Government Perspectives on University-Industry Engagement 2017 Corporate Engagement Bootcamp The State University of New York (SUNY) Barry W. Johnson, Ph.D. Division Director Division of Industrial Innovation and Partnerships National Science Foundation October 19, 2017

Presentation Outline Research and Development Funding Employment of Engineering Doctorate Recipients American Innovation and Competitiveness Act (AICA) NSF’s Merit Review Process I-Corps Translational Research Grants NSF Programs to Stimulate Industry-University Collaborations Grant Opportunities for Academic Liaison with Industry (GOALI) Program Industry University Cooperative Research Center (IUCRC) Program Partnerships for Innovation (PFI) Program Innovation Corps (I-Corps™) Program Small Business Innovation Research (SBIR) Program Small Business Technology Transfer (STTR) Program Questions and Discussions

Research and Development Funding

Industry and Federal Funding for Research and Development (R&D) FY 2015 Federal R&D Funding – $131.4 Billion Industry R&D Funding – $296.7 Billion Total R&D Funding – $428.1 Billion 5-year Increase/Decrease -- Industry – +33.9% -- Federal – -10.6% -- Total – +16.1% NOTE: Industry R&D Funding is that paid for by the company and performed in the U.S. Source: National Science Foundation, National Center for Science and Engineering Statistics, 2015

Federal Funding for Research and Development (R&D) FY 2017 Total Federal R&D Funding – $142.6 Billion Development – $72.8 Billion (51.1%) Basic Research – $34.3 Billion (24.1%) Applied Research – $35.4 Billion (24.8%) NOTE: Federal R&D funding increased from $131.4 billion in 2015 to $142.6 billion in 2017. The increase was driven by $7.94 billion increase in development. Source: National Center for Science and Engineering Statistics (NCSES), Fiscal Year 2017

Industry Funding for Research and Development (R&D) FY 2015 Total R&D – $296.7 Billion Development – $236.0 Billion Basic Research – $16.3 Billion Applied Research – $44.3 Billion NOTE: Breakout into Basic, Applied, and Development is Unavailable Prior to 2013. Source: National Center for Science and Engineering Statistics (NCSES), 2015

University Research and Development Funding (By Source) FY 2015 Total Funding – $65.0 Billion Federal Funding – $36.8 Billion Institution Funding – $15.0 Billion Business Funding – $3.9 Billion NOTE: “Institution” funding is a university’s own investment in research and development. Source: National Center for Science and Engineering Statistics (NCSES), Fiscal Year 2015

University Research and Development Funding (By Source) FY 2015 Total Funding – $65.0 Billion Federal Funding – $36.8 Billion Institution Funding – $15.0 Billion Business Funding – $3.9 Billion NOTE: Federal funding has decreased from 63.9% to 56.5%. Institution funding has increased from 17.9% to 23.5%. Source: National Center for Science and Engineering Statistics (NCSES), Fiscal Year 2015

Federal R&D Funding to Universities by Agency FY 2015 Total – $27.04 Billion NSF – $4.55 Billion DOD – $2.68 Billion HHS – $16.15 Billion NASA – $1.13 Billion USDA – $0.77 Billion DOE – $1.13 Billion Source: National Center for Science and Engineering Statistics (NCSES), Fiscal Year 2015

University Research Federal Funding Sources – FY2015 Source: National Science Foundation, National Center for Science and Engineering Statistics, Higher Education Research and Development Survey, Fiscal Year 2015

Employment of Engineering Doctorate Recipients

Doctorate Recipients in Engineering 2015 Data 42.7% of all doctoral recipients are U.S. citizens or permanent residents 58.2% of all doctoral recipients had definite job commitments at graduation. 47.9% of all definite job commitments were in the U.S. 14.4% of definite job commitments in U.S. were in academic institutions 72.1% of definite job commitments in U.S. were in industry Source: National Center for Science and Engineering Statistics (NCSES), Doctoral Survey, 2017

Tenure-Track Assistant Professors in Engineering Source: American Society for Engineering Education (ASEE)

American Innovation and Competitiveness Act (AICA)

American Innovation and Competitiveness Act (AICA) Signed into law in January 2017 Reaffirms NSF’s merit review process Authorizes NSF’s Innovation Corps (I-Corps™) Program Authorizes NSF’s translational research grants

AICA on NSF’s Merit Review Process Intellectual merit and broader impacts criteria are appropriate for evaluating proposals. Criteria should assure that the Foundation’s activities are in the national interest. Broader impacts review criterion shall include: (1) Increasing the economic competitiveness of the United States. (2) Advancing the health and welfare of the American public. (3) Supporting the national defense of the United States. (4) Enhancing partnerships between academia and industry in the United States. (5) Developing an American STEM workforce that is globally competitive through improved pre-kindergarten through grade 12 STEM education and teacher development, and improved undergraduate STEM education and instruction. (6) Improving public scientific literacy and engagement with science and technology in the United States. (7) Expanding participation of women and individuals form underrepresented groups in STEM.

AICA on NSF’s I-Corps™ I-Corps™ was established to foster a national innovation ecosystem. Encourages identification and exploration of commercial potential of NSF-funded research. Leads to the practical deployment of technologies, products, processes, and services. Improves the Nation’s competitiveness, promotes economic growth, and benefits society. Builds networks of entrepreneurs, educators, mentors, and institutions. Translates federally-funded research to a commercial stage more quickly and efficiently. Creates new jobs and companies. Helps solve societal problems. Provides taxpayers with a greater return on their investment in research. I-Corps™ has a strong record of success that should be replicated at all Federal science agencies. I-Corps™ should be further developed and expanded. I-Corps should invest in and support female entrepreneurs through mentorship, education, and training. Competitive grants shall be provided to help support: Prototype or proof-of-concept development. Local, regional, and national infrastructure for science and engineering entrepreneurship.

AICA on Translational Research Grants NSF shall award grants to promote the commercialization of federally funded research results. Identify NSF-funded research with the potential for accelerated commercialization. Support proof-of-concept and prototyping of technologies derived from NSF-funded research. Promote partnerships with the purpose of accelerating technology transfer. Develop multidisciplinary innovation ecosystems. Provide professional development, mentoring, and advice in entrepreneurship and technology and business development. NSF shall consider granting awards to the following organizations: Institutions of higher education Public or nonprofit technology transfer organizations Nonprofit organizations that partner with an institution of higher education Consortia of two or more of the above organizations

NSF Programs to Stimulate Industry-University Collaborations

Investing in Engineering Research and Education and Fostering Innovations for Benefit to Society Images, clockwise from top left: CMMI CAREER award 1254287 Additive Manufacture of Copper Cellular Materials http://www.nsf.gov/awardsearch/showAward?AWD_ID=1254287 Additive Manufacturing with Metal Christopher Williams of Virginia Tech is advancing 3-D printing--known among engineers as additive manufacturing--with copper, a widely used conductor in electronics. He is using a process called binder jetting in which an inkjet printer selectively jets glue into a bed of copper powder, layer-by-layer. The printed copper product is then taken to a furnace to fuse the particles together. The goal is to create an additive manufacturing process for copper that would be practical for widespread use in electronics, communications, etc. More at http://www.nsf.gov/news/special_reports/science_nation/additivemanufacturing.jsp IIP PFI:AIR award 1237767 PFI-AIR: CASA Warning System Innovation Institute http://www.nsf.gov/awardsearch/showAward?AWD_ID=1237767 Tornado Radars in Texas Radar systems designed by the CASA ERC were deployed in Texas through partnerships funded by the PFI:AIR program. A new generation of smaller, highly capable radar systems in the Dallas/Fort Worth area is able to track with more accuracy the location of tornadoes and other severe weather conditions, such as heavy rain and ice storms, compared to other systems. These new systems are spaced much closer together than current radar sensors, which are typically 100 to 200 miles apart. The closer proximity is part of the reason the new systems can catch a tornado that could be missed by current radar. http://www.nsf.gov/news/special_reports/science_nation/casa.jsp CBET award 1254559 Bioenergy crops on marginal lands: Investigating strategies for remediation, stormwater management and nutrient load reduction http://www.nsf.gov/awardsearch/showAward?AWD_ID=1254559 Bioenergy Crops on Marginal Land ASU’s Amy Landis led research to study the feasibility of restoring soils degraded by industrial wastes and other pollutants to growing bioenergy crops. In additional research, she examined the potential environmental benefits and drawbacks of expanding biofuel production. They were able to use other forms of nonhazardous industrial waste materials to neutralize the acidity of soil at polluted sites, particularly abandoned mining lands. The method restored fertility to a level that allowed many of the plants, from which biofuels are derived, to grow. As a result, biofuels agriculture could become a significant contributor to soil remediation, land reclamation and natural storm water management that fertile, absorbent ground can provide. More at http://www.nsf.gov/discoveries/disc_summ.jsp?cntn_id=132790 ECCS award 1406795 Low-cost label-free whispering gallery mode electrospun optical biosensor for simultaneous detection of multiple biomolecules http://www.nsf.gov/awardsearch/showAward?AWD_ID=1406795 Electrospun Optical Biosensors NSF-funded researchers led by Elaine Haberer at UC-Riverside are creating a new biosensor that uses laser light, engineered viruses and advanced manufacturing techniques to more accurately detect the smallest amounts possible of biological molecules--in our food, in our water and even in our own blood. Shown here is a cross-sectional view of a circular optical cavity or resonator showing whispering gallery modes total internally reflected along the surface of a fiber. More at http://www.nsf.gov/discoveries/disc_summ.jsp?org=ENG&cntn_id=135478 IIP SBIR awards 1430989 SBIR Phase II: Ultra-light, modular wind turbine and 1248528 SBIR Phase I: Low-cost, High Performance Fabrics for Inflatable Structures http://www.nsf.gov/awardsearch/showAward?AWD_ID=1430989 Floating Wind Turbine The balloon can lift a wind turbine, along with communication, Internet and sensory equipment. The Altaeros BAT can reach 2,000 feet, or 600 meters, where it can generate more than twice the energy of a similarly rated tower-mounted turbine. More at http://www.nsf.gov/discoveries/disc_summ.jsp?cntn_id=134023 http://www.nsf.gov/awardsearch/showAward?AWD_ID=0812072 EEC ERC award 0812072 NSF Engineering Research Center for Integrated Access Networks (CIAN) Holograms At the CIAN ERC, the vision is to create transformative technologies for optical access networks that can transmit huge amounts of data to a broad population anywhere, at any time. Transmitting a video rate hologram takes an enormous amount of bandwidth and power. The ERC is investigating new technologies to capture, transmit, and display information in 3-D for entertainment, communications, military, and healthcare applications. More at http://www.nsf.gov/news/special_reports/science_nation/nextgenhologram.jsp EFRI BioFlex award 1240443: Tissue Engineered Flexible Sensors, Actuators and Electronics for Chronic Wound Management Tissue Engineered Flexible Electronics http://www.nsf.gov/awardsearch/showAward?AWD_ID=1240443 The new devices, known collectively as flexible bioelectronics, are designed to deliver medicine and promote and monitor the healing process. More at https://www.nsf.gov/news/special_reports/science_nation/flexiblesensors.jsp Image credits, clockwise from top left: NSF; NSF; Jessica Hochreiter/Arizona State University; Joe Cheeney, University of California-Riverside; Altaeros Energies; NSF; NSF.

Directorate for Engineering – Programs Fundamental Research Translational Research CBET Chemical Process Systems Engineering Biology and Health Environmental Engineering and Sustainability Transport Phenomena EFMA Emerging Frontiers in Research and Innovation (EFRI) Multi-disciplinary education programs Research facilities EEC Centers and Networks Engineering Education Broadening Participation in Engineering Engineering Workforce Development IIP Industry University Partnerships Small Business Innovation Research Small Business Technology Transfer Entrepreneurial Training CMMI Advanced Manufacturing Mechanics and Engineering Materials Resilient and Sustainable Infrastructure Operations, Design, and Dynamic Systems ECCS Electronics, Photonics, and Magnetic Devices Communications, Circuits, and Sensing Systems Energy, Power, Control, and Networks

GOALI Pilot program created in 1993 Program established in ENG in 1994 NSF Totals FY 2014 – $26.44 M FY 2015 – $18.78 M FY 2016 – $19.78 M FY 2017 – $20.00 M (Estimate) Pilot program created in 1993 Program established in ENG in 1994 Program expanded to all of NSF in 1996 Approximately 80 grants funded each year Typical grant is 3-5 years and $100-150K per year Focuses on basic research with one or more features: Collaborative industry-university research University faculty/students in an industrial research environment Industry researchers in a university research environment Requires an industrial partner (industry co-PI) INTERN – graduate student internship program (started in FY2017) 22

IUCRC Focused on developing long-term partnerships 76 Active Centers NSF Totals FY 2014 – $19.41 M FY 2015 – $20.00 M FY 2016 – $20.50 M FY 2017 – $20.50 M (Estimate) Focused on developing long-term partnerships Between industry, university, and government Cooperatively defined and shared pre-competitive research 76 Active Centers 211 research sites 37 states with at least one IUCRC site 6 international sites 876 unique members (some members belong to multiple centers) 1,586 center-trained students hired by members (2006-2015) 42:1 leveraging of each member’s funds

Active IUCRC Technology Areas Advanced Electronics and Photonics Advanced Manufacturing Advanced Materials Biotechnology Civil Infrastructure Systems Energy and Environment Health and Safety Information Communication & Computing System Design and Simulation

PFI:BIC Established in 2000. PFI Totals (BIC+AIR) FY 2014 – $20.48 M FY 2015 – $21.50 M FY 2016 – $21.50 M FY 2017 -- $22.00 M (Estimate) Established in 2000. Develops technological and human innovation capacity through university-industry partnerships. Requires an industry partner. Grants are up to $1 million over 3 years. Focused on smart service systems since 2013: Technologies with the potential for transformational change in existing services systems, or to spur entirely new service systems. Understand the interaction of technology with customers. 25

Innovation Corps (I-Corps) NSF Totals FY 2014 – $20.48 M FY 2015 – $26.23 M FY 2016 – $29.74 M FY 2017 – $30.00 M Designed to foster entrepreneurship that will lead to the commercialization of NSF-funded research Uses customer discovery and business model development to validate commercialization opportunities Successful I-Corps projects will be prepared for business formation Distinct components of I-Corps program Teams – Technical Lead (TL), Entrepreneurial Lead (EL), Mentor (M) Nodes – Hubs for education, infrastructure, and research that engage academic scientists and engineers in innovation Sites – Academic institutions that catalyze the engagement of local teams in technology transition and strengthen local innovation

I-Corps Highlights Started in 2011 8 Nodes involving 27 universities I-Corps@NIH I-Corps@DoD Started in 2011 8 Nodes involving 27 universities 86 Sites 1047 NSF-funded Teams since 2013 361 startups created 9 MOUs with other Federal Agencies Now Congressionally legislated through the American Innovation and Competitiveness Act (AICA) Lab-Corps

PFI:AIR Established in 2010 PFI Totals (BIC+AIR) FY 2014 – $20.48 M FY 2015 – $21.50 M FY 2016 – $21.50 M FY 2017 -- $22.00 M Established in 2010 Fulfills translational research grants required in AICA Lineage required to NSF-funded projects Basic research programs I-Corps™ PFI:AIR-TT – $200K for up to 18 months Technology Translation (TT) Focused on faculty researchers to extend discoveries towards commercial application Prototype development Demonstration experiment PFI:AIR-RA – $800K for up to 3 years Research Alliance (RA) Leverages center investments to translate technologies and form a sustainable innovation ecosystem Requires an industrial partner Revaluating – did not run a competition in FY 2016 28

SBIR-STTR SBIR trial began at NSF in 1976 NSF Totals FY 2014 – $159.99 M FY 2015 – $177.11 M FY 2016 – $188.56 M FY 2017 – $198.34 M (Estimate) SBIR trial began at NSF in 1976 SBIR programs added to other federal agencies in 1982 11 federal agencies have SBIR programs FY 2016 budget was 3.0% of agency’s extramural research and development budget FY 2017 budget is 3.2% of agency’s extramural research and development budget STTR added in 1992 5 federal agencies have STTR programs FY 2016 budget was 0.45% of agency’s extramural research and development budget FY 2017 budget is 0.45% of agency’s extramural research and development budget 29

SBIR-STTR Congressional Goals SBIR and STTR Goals: Stimulate technological innovation. Increase private-sector commercialization of innovations derived from Federal research and development funding. Additional SBIR Goals: Meet federal research and development needs. Foster and encourage participation in innovation and entrepreneurship by socially and economically disadvantaged persons. Additional STTR Goal: Foster technology transfer through cooperative R&D between small businesses and research institutions.

NSF SBIR-STTR Model Recent Highlights 85% of awards to companies with fewer than 5 employees 72% were founded since 2014 91% had no prior Phase II awards from any agency 54% were first-time applicants 62% of all Phase I awards were to first-time applicants Phase IIB Third-Party Investment Plus 1:2 NSF Match (up to $500,000) SBIR-STTR Federal and Private Investments Phase I Feasibility Research 6-12 Months $225,000 Phase II Research Towards Prototype 24 Months $750,000 Phase III Product Development to Commercial Market Federal SBIR-STTR Program Investments Non-SBIR-STTR Federal or Private Investments

Questions and Contact Barry W. Johnson, Ph.D. Division Director Division of Industrial Innovation and Partnerships Directorate for Engineering National Science Foundation Email: bwjohnso@nsf.gov