This document summarizes several National Science Foundation programs that support public-private partnerships and innovation. It discusses programs like the Science and Technology Centers, Engineering Research Centers, Industry-University Cooperative Research Centers, Small Business Innovation Research, and the Innovation Corps that provide funding and resources for translational research and moving ideas from universities to industry. The Innovation Corps in particular aims to commercialize federally-funded research and has supported over 800 teams, leading to hundreds of new companies and millions raised in funding.

1. Thomas W. Peterson
Provost and Executive Vice Chancellor
University of California, Merced
Stimulating Innovation in Academia:
The Role of
Public-Private Partnerships

2. Acknowledgements
• Critical support and information from
– Steven Konsek, National Science Foundation
Program Director, Industrial Innovation and Partnerships
SBIR/STTR and Innovation Corps Teams
– Lydia McClure, National Science Foundation
Program Director, Industrial Innovation and Partnerships
Innovation Corps Teams, Nodes and Sites
• The presenter (Thomas Peterson) does NOT represent the
National Science Foundation
2

3. US Trade Balance in Advanced Technology
Includes
• Advanced materials
• Aerospace
• Biotechnology and life sciences
• Electronics, optoelectonics
• Flexible manufacturing
• IT and Communications
• Nuclear Energy
• Weapons
https://www.census.gov/foreign-trade/balance/c0007.html#questions
-150,000
-100,000
-50,000
0
50,000
US Trade Balance in Advanced
Technology
1989 - 2016
($M)

4. • 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 facilitates the handoff of
technology from universities to industry—resulting in rapid,
efficient innovation.
• Open environment to experiment, fail, iterate and try again.
• Open access to sources of investment capital
How to Stimulate New & Innovative Industry:
Characteristics of the Innovation Ecosystem

5. 5
NSF Programs for Translational
Research
• Science and Technology Centers (STC)
• Engineering Research Centers (ERC)
• 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 Science and Engineering Center (NSEC)
• Nanoscale Interdisciplinary Research Teams (NIRT)
• Emerging Frontiers of Research and Innovation (EFRI)
• Innovation Corps (I-Corps ™)
• Other ENG programs

6. University
Small Business
Investors
Industry
ENGoverall
NSFoverall
GOALI
I/UCRC
PFI
ERC
The Innovation Corps Program (I-Corps ™)
SBIR
STC
ResourcesInvested
Discovery Development Commercialization
Foundations
NSF Innovation Investments
AIR
Translational
Research
6Directorate for Engineering
STTR

7. Multi-University Centers Foster Innovation
(representative examples only)
• National Science Foundation
– Science and Technology Centers (STC)
– Engineering Research Centers (ERC)
– Industry/University Cooperative Research Centers (I/UCRC)
• National Institutes of Health
– Centers for Accelerated Innovations (NCAI)
• Department of Energy
– Energy Frontier Research Centers (EFRC)
• Department of Defense
– University Affiliated Research Centers (UARC)

8. Industry University Cooperative Research Centers
(I/UCRC)
Basic Facts
• Initiated in 1973
• Base funding from NSF
• Single- and Multi-University Models
• Financial and Technical support from Industry Consortium
• Systemwide program analysis and audit provided by NSF
• Currently over 73 Centers, including 5 International partnerships
• Website: IUCRC.org
8

9. Locations of Current NSF I/UCRCs 2016

10. Engineering Research Centers
(ERC)
Basic Facts
• Initiated in 1984
• Fixed 10 year Award Period from NSF
– Contingent on satisfactory periodic reviews
– Can be supplemented with Industry support
• All involve multiple institutional partnerships
• Currently 19 Centers, many with International partnerships
• Direct evidence of multi-billion dollar economic impact since inception
• Website: http://erc-assoc.org/
10

11. • 67 Centers funded over
life of Program
• Many still operational and
‘self-supported’
• Industry consortia
• Other federal
agencies
• State and local funds

12. High Impact Achievements from ERCs
http://erc-assoc.org/high-impact-erc-achievements
• Development of the NiAl Underlayer for memory devices
– Data Storage Systems Center, Carnegie Mellon University
• Real-time 3D Video Imaging
– Center for Integrated Access Networks, University of Arizona
• Tornado Early-warning systems
– Collaborative Adaptive Sensing of the Atmosphere, UMass Amherst
• Synthetic pathways to anti-malarial drugs
– Synthetic Biology ERC, University of California, Berkeley
• Satellite-based broadband internet access
– Systems Research Center, University of Maryland
12

13. SBIR/STTR
Small Business Innovation Research
Small Business Technology Transfer
• SBIR - encourages domestic small businesses to engage in Federal
Research/Research and Development (R/R&D) that has the potential
for commercialization.
• STTR - bridges the gap between performance of basic science and
commercialization of resulting innovations.
• Websites - https://www.sbir.gov/ and https://www.nsf.gov/eng/iip/sbir/
13

14. SBIR/STTR Programs throughout Federal Government
Program
• Created by National Science Foundation and signed as a
Federal wide program in 1982
• SBIR programs have awarded over $40 billion to
research-intensive American small businesses
• 11 Federal Agencies participate annually in program

15. DOD
HHS
DOE
NASA NSF All
Others
Agencies with SBIR and STTR Programs Budget
Department of Defense (DOD) $ 1.070 B
Department of Health and Human Services (HHS),
including the National Institutes of Health (NIH)
$797.0 M
Department of Energy (DOE), including Advanced
Research Projects Agency – Energy (ARPA-E)
$206.1M
National Aeronautics and Space Administration (NASA) $ 180.1 M
National Science Foundation (NSF) $176.0 M
Agencies with SBIR Programs Budget
U.S. Department of Agriculture (USDA) $20.3M
Department of Homeland Security (DHS): Science and
Technology Directorate (S&T) and Domestic Nuclear
Detection Office (DNDO)
$17.7 M
Department of Commerce: National Oceanic and
Atmospheric Administration (NOAA) and National
Institute of Standards and Technology (NIST)
$8.4M
Department of Transportation (DOT) $7.9 M
Department of Education (ED) $7.5 M
Environmental Protection Agency (EPA) $4.2 M
Estimated SBIR/STTR Budgets by Agency, FY2015
~ $2.5 B in FY15
across all agencies
23 Sept 2015

16. What’s Unique about NSF SBIR
• NSF won’t buy anything
from you
• NSF doesn’t identify the
application or technology
• The PI identifies the
market need and a tech-
based solution
Broad program topics cover almost
every area of technology:
• Educational Technologies & Applications
• Information Technologies
• Semiconductors and Photonic Devices & Materials
• Internet of Things
• Electronic Hardware, Robotics & Wireless Technologies
• Advanced Manufacturing & Nanotechnology
• Advanced Materials & Instrumentation
• Chemical & Environmental Technologies
• Biological Technologies
• Smart Health and Biomedical TechnologiesCourtesy NSF.GOV
Steven Konsek, PD

17. Who/What NSF Funds
• High technical risk innovations with potential for high commercial /
societal impact
• R&D only – you will need to raise money for other activities
• Focus on start-ups and early stage companies
• Typical program profile (2014 stats):
• 72% of funded companies <5 years old
• 90% of funded companies <10 employees
• 80% of funded companies had not received a prior Phase II award
Courtesy NSF.GOV
Steven Konsek, PD

18. The Innovation Corps (I-Corps ™) Program
18
• Initiated at NSF in 2011
• Tried to answer this basic question:
– Does some fraction of the $7B annual NSF investment in basic
research lead to potentially commercializable products/processes?
• Key elements of program:
– Modest seed funding
– Educational component on how to launch a start-up
– Cohort based program (so you can learn from your peers)

19. I-Corps: The Beginning
• Team Composition:
– Entrepreneurial Lead: Post-doc or Student to move it
forward
– I-Corps Mentor: Domain-relevant volunteer guide
– PI: Researcher with current or previous award
• Program Outcomes
– Functioning network of Mentors/Advisors
– Scientist and Engineers trained as Entrepreneurs
– Increased impact of NSF-funded basic research
19
Credit: © 2011 JupiterImages Corp.
•30 Hours of Curriculum
•$50,000 per award
• F&A $5,000 maximum
• 25 awards in FY2011
• 100 awards in FY2012

20. I-CORPSTM THREE (3) PERSON TEAM:
• Entrepreneurial Lead - typically the postdoc or grad student, or
recent graduate – LEADER of the team
• Technical Lead - typically the faculty member
• I-Corps Mentor - volunteer guide to your target industry who
has experience with startups
20
Courtesy NSF.GOV
Lydia McClure, PD

21. I-Corps™ Now – Three Components
• I-Corps™ Teams – The original construct; a three person team
with an entrepreneurial lead, a mentor and the primary
researcher.
• I-Corps™ Nodes – provides regional support for basic I-Corps
needs for innovation education, infrastructure and research.
• I-Corps™ Sites – provides an individual academic institution the
tools and support to catalyze campus teams whose ideas are
likely to lead to commercialization.

22. I – Corps Now: A broad and extensive Network of Universities
Courtesy NSF.GOV
Lydia McClure, PD

23. I-CorpsTM Learning
4 courses; 73 teams
I-CorpsTM@NIH
4 courses; 59 teams
Lab-Corps
9 Labs; 3
courses; 36
teams
2013 2014 2015 2016
I-CorpsTM@DoD
pilot and
USDA I-FAST
pilot
2017
2011 2012
NSF I-CorpsTM
39 courses; 823 teams
I – Corps Now a Multi-Agency Program
Courtesy NSF.GOV
Lydia McClure, PD

24. As of Sep 2016:
823 national I-CorpsTM Teams
11 Federal Agencies
324 companies formed
$83M raised
3 acquisitions
30%
22%10%
1%
3%
2%
18%
12%
2%
SBIR/STTR Phase 2
SBIR/STTR Phase 1
Other Government
Awards
Awards & Competitions
Grants
Angel Investment
VC Investment
Unspecified Investment
Revenue
Courtesy NSF.GOV
Lydia McClure, PD

25. Acknowledgements
• Critical support and information from
– Steven Konsek, National Science Foundation
Program Director, Industrial Innovation and Partnerships
SBIR/STTR and Innovation Corps Teams
– Lydia McClure, National Science Foundation
Program Director, Industrial Innovation and Partnerships
Innovation Corps Teams, Nodes and Sites
• The presenter (Thomas Peterson) does NOT represent the
National Science Foundation
25