schwarzkopf, Consultant
Program Update • I/UCRC Solicitation (NSF 12-516): No changes
• Fundamental Research Proposal Opportunity : NSF 11-570: No changes
• Collaborative Opportunity for Research Between I/UCRCs (CORBI); NSF 11-074: No changes
• SBIR Membership opportunity (NSF 09- 065): No changes
• New Dear Colleague Letter: Innovative Managing Director Model in I/UCRC ; NSF 13-016
• New ENG Innovation Solicitation: Partnerships for Innovations: Accelerating Innovation Research (AIR); NSF 12-571
• Innovation Corps Teams Solicitation (I-Corps): NSF 12-602
• Budget Impact
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Important Dates
• CORBI – by February 1, 2013
• I/UCRC SBIR membership – open FY 13
• Fundamental Research Program – February 6, 2013
• Innovative Managing Director Model in I/UCRC – February 3, 2013
• New Proposals including Center Renewals under NSF 12-516 for anticipated FY 13 start dates – March 5, 2013
• Annual reports (for continuing grants funded in FY 13) – expected by August 15, 2013
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SUCCESS STORIES
NSF Awards, Recognition, I/UCRC Impacts, International
Collaboration, REVs
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A Few I/UCRC Success Stories(Center Involvement)
• Accelerating Innovation Research (AIR) Awards; FY 2012: Biophotonics Sensors and Systems (CBSS); Boston University
Wireless Internet Center for Advanced Technology (WICAT); Polytechnic University of New York
Center for Advanced Knowledge Enablement (CAKE); Florida International University
• Innovation Corps Awards; FY 2012 Intelligent Maintenance Systems (IMS): University of Cincinnati
Center for e-Design: UMASS Amherst
Safety, Security and Rescue Research (SSR-RC): University of Minnesota
Energy Harvesting Materials and Systems (CEHMS): Virginia Tech
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A Few I/UCRC Success Stories(Center Involvement)
• Recognition for I/UCRCs and Site Directors: FY 2012 Rich Haber (CCOMC, Rutgers): presented at the “Science Means
Business” Congressional Event
Jyoti Mazumder (LPAM, UMICH): elected as the Member of the National Academy of Engineers; also received the 2012 Distinguished University Innovator award
I/UCRC site for Net-Centric Software and Systems (UNT) won the Metroplex Technology Business Council Titans University Level Award
Alan George (CHREC, UF): IEEE Fellow
Ponnisseril Somasundaran (CPaSS, Columbia): Padma ShriAward & Foreign Fellow of Royal Society of Canada
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A Few I/UCRC Success Stories(Center Involvement)
• I/UCRC Impacts: FY 2012
Spin-offs (3 centers; 1 ENG & 2 CISE)
Technology Transfers & Impacts
1 ENG center alone reported three technology transfer impacts/success stories
A member company of another ENG center currently implementing a process that could result in over $1M cost savings per year
1 CISE center alone reported cost savings (by having the center execute the projects rather than doing them in-house) by various member organizations
Many others…
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A Few I/UCRC Success Stories(Center Involvement)
• International Collaboration for I/UCRCs: FY 2012
University of Florida (Center for Particulates and Surfactants) & the Dharmsinh Desai University (DDU) through the Shah-Schulman Center for Surface Science and Nanotechnology (SSCSSN) of Gujarat, India
CChIPS with IBM in India – deploy a pilot road traffic injury prevention interventions study; co-funded by OISE
SUNY (CBERD) - exchange of knowledge and infrastructure in four continents; co-funded by OISE
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A Few I/UCRC Success Stories(Center Involvement)
• International Collaboration for I/UCRCs: FY 2012 (cont’d) Security and Software Engineering Research Centers (S2ERC)
hosted a booth at the 2012 International Conference on Software Engineering (ICSE) in Zurich, Switzerland in order to enhance and broaden the S2ERC identity among software engineering professionals
Net-Centric Software and Systems at UNT with the University of Pisa and the University of Siena; co-funded by OISE
GRAPES (University of Arkansas); EPRI, Eaton & City of North Little Rock Electric
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A Few I/UCRC Success Stories(Center Involvement)
• REVs Cliff Chen, BU (CBSS); currently working on a Masters of
Electrical Engineering; “ the REV program has played a large part in easing my transition back to academia.”
Joshua Gatlin, UARK (GRAPES); will complete BS in EE; “ I would strongly suggest this program to future veteran students in a science and technology field of study, and I am fully confident the next group at the U of A awarded the REV will be just as grateful for the opportunity as I am today.”
Gordon Grant, VT (CenTIRE); majoring in ME; “the ability to be in this real world problem solving position where your job is not on the line and you are able to seek assistance if needed is a great way to expand ones knowledge and solution solving process.”
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NSF Outreach Activities to Promote I/UCRC
• Presentations: Minerals, Metals, and Materials Society (TMS), American Coatings Conference, International Society of Coating Science and Technology
• Presentations: AFOSR, USDA & DOE; IBM and Northrop Grumman
• GUIRR webinar
• Presentation: EU-US workshop
• Atlantic Innovation Summit
• Shared success stories with CNBC
• Presentations to numerous foreign delegates visiting NSF
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EXISTING CENTERS & SITES
POTENTIAL CENTERS & SITES
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Active Centers and Sites By Year
45 45 44 42 39 34 34 37 4254 55 61
8777
95 96 99
75 8297
116
161 162178
0
20
40
60
80
100
120
140
160
180
200
02
03
04
05
06
07
08
09
10
11
12
13
Centers Sites
43 ENG (124 Sites) & 18 CISE (54 Sites)Notice the increase from 2010 to 2011?
Typical multi-university center has ~ 3 sites
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January, 2013
Single & Multi-Site Centers
16
3533
37 38 39
4745 46 47
39
31
36
2730 29
19 19 1815 14
12 1210 9
6 5 41 2 2
4 4 4 4 5 58
1519 19
25
2023
26 26 26 2725
22 22
27
33
4850
57
0
25
50
75
85
88
90
92
94
96
98
00
02
04
06
08
10
12
SINGLE-SITE MULTI-SITE
Increase in Multi-University Centers
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Center Life Cycle
-120
-100
-80
-60
-40
-20
0
20
40
60
808
0
82
84
86
88
90
92
94
96
98
00
02
04
06
08
10
12
Active Centers Phased Out Centers
Total of 155 Centers have been launched over the life of the IUCRC Program
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Processing1. Berkeley Sensor & Actuator Center2. Center for Advanced Vehicle and Extreme
Environment Electronics 3. Center for Design of Analog Digital
Integrated Circuits4. Center for Electromagnetic Compatibility5. Cooling Technologies Research Center
Industry/University Cooperative Research Centers
Advanced Manufacturing1. Center for Friction Stir Processing 2. Center for Particulate and Surfactant Systems3. Laser and Plasma for Advanced
Manufacturing4. Membrane Science, Engineering and
Technology Center 5. Intelligent Maintenance Systems6. Smart Vehicles Concepts
Biotechnology, Health & Safety1. Center for Agricultural, Biomedical, and
Pharmaceutical Nanotechnology2. Center for Biophotonic Sensors and Systems3. Center for Pharmaceutical Development4. Bio Energy Research and Development 5. Center for Health Organization Transformation 6. Child Injury Prevention Studies
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Civil Infrastructure Systems1. Center for Electric Vehicles - Transportation and
Electricity Convergence2. Center for the Integration of Composites into
Infrastructure3. Grid-Connected Advanced Power Electronic
Industry/University Cooperative Research CentersEnergy & Environment
1. Center for Advanced Forestry Systems2. Center for Fuel Cells (CFC)3. Center for Resource Recovery and
Recycling4. Energy-Efficient Electronic Systems Center5. Next Generation Photovoltaics6. Power Systems Engineering Research
Center 7. Silicon Solar Consortium8. Water and Environmental Technology 9. Water Equipment & Policy10. Sustainably Integrated Buildings & Sites
Advanced Materials1. Advanced Processing and Packaging
Studies2. Center for Advanced Non-Ferrous
Structural Alloys3. Center for Energy Harvesting Materials and
Systems 4. Center for Integrative Materials Joining
Science for Energy Applications5. Center for Metamaterials6. Computational Materials Design7. Center for Nondestructive Evaluation8. Ceramics, Composites and Optical
Materials Center 9. Wood-Based Composites Center10. Tire Research
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System Design & Simulation
1. Advanced Space Technologies Research & Engineering Center
2. Center for e-Design 3. Center for Excellence in Logistics and
Information, Communication & Computing 1. Advanced Knowledge Enablement2. Cloud & Autonomic Computing 3. Center for Identification Technology Research4. Center for Research in Intelligent Storage5. Center for Surveillance Research6. Center on Optical Wireless 7. Embedded Systems8. Experimental Research in Computer Systems9. Hybrid Multicore Productivity Research10. Net-Centrics System and Software11. Center for High-Performance Reconfigurable
Computing 12. Safety, Security, Rescue Research13. Visual and Decision Informatics14. Wireless Internet Center for Advanced
Technology 15. Security & Software Engineering Research
Center16. Dynamic Data Analysis17. Unmanned Aircraft Systems
• Iowa State University & the University of Kentucky
• Dielectrics and Piezoelectrics (CDP)
• North Carolina State University & Penn State University
• Freeform Optics (CeFO)
• University of Rochester, Penn State & UNCC
• Geothermal Energy Resources (CGER)
• University of California at Davis & the University of Nevada, Reno
• Wind Energy, Science, Technology and Research (WindSTAR)
• UMASS Lowell, UT-Dallas, Iowa State University & TAMU
26Potential for 5 New ENG Centers
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Planning Grants Awarded (FY’12)
• Wheat Genetics (WGRC)
• Kansas State University & the Oklahoma State University
• Novel High Voltage Transmission Materials and Structures (HV/TMS)
• University of Denver, Michigan Tech & University of Illinois
• Integrated Design for Reliability for Electronics (iDRE)
• University of California, Riverside & Vanderbilt University
• Next Generation Electronic System Design (NGESD)
• Carnegie Mellon University & the University of Pittsburgh
27Potential for 4 New ENG Centers
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Planning Grant & Full Center Proposals (FY’13)
• 11 Planning Grant proposals in ENG (New Centers)
• 6 Planning Grant proposals seeking to join existing ENG centers
• 1 Full Center Proposal in ENG (New Center)
• 4 Full Center Proposals in CISE (New Centers)
• 1 Planning Grant proposal in CISE (New Center)
• 3 Planning Grant proposals seeking to join existing CISE centers
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NSF FUNDING TOTAL FUNDING BY SOURCE INDUSTRIAL MEMBERSHIP
MEMBER COMPOSITION
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NSF Budget by Year
Millions
1.3
1.5
1.5 2
3 3
2.9 3 3.1 3.6 3.9 4.2
4.2
4.2
4.2
4.2
4.2
4.2
4.2 5
4.6 5.1
5.2
5.2 6 6 6 6 6
9.8
7.7 8
.8
8.6
0.5 0.82.1 2.2
2.3
4
4 4.5
1 0.8
0.92
1.71.8
2.2
3.3
0
2
4
6
8
10
12
14
16
18
'80
'82
'84
'86
'88
'90
'92
'94
'96
'98
'00
'02
'04
'06
'08
'10
'12
Supplemental Funding
CISE
IUCRC
Other Programs co-fund too!
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Average NSF IUCRC Funding per Center
$0
$50,000
$100,000
$150,000
$200,000
$250,000
$300,000
90
92
94
96
98
00
02
04
06
08
10
12
Average I/UCRC Funding Rebounding; May Reflect Younger Cohort of Centers
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Total Funding by Source in Dollars
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
Mill
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s
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Total Funding by Source by Year in Percentages
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
80
82
84
87
89
91
93
95
97
99
01
03
05
07
09
11
UNIVERSITY
OTHER (FED., NON-
FED., & OTHER $)
STATE
OTHER IND.
IND. MEM. FEES
OTHER NSF
IUCRC
5.10%
33.03%
2.17%
4.43%
31.61%
10.28%
13.38%
Continuing Federal Funding as Vital to I/UCRCs as Industry Membership Fees
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Industrial Memberships by YearTotal Number of
MembershipsAverage Number of
Memberships per Center
0
200
400
600
800
1000
120085
88
90
92
94
96
98
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02
04
06
08
10
12
0
5
10
15
20
25
85
88
90
92
94
96
98
00
02
04
06
08
10
12
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Member Composition
0%
10%
20%
30%
40%
50%
60%
70%
2005 2006 2007 2008 2009 2010 2011 2012
Large Small Fed State Others
Categories comprising Others include: non-profit, non-US gov’t, and other org.January, 2013
- Small beginning to stabilize/decline?
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Average Membership Turn Over
0
1
2
3
4
5
6
89
90
91
92
93
94
95
96
97
98
99
00
01
02
03
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05
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07
08
09
10
11
12
Mem
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Fiscal Year
Members Added this FY Members Left this FY
NEW CENTERS EXCLUDED
Loss rate: Small > Federal > Large > State > Other
Lines crossing = usually means recession!
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STUDENTS TRAINED IN I/UCRCsSTUDENTS HIRED BY CENTERS
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Total Students Working in Centers
0
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400
600
800
1000
12000
2
03
04
05
06
07
08
09
10
11
12
Stu
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Fiscal Year
Masters (2012 Mean = 11.58) PhD (2012 Mean = 20.27) BS (2012 Mean = 7.29)
High Human Capital Impact !
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Total Students Graduated from Centers
0
50
100
150
200
250
300
350
400
4500
2
03
04
05
06
07
08
09
10
11
12
Stu
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Fiscal Year
Masters (2012 Mean = 7.69) PhD (2012 Mean = 4.71 BS (2012 Mean = 6.38)
More MS than Ph.D!Assume they continue with Ph.D?
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Total Students Hired from Centers
0
20
40
60
80
100
120
1400
2
03
04
05
06
07
08
09
10
11
12
Stu
den
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Fiscal Year
Masters (2012 Mean = 2.36) PhD (2012 Mean = 2.13) BS (2012 Mean = 1.24)
Importance of MS vs. Ph.D to firms?
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MAJOR EVALUATION ACTIVITIES
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Recent Evaluation Work Products
Graduated Center Case Studies
IUCRC Economic Impacts
Dr. McGowen’s Sustainability StudyDirectors & Human Capital Report
CRCs and Technical Innovation
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GRADUATED I/UCRCs
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I/UCRC Sustainability
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Sustained Center Leveraging
Success of Graduated Centers Almost Doubles I/UCRC Impact?
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Predictive Results Summary
• Centers with more students hired by member firms are more likely to continue to operate on average
• Centers funded for longer periods by NSF, with fewer director turnovers, more members, and who graduate from NSF support during a time of economic growth are more likely to continue to operate over time
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MIPRs, CORBI, Fundamental Research Proposal, SBIR Membership in IUCRCs,
International Collaboration, REUs, RETs, REV/Ts
& Renewal Proposal Suggestions
APPENDIX
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MIPR and Interagency Funding
• Simply ask agencies to visito www.nsf.gov/eng/iip/iucrc/mipr.jsp for detail
• Means for recruiting federal government agencies as center members
• Handles problems for agencies to seek sole source justifications
• Agencies do not need to sign membership agreement
• Can be as simple as submitting a procurement document for agency
• NSF is authorized to deduct 6.31% (based on the total transaction) for administrative cost recovery.
Collaborative Opportunity for Research Between IUCRCs (CORBI): NSF 11-074
• Supplement:o for collaborative research projects between IUCRCs
o projects to have industrial significance
o projects to be endorsed with a portion of industry funds at Centers
o projects should provide the potential for transformative research
o IAB approval of the CORBI project is required
• Supplement Due Date: February 1, 2013 by 5:00 PM
• Project Duration: One or two years
• Limit on the Number of Supplements: None
• Eligibility: o meets membership requirements
o Has updated Center information on NSF website
• Award Information: o up to $100,000 for a two Center project with up to $50,000 per Center
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Fundamental Research Program for IUCRCs (NSF 11-570)
• Industry-defined fundamental research• Broadens the scientific and engineering understanding
• Industry participation helps drive innovation
• Proposals must discuss benefits for current industry members while charting a path for potentially new and emerging research directions
• Proposals must demonstrate measurable industry collaboration and involvement
• Centers must be in good standing
• No longer a supplement; one integrated proposal per Center (collaborative)
• Deadline: February 6, 2013 by 5 PM
• Award amounts• $50,000 to $200,000
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SBIR/IUCRC Memberships (NSF 09-065)
• Proposal window: None
• SBIR/STTRs can obtain a full I/UCRC membership
• NSF SBIR/STTRs can join multiple I/UCRCs Limit of 2 memberships per Phase II award
• Centers can accept multiple NSF SBIR/STTRs
• Endorsement letter from site director is required.
• SBIR/STTRs apply for a supplement when: They have an active NSF SBIR/STTR Phase II & IIB award
Companies may join an active or graduated I/UCRC (within 5 years of the supplement request) that remain committed to I/UCRC principles
• I/UCRCs apply for a supplement when: The I/UCRC has a current center award, AND
When the NSF SBIR/STTR Phase II & IIB is graduated (within 5 years of the supplement request).
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SBIR/IUCRC Memberships (cont’d)
• Supplements for one or two year memberships are considered
• Memberships: SBIR pays $5, 000 per year for centers membership at $50,000 or less,
or 10 percent of the I/UCRC membership fee for centers with
membership fees greater than $50,000 NSF funds the balance. NSF dollars cannot be used in computing
center membership fee certifications.
• For SBIR/STTR members (see search instructions within NSF 09-065).
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International Collaboration• Plan to interact with the foreign research site & description of the proposed research
project(s)
• Evidence that the international site will have the money for research;
• Description of the infrastructure that is in place to enable collaboration
• Formal (signed) agreement between the foreign and U.S.-based site that replicates the provisions for IP, copyrights, publication delays, and similar issues identified in the U.S.-based center membership agreement; and
• Letter from the Industry Advisory Board (IAB) that endorses the international collaboration and proposed research projects.
• Mutual benefits, true intellectual collaboration with the foreign partner(s), benefits to be realized from the expertise and specialized skills, facilities, sites and/or resources of the international counterpart, and active research engagement of U. S. students and early-career researchers, where such individuals are engaged in the research.
• The US research site may receive a $25,000 supplement annually for international collaborations; these funds are to be used for expenses related to the international collaboration including site director(s) and evaluator international travel, and support for research visits by U. S. students and junior researchers. No NSF funds are to be used by non U.S. participants
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ional
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ence
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ion
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IES
BE
GIN
Partnerships for Innovation: Accelerating Innovation Research (PFI: AIR) NSF 12-571
•Others: another research entity, small business consortia, local/regional innovation entity
•Third-party investment (1:1): 75% cash match
• AIM:–To create an innovation ecosystem–To translate and transfer research discoveries to commercial reality and spinoffs–To build new partnerships– To develop an entrepreneurial culture
• Award–$800k/24-months per grant –LOI required (Sept 12, 2012, Mar 13, 2013)–Full proposal (Nov 13, 2012, May 15, 2013)
Choice 1: AIR Technology Translation
• Single Investigator & Small Groups of Faculty– PI /co-PI (current or 4 years prior to due date of solicitation) NSF research awardee
• AIM–To complete the necessary research such as proof-of-concept, prototyping , scale-up, and/or feasibility tests –To move more research discoveries on the path to becoming new technologies – To create entrepreneurial small groups of faculty
• Award–$150k/18-months per grant
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INTELLECTUAL PROPERTY EVENTS
Nat
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Sci
ence
Fo
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IES
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GIN
Intellectual Property Events FY 02-12 Totals
0
10
20
30
40
50
60
70
80
02 03 04 05 06 07 08 09 10 11 12
Invention
Disclosures
Patent
Applications
Patents Granted
Software
Copyrights
Licensing
Agreements
Royalties
Realized
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IES
BE
GIN
Average Number of Intellectual Property Events 02-12
0
0.5
1
1.5
2
2.5
02 03 04 05 06 07 08 09 10 11 12
Invention
Disclosures
Patent
Applications
Patents
Granted
Software
Copyrights
Licensing
Agreements
Royalties
Realized
Nat
ional
Sci
ence
Fo
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dat
ion
WH
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DATA ON:FUNDING PER RESEARCHER# RESEARCHERS PER CENTER
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Sci
ence
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Average Number of Researchers per Center
FACULTY & POST DOC RESEARCHERS
15.38
1817.88
15.815.215.315.4
12.3913.57
12.28
15.5
13.7614.46
13.8
16.217.39
16.8717.6217.74
16.35
17.24
19.8919.92
0
10
209
0
92
94
96
98
00
02
04
06
08
10
12
Nat
ional
Sci
ence
Fo
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ion
WH
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IES
BE
GIN
Funding per Researcher Total
0
20000
40000
60000
80000
100000
120000
140000
160000
87
89
91
93
95
97
99
01
03
05
07
09
11
Total Dollars per Researcher
Nat
ional
Sci
ence
Fo
un
dat
ion
WH
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IES
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GIN
Center Renewals• Read and follow the Solicitation Requirements
• If you have one Center with one or more sites – submit a Collaborative Proposal
• If your Center is 4+ years old; provide its outcomeso Intellectual Merit in the context of your area’s research community
o Broader Impact as indicated by memberships, partnerships and translation of research results as well as student and programmatic impact
o The Center’s integration of research with education
• Functionally describe the center’s organization and operationo Site interaction and funds management, project voting process, project hit rates
o Effective use of LIFE process, evaluator surveys and reports, and membership certification
• Who may see and review the renewal proposal you submit?o Members of your research community