Creating an Innovation
Ecosystem
Thomas W. Peterson
AD, Engineering
A Strategy for
American Innovation
Directorate for Engineering
2
Innovation
There are numerous innovative
definitions of Innovation
 There are multiple elements in the
Innovation Process
 ENG Focus:
On NSF-funded research that has led to
direct, quantifiable economic benefit (a
product, process, practice, service,
social change)

Science of Science and
Innovation Policy (SciSIP)

UC Davis
How the DOE can accelerate the rate of progress in energy
innovation

UNC Greensboro
Assessing the Innovative performance of University Research Parks

U Georgia
Impact of programmatic university resource investments on
innovation

U Kansas
Contributions of foreign students to knowledge creation and
diffusion

Arizona State U
Innovation as characterized by public values contribution
Innovation Through
Translational Research
Translational Research
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Is interdisciplinary by nature
Involves a team
Relies on partnerships
Results in clear benefit to society
6
NSF Programs for
Translational Research
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Science and Technology Centers (STC)
Engineering Research Centers (ERC)
Nanoscale Science and Engineering Center (NSEC)
Materials Research Science and Engineering Centers
(MRSEC)
Grant Opportunities for Academic Liaison with Industry
(GOALI)
Industry/University Cooperative Research Centers (I/UCRC)
Partnerships for Innovation (PFI)
Small Business Technology Transfer (STTR)
Small Business Innovation Research (SBIR)
Nanoscale Interdisciplinary Research Teams (NIRT)
Emerging Frontiers of Research and Innovation (EFRI)
Other ENG programs
7
SBIR
I /UCRC
STTR
NSF overall
STC / NSEC / NIRT
ENG/ CISE overall
GOALI
ERC
PFI
Resources Invested
Filling Gaps
Industry
Investors
Translational
Research
Valley of
Death
Foundations
Small Business
University
Discovery
Development
Level of Development
Commercialization
8
Some concrete examples for
Nanoscale Science and Engineering
SBIR/STTR
 NSEC
 ERC
 I/UCRC
 STC
 GOALI
 NIRT, Single PI Awards

Disclaimer
NSF doesn’t claim SOLE responsibility for
these successes, but
 NSF played a clear and definable role in
the intellectual evolution of all these
innovations.

NSF SBIR/STTR Investment in
Nanotechnology (>20M in FY 2009)
EHS 9%
Nanomanufacturing
12%
Instrumentation
for Nano
6%
Nano Device
and Systems
22%
Nanomaterials
51%
Nanocomposite Foil for Bonding Reactive
Nanotechnologies, Inc
Copper
Heat Spreader
Indium Solder Layer
NanoFoil®
Indium Solder Layer
Silicon Die
Joining Configuration
NanoBond® Joining of
Electronic Components
› Enables direct solder
attach between silicon
and thermal management
components without
exposing them to reflow
temperatures
› High thermal conductivity:
4-8X improvement over
current commercial
solutions
› Lower residual stress
› Bond dissimilar materials
Nanocrystalline Diamond Coated Cutting Tools
Vista Engineering Inc.
Technical Objectives
Batch Process
Intrinsic Film Adhesion
Robust Process Parameters
Goals
Product to Market 2005
Venture Capital 2004 – 2005
Win in Growing Market $300M in 2010
Commercialization Strategy
High-end
High Productivity
Partner with Tool Manufacturer
Automotive Applications
SBIR Support of Qualcomm
In 1985, Andrew Viterbi and 6 colleagues formed
“QUALity COMMunications”
 In 1987–1988 SBIR provided $265,000 for single
chip implementation of Viterbi decoder
› Led to high-speed data transmission via wireless
and satellite
 Now the $78B company holds more than 10,100
U.S. patents, licensed to more than 165
companies

Engineering Research Centers
Nickel Aluminum Underlayer Enables
High-capacity Memory Storage

Carnegie Mellon
University Data Storage
Systems ERC 1990–2001
› Laptops
› MP3 players
› Consumer electronics
Science and Technology
Centers
Magnetic Resonance Imaging


STC for Magnetic
Resonance
Technology for Basic
Biological Research
at UIUC established in
1991
PI Paul Lauterbur
discovered the
possibility of creating
a two-dimensional
image by producing
variations in a
magnetic field
Lauterbur was awarded a
Nobel Prize in 2003 for
discoveries leading to
magnetic resonance
imaging.
Nanoscale Science and
Engineering Centers
Nanopatterning and
Detection Technologies
Chad Mirkin, Northwestern Univ.
 NSEC for Integrated
Nanopatterning and Detection
Technologies (0647560)
 Mirkin holds more than 350
patents
 NanoInk (founded in 2001) offers
Dip Pen Nanolithography (DPN)
tools for fabricating MEMS and
other nanoscale devices.
 Nanosphere (founded in 2000)
offers nanotechnology-based
molecular diagnostic testing.

Dip Pen Nanolithography
for nanofabrication. Credit:
NanoInk
Nanosphere is now
valued at $164.5M.
Grant Opportunities for Academic
Liaison with Industry
GOALI
GOALI: Nanocrystal Formation and
Morphology in Nonthermal Plasmas
Plasma Reactor
Uwe Kortshagen (Unvi. of Minnesota-Twin Cities) and
Michael Zachariah (Univ. of Maryland College Park) have
demonstrated the ability of plasmas to produce crystalline
nanoparticles with specific geometries and beneficial
properties.
 InnovaLight, Inc., licensed the approach to synthesize
silicon nanocrystals for the use in low-cost, efficient solar
cells based on silicon nanoparticle films.

Industrial impact of NSECs, NCN and NNIN
Institution
Number
start-ups
Industrial partnerships
Support from
other
organizations
Number
partners
Ind. Support
($ million)
Total support
($ million)
37
392
41.9
279.4
0
403
2.0
11.3
38
358
86.0
300.0
75
1,153
129.9
590.8
Totals NSEC
NCN
NNIN
NSECs +
2 Users
Networks
MC. Roco, 4/2/2009
NSF nanotechnology centers –
educational pipeline for industry
Institution
Graduate Students
Postdoctoral
Researchers
Total number
completed Number in Percent in
appointment
industry
industry
Total number of
graduates
Graduates in
industry
Percent in
industry
Totals NSEC
528
193
36.60%
270
99
36.70%
NCN
44
22
50.0%
20
0
0.0%
NNIN
2,600
2,080
80.0%
950
475
50.0%
NSECs +
2 Users
Networks
3,172
2,295
67.2%
1,240
574
44.6%
MC. Roco, 4/2/2009
NNI-Industry Consultative Boards for Advancing Nanotech
 NNI-Electronic Industry (SRC lead), 10/2003 Collaborative activities in key R&D areas ($30B nano-enabled)
5 working groups, Periodical joint actions and reports
NSF-SRC agreement for joint funding; other joint funding
 NNI-Chemical Industry (CCR lead)
Joint road map for nanomaterials R&D; Report in 2004
2 working groups, including on EHS
Use of NNI R&D results, and identify R&D opportunities
CCR

NNI – Organizations and business (IRI lead)
Joint activities in R&D technology management
2 working groups (nanotech in industry, EHS)
Exchange information, use NNI results, support new topics
 NNI – Forestry and paper products (AF&PA lead,
4/2007), 10/2004- Workshop / roadmap for R&D
Exchange information
MCR, 10/13/09
NSF-NRI Supplement Awards 2008-2010
NSF
Supp #
PI
0812873
James
Yardley
0812985
Mark
Lundstrom
0817574 Kathryn Moler
0812884
Robert
Westervelt
0812881 Ellen Williams
0813351
Harry Atwater
Institution
Center
Topic
NSEC
Novel Device Architectures Based on
Quantum Transport Phenomena in
Graphene
NCN
Experimental Realization of LowPower Transistors with Negative
Capacitors
Stanford U/
UTexas-Austin
NSEC
Ultra-Low Power Pseudospintronic
Switching in Bilayer Graphene at
Room Temperature
Harvard U
NSEC
Tunable Ultra-fast Conductance
Switching Through External Fields
U Maryland
MRSEC
Controlling the Electronic Properties
of Graphene
MRSEC
Graphene Atomic Switches for
Ultracompact Logic Devices and Nonvolatile Memory Elements
Columbia U
Purdue U
CalTech
Characteristics of the
Innovation Ecosystem
University research is key, often driven by
industrial needs.
 Faculty are involved along the
innovation continuum, working with
industry at all stages.
 A focus on translational research
smoothes the handoff of technology
from universities to industry—resulting in
rapid, efficient innovation.

NSF Resources for the
Innovation Ecosystem
Grow the existing portfolio and
strengthen the translational phase
 Extend the reach of industry-driven
research initiatives
 Educate to innovate
 Better understand the social dimensions
of innovation (SciSIP)
