1. Government Perspectives on University-Industry Engagement 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

2. 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

3. Research and Development Funding

4. 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

5. 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 The increase was driven by $7.94 billion increase in development.
Source: National Center for Science and Engineering Statistics (NCSES), Fiscal Year 2017

6. 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

7. 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

8. 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

9. 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

10. 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

11. Employment of Engineering Doctorate Recipients

12. 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

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

14. American Innovation and Competitiveness Act (AICA)

15. 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

16. 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.

17. 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.

18. 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

19. NSF Programs to Stimulate Industry-University Collaborations

20. Investing in Engineering Research and Education and Fostering Innovations for Benefit to Society
Images, clockwise from top left:
CMMI CAREER award Additive Manufacture of Copper Cellular Materials
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
IIP PFI:AIR award PFI-AIR: CASA Warning System Innovation Institute
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.
CBET award Bioenergy crops on marginal lands: Investigating strategies for remediation, stormwater management and nutrient load reduction
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
ECCS award Low-cost label-free whispering gallery mode electrospun optical biosensor for simultaneous detection of multiple biomolecules
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
IIP SBIR awards SBIR Phase II: Ultra-light, modular wind turbine and SBIR Phase I: Low-cost, High Performance Fabrics for Inflatable Structures
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
EEC ERC award 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
EFRI BioFlex award : Tissue Engineered Flexible Sensors, Actuators and Electronics for Chronic Wound Management
Tissue Engineered Flexible Electronics
The new devices, known collectively as flexible bioelectronics, are designed to deliver medicine and promote and monitor the healing process. More at
Image credits, clockwise from top left: NSF; NSF; Jessica Hochreiter/Arizona State University; Joe Cheeney, University of California-Riverside; Altaeros Energies; NSF; NSF.

21. 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

22. 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 $ K 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

23. 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 ( )
42:1 leveraging of each member’s funds

24. 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

25. 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 $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

26. 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

27. I-Corps Highlights Started in 2011 8 Nodes involving 27 universities
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

28. 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 $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

29. SBIR-STTR SBIR trial began at NSF in 1976
NSF Totals
FY 2014 – $ M
FY 2015 – $ M
FY 2016 – $ M
FY 2017 – $ 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

30. 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.

31. 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

32. Questions and Contact Barry W. Johnson, Ph.D. Division Director
Division of Industrial Innovation and Partnerships
Directorate for Engineering
National Science Foundation