Industry/University Cooperative Research Centers Program   (I/UCRC)

Program Solicitation
NSF 09-565

Replaces Document(s):
NSF 08-591

National Science Foundation Directorate for Engineering      Industrial Innovation and Partnerships Directorate for Computer & Information Science & Engineering

Letter of Intent Due Date(s) (required) (due by 5 p.m. proposer's local time): 

June 26, 2009

June 26, Annually Thereafter

A letter of intent is only needed when submitting a planning grant proposal for the next immediate deadline. If the planning grant proposal deadline is missed, a new letter of intent will need to be submitted.

January 01, 2010

January 1, Annually Thereafter

A letter of intent is only needed when submitting a planning grant proposal for the next immediate deadline. If the planning grant proposal deadline is missed, a new letter of intent will need to be submitted.

Planning Grant and Full Center Proposal Deadline(s) (due by 5 p.m. proposer's local time):

September 25, 2009

September 25, Annually Thereafter

Planning Grant and Full Center Proposals

March 06, 2010

March 6, Annually Thereafter

Planning Grant and Full Center Proposals

REVISION NOTES

SUMMARY OF PROGRAM REQUIREMENTS

General Information

Program Title: 

Synopsis of Program:

Cognizant Program Officer(s):

• Rathindra (Babu) DasGupta, Lead I/UCRC Program Director, Directorate for Engineering, telephone: (703) 292-8353, fax: (703) 292-9057, email: rdasgupt@nsf.gov

• Glenn Larsen, IIP Program Director, Directorate for Engineering, Rm. 590, telephone: (703) 292-4607, email: glarsen@nsf.gov

• Rita Rodriguez, Program Director, Directorate for Computer & Information Science & Engineering, 1175 N, telephone: (703) 292-8950, fax: (703) 292-9010, email: rrodrigu@nsf.gov

Applicable Catalog of Federal Domestic Assistance (CFDA) Number(s):

• 47.041 --- Engineering
• 47.049 --- Mathematical and Physical Sciences
• 47.050 --- Geosciences
• 47.070 --- Computer and Information Science and Engineering
• 47.074 --- Biological Sciences
• 47.075 --- Social Behavioral and Economic Sciences
• 47.076 --- Education and Human Resources
• 47.078 --- Office of Polar Programs
• 47.079 --- Office of International Science and Engineering
• 47.080 --- Office of Cyberinfrastructure

Award Information

Anticipated Type of Award:  Standard Grant or Continuing Grant

Estimated Number of Awards:    2 to  8   full center awards and 4-12 planning grant awards annually.

Anticipated Funding Amount:   $10,000,000  -- Funding is dependent on the availability of funds. Anticipated funding includes continued annual support for existing centers as well as supplemental requests for existing centers.

Eligibility Information

Organization Limit: 

Proposals may only be submitted by the following:

• Universities and Colleges - Universities and two- and four-year colleges (including community colleges) accredited in, and having a campus located in the US, acting on behalf of their faculty members. Such organizations also are referred to as academic institutions.

PI Limit: 

The PI at any institution participating in an I/UCRC proposal must be a tenured faculty member. Waivers may be requested when petitioned for by the PI's supervisor (Chairman of the Department or the Dean). In addition, the center or site director must be the PI.

Limit on Number of Proposals per Organization: 

Grantee institutions that have an active single university I/UCRC award are not eligible to apply for another single university center; however, they may apply for a multi-university center.

Any institution may submit multiple multi-university center proposals provided that the proposed research topics involve different disciplines and support different industries.

A center site may only apply for one Phase II (years 6 through 10) and one Phase III (years 11 through 15)  proposal. Graduated centers who have successfully completed a Phase II award within the last 10 years may apply for one Phase III award.

Limit on Number of Proposals per PI: 1 

PIs with an active award for any NSF I/UCRC research center are not eligible to apply for another Phase I award.  PIs can only submit one proposal per submission period. Co-PIs can only participate in one proposal per submission period.

Proposal Preparation and Submission Instructions

A. Proposal Preparation Instructions

• Letters of Intent: Submission of Letters of Intent is required. Please see the full text of this solicitation for further information.

• Preliminary Proposal Submission: Not Applicable

• Full Proposal Preparation Instructions: This solicitation contains information that deviates from the standard NSF Proposal and Award Policies and Procedures Guide, Part I: Grant Proposal Guide (GPG) proposal preparation guidelines. Please see the full text of this solicitation for further information.

B. Budgetary Information

• Cost Sharing Requirements: Cost Sharing is required. See the section on Indirect Cost (F&A) Limitations.

• Indirect Cost (F&A) Limitations:  
  University recovery of indirect costs (F&A) shall be limited to 10% on the total expenditures of industry center membership fees.

• Other Budgetary Limitations: Not Applicable

C. Due Dates

• Letter of Intent Due Date(s) (required) (due by 5 p.m. proposer's local time):

  June 26, 2009

  June 26, Annually Thereafter

  A letter of intent is only needed when submitting a planning grant proposal for the next immediate deadline. If the planning grant proposal deadline is missed, a new letter of intent will need to be submitted.

  January 01, 2010

  January 1, Annually Thereafter

  A letter of intent is only needed when submitting a planning grant proposal for the next immediate deadline. If the planning grant proposal deadline is missed, a new letter of intent will need to be submitted.

• Planning Grant and Full Center Proposal Deadline(s) (due by 5 p.m. proposer's local time):

  September 25, 2009

  September 25, Annually Thereafter

  Planning Grant and Full Center Proposals

  March 06, 2010

  March 6, Annually Thereafter

  Planning Grant and Full Center Proposals

Proposal Review Information Criteria

Merit Review Criteria:   National Science Board approved criteria. Additional merit review considerations apply. Please see the full text of this solicitation for further information.

Award Administration Information

Award Conditions:   Additional award conditions apply. Please see the full text of this solicitation for further information.

Reporting Requirements:   Additional reporting requirements apply. Please see the full text of this solicitation for further information.

TABLE OF CONTENTS

Summary of Program Requirements

1. Introduction
   
   
2. Program Description
   
   
3. Award Information
   
   
4. Eligibility Information
   
   
5. Proposal Preparation and Submission Instructions
   1. Proposal Preparation Instructions
   2. Budgetary Information
   3. Due Dates
   4. FastLane Requirements
      
      
6. NSF Proposal Processing and Review Procedures
   1. NSF Merit Review Criteria
   2. Review and Selection Process
      
      
7. Award Administration Information
   1. Notification of the Award
   2. Award Conditions
   3. Reporting Requirements
      
      
8. Agency Contacts
   
   
9. Other Information

I. INTRODUCTION

II. PROGRAM DESCRIPTION

III. AWARD INFORMATION

Planning Grants

Planning Grant - $10,000 per academic institution for a planning grant award with a 12-month duration. In addition, the lead institution for a new center’s planning grant meeting will receive $3,000 which is to be paid directly to an evaluator. The evaluator will guide the directors in conducting a successful planning grant meeting and attend the first planning grant meeting for a center.

Center Awards - continuing or standard grant

Phase I - First Five Year Center Award

Multi-institutional center proposals are given preference over single institutional proposals. The initial I/UCRC award to a center has a potential duration of five years. NSF support is intended to augment the support that a center receives from industry and other sponsors. The I/UCRC program uses the following funding formulas. Mult-institutional research sites with an annual industry membership participation between $150,000 to $300,000 can receive up to $55,000 annually. (Note - the center must obtain a total of $300,000 in membership participation to receive an award.) Multi-university research sites with $300,000 or more in annual memberships can receive up to $80,000 annually. Single university I/UCRCs obtaining $400,000 or more in annual memberships can receive up to $80,000 annually.

Phase II - Second Five Year Center Award

Continuing I/UCRC program support is available for centers fully meeting the I/UCRC operational and membership requirements with industrial involvement being met each year. A new Phase II second five-year center award may be granted upon a favorable recommendation by the NSF program director. Multi-institutional research sites with yearly memberships between $175,000 and $350,000 will receive $40,000 annually. Multi-university research sites with over $350,000 in annual memberships will receive $60,000 annually. (Note the center must obtain a total of $350,000 or more to receive an annual award.) Single university I/UCRCs obtaining over $400,000 a year in memberships will receive $60,000 annually.

Phase III - Third Five Year Center Award

I/UCRC program support is available for current and graduated centers that continue to fully meet I/UCRC operational and membership requirements. For the purpose of this solicitation, a graduated center is one that has successfully completed a Phase II award within the last 10 years. A Phase III center award may be awarded upon NSF review and a favorable recommendation by the NSF program director. Research sites with memberships at or above $175,000 a year will receive $15,000 annually. There will be $25,000 available for the lead institution in a multi-university research center.

The lead administrative institution is defined by the I/UCRC program as the institution that assumes primary coordination for general management and communications of the center. The lead administrative institution for a Phase I and Phase II center receives an additional $10,000 per year for each added institution in the center to offset the added administrative functions. The lead institution makes an annual request for supplemental funding that represents the current number of sites within the center while factoring the funding level for evaluator support as shown below. Contact the NSF cognizant program director listed within this document if guidance is needed in preparing a supplement request.

Evaluator Support

In addition, NSF will provide the lead administrative institution with annual funds for an evaluator for Phase 1 and II awards as outlined below. The lead institution receives the following each year which must be paid to the evaluator and be reflected in the budget:

• A one site center receives $9,000 for the evaluator.
• A two site center receives $15,000 for the evaluator.
• A three site center receives $18,000 for the evaluator.
• A four or more site center receives $21,000 for the evaluator.

The evaluator uses these funds to attend the bi-annual IAB meetings, write annual and semi-annual IAB highlight reports, attend the annual directors meeting, and to attend the annual evaluators meeting. These fees are intended to cover expenses and efforts incurred by the evaluator.

Evaluators for a Phase III award must attend the annual IAB meeting for the center. NSF provides $4,000 to the lead institution for the evaluator, all of which is paid directly to the evaluator.

Deputy Director Support

At NSF's discretion, a center with eight or more sites may submit a request for supplemental funding to help support a deputy director. The “Deputy Director” request for supplemental funding must outline specific responsibilities that are measureable and which will benefit all sites within the center. The funding level of these requests are based on the center phase and annual award for the lead institution as shown below:

• Phase I center with a $55,000 annual award may receive $33,000.
• Phase I center with a $80,000 annual award may receive $45,000.
• Phase II center with a $40,000 annual award may receive $25,000.
• Phase II center with a $60,000 annual award may receive $35,000.
• Phase III center with a $15,000 annual award may receive $12,000.
• Phase III center with a $25,000 annual award may receive $18,000.

International I/UCRC Suppor

International I/UCRCs share the same IP rights that are indentified in the U.S.-based membership agreements. To support and encourage participation in global research, the U.S.-based international collaborative site may receive a $25,000 supplement. These funds are to be used for expenses related to the international collaboration including site director(s) and evaluator international travel. No NSF funds are to be used by non U.S. centers.

IV. ELIGIBILITY INFORMATION

Organization Limit: 

Proposals may only be submitted by the following:

• Universities and Colleges - Universities and two- and four-year colleges (including community colleges) accredited in, and having a campus located in the US, acting on behalf of their faculty members. Such organizations also are referred to as academic institutions.

PI Limit: 

The PI at any institution participating in an I/UCRC proposal must be a tenured faculty member. Waivers may be requested when petitioned for by the PI's supervisor (Chairman of the Department or the Dean). In addition, the center or site director must be the PI.

Limit on Number of Proposals per Organization: 

Grantee institutions that have an active single university I/UCRC award are not eligible to apply for another single university center; however, they may apply for a multi-university center.

Any institution may submit multiple multi-university center proposals provided that the proposed research topics involve different disciplines and support different industries.

A center site may only apply for one Phase II (years 6 through 10) and one Phase III (years 11 through 15)  proposal. Graduated centers who have successfully completed a Phase II award within the last 10 years may apply for one Phase III award.

Limit on Number of Proposals per PI: 1

 PIs with an active award for any NSF I/UCRC research center are not eligible to apply for another Phase I award.  PIs can only submit one proposal per submission period. Co-PIs can only participate in one proposal per submission period.

Additional Eligibility Info:

A Letter of Intent (LOI) must be submitted before the institution may submit a planning grant proposal.

In general, institutions must have been awarded a planning grant before they are eligible to submit a full center proposal. NSF may waive this requirement if the institution wants to join an existing center, has the approval from the center director to join, and meets the minimum membership requirements to create a research site.

For a new research center, eligible academic institutions must have a new research focus with potential industry members that differs significantly from those found in planned, current, and graduated I/UCRCs.  Please see the I/UCRC center directory at http://www.nsf.gov/eng/iip/iucrc/directory/index.jsp.  Institutions may participate as a research site with these centers.   

V. PROPOSAL PREPARATION AND SUBMISSION INSTRUCTIONS

A. Proposal Preparation Instructions

Letters of Intent(required):

Guide to Submission of a Letter of Intent for an Industry/University Cooperative Research Center

Format- Letter of Intent

Letters of intent must be submitted for each proposed planning grant proposal by each institution participating in a center via FastLane which is accessible from the NSF web site. Proposed centers are potentially viable when they:

• Fit within  the industry and university collaborative scope,
• Are economically important to the research area, and
• Do not significantly duplicate (less than 10%) of the research thrusts of other I/UCRCs.

Letter of Intent Preparation Instructions:

When submitting a Letter of Intent through FastLane in response to this Program Solicitation please note the conditions outlined below:

• Sponsored Projects Office (SPO) Submission is required when submitting Letters of Intent
• A Minimum of 0 and Maximum of 2 Other Senior Project Personnel are allowed
• A Minimum of 0 and Maximum of 10 Other Participating Organizations are allowed
• List and describe research thrust areas (250 char. limit). is required when submitting Letters of Intent
• List of participating center sites (universities - (250 char. limit). is required when submitting Letters of Intent
• List of potential members (250 char. limit). is required when submitting Letters of Intent
• Submission of multiple Letters of Intent is allowed

Full Proposal Instructions: Proposals submitted in response to this program solicitation should be prepared and submitted in accordance with the guidelines specified in the NSF Grant Proposal Guide (GPG). The complete text of the GPG is available electronically on the NSF website at: http://www.nsf.gov/publications/pub_summ.jsp?ods_key=gpg. Paper copies of the GPG may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-PUBS (7827) or by e-mail from pubs@nsf.gov.  

1. Guide to Submission of a Planning Grant Proposal for an Industry/University Cooperative Research Center

Introduction- Planning Grant

Planning grant proposals are accepted only if the letter of intent describing a proposed I/UCRC has been approved by an I/UCRC program director. Planning grants are used to plan the joint industry and university research agenda and to determine the feasibility and viability of developing a center. The proposal is limited to 15 pages or less excluding supplementary documents.

Note that a planning grant is submitted as a full proposal but with a title prefix of "Planning Grant:". Do not submit a planning grant as a preliminary proposal or it will be returned without review.

Format- Planning Grant

Title - The title for a planning grant must be headed as "Planning Grant: I/UCRC for AREA" where area is the research area for which the center is being proposed.

Project Summary - One page maximum length discussing these two topics:

• Intellectual Merit of the center - See Section VI. NSF Proposal Processing and Review Procedures for details.
• Broader Impact of the center - See Section VI. NSF Proposal Processing and Review Procedures for details.

Planning Grant Objective

• Objective - brief statement of the planning grant's objective (which should be a meeting with industry and university to agree on an initial research agenda to start the center.)
• Strategy - how will you meet your objective?
• Potential members - identify industry members who are likely to join the proposed center and the plan to recruit them.
• Meeting planning arrangements including:
  - Proposed location;
  - Meeting format and organization;
  - Responsibilities of staff and presenters; and
  - Draft agenda.

Project Description

Provide a full description for the envisioned center that serves as a blueprint for action. The project description section should:

• Provide a general analysis of the industry on which the proposed center plans to focus; how that industry affects the Nation's economic health; and its research interests and needs, especially in those areas of research that could be considered appropriate for the proposed center;
• Provide a description of the center's capabilities to conduct research addressing the industrial needs;
• Determine the proposed center's, policies, guidelines, organizational structure, and operational procedures within the I/UCRC framework;
• Determine a plan for addressing diversity;
• Discuss proposed projects - a one page description for each envisioned research project covering:
  - experimental plan and a discussion of its industrial relevance and appropriateness for the center;
  - project objectives;
  - proposed team (management and staff);
  - proposed first year and end of project deliverables;
  - proposed experimental plan;
  - determination of milestones and time to completion; and
  - determination of annual and total cost to completion.

Include these required planning grant documents in the Supplementary Documents section of FastLane (For Grants.gov users, supplementary documents should be attached in Field 11 of the R&R Other Project Information Form.):

• Proposed center marketing plan showing target industry or market segmentation,  proposed marketing activities (including promotion and advertising), pricing structure and membership variations;
• Staffing plan with a responsibility matrix showing the roles that the proposed center director, site directors, and other researchers will have in performing this planning study;
• Membership agreement in accordance with the I/UCRC typical agreement at 
  http://www.nsf.gov/eng/iip/iucrc/sample_agreement_form.jsp);
• Draft Agenda - for the meeting with industrial representatives designed to determine the research agenda and its viability; and
• Potential center member letters - (six letters of interest minimum per institution) from potential organization members noting that the center's concept and proposed research agenda have the potential for receiving support from that organization and that they would consider joining if the center were formed. Proposals without the sufficient number of letters will be returned without review.
• Proposals for new centers with potential overlap of an existing center must provide evidence (usually a letter from the other center director) that their research thrust does not significantly duplicate (less than 10%) other I/UCRC efforts. This evidence is not required when joining an existing center as a research site.

Budget

Support is generally for travel, an industry planning meeting, associated meeting publications, and faculty time. All line items in the proposed budget must be justified. Note any other sources of funds to be used in this study.

2. Guide to Submission of a Center Proposal for an Industry/University Cooperative Research Center

Introduction - Center Proposal

Support from NSF for Industry/University Cooperative Research Centers is awarded as seed funds to develop a partnership between industry and academe, with NSF taking the role of a facilitator. A significant proportion of a center's support is expected to come from industrial, state, and other funds. As a center progresses, it is likely to have increased opportunities for funding from additional firms, other Federal agencies, Federal laboratories, and state and local governments, thus increasing the leverage of NSF funds.

To be eligible to submit a full center proposal, institutions must have been awarded a planning grant. The requirement for a planning grant proposal may be waived by NSF provided that the research site meets the minimum membership requirements and has the approval from the center director to join an existing center.

In addition, the center must develop and submit a plan to ensure that the center can support graduate students and industrially relevant research projects. The minimum number of members required produces a critical mass and encourages a more generic research program. In general, center members are industrial firms, although some may be other organizations such as Federal agencies.

Proposal Format- Center Proposals

The proposal should reflect the unique combination of the proposing institution's research interests, capabilities, and potential for working with industry. These features should be discussed in sufficient detail to facilitate review in accordance with the I/UCRC Program requirements.

Project Summary. One-page limit.

Include and address all of the following points:

• Brief description of the proposed center, sites involved, and scope of the research program.
• Intellectual Merit - See Section VI. NSF Proposal Processing and Review Procedures for details.
• Broader Impact - See Section VI. NSF Proposal Processing and Review Procedures for details. Centers are reminded that they are to address diversity.

Project Description

The following narrative outline is recommended for the project description. This narrative should be no longer than 30 pages.

1. Project Overview. Three-page limit.

In no more than three pages, describe the technical focus of and need for the center. Describe the technical area, the industry, the industrially relevant research required, and the expertise and resources that will be used to address this need.

2. Center Structure and Operations.

Proposers must discuss the following issues in their proposals:

• Available facilities and infrastructure;
• A director responsible for all activities of the center, with evidence of the director's management capability;
• The membership agreement including (Use the Typical Membership Agreement referenced in Section IX of this solicitation as a guide):
  • Intellectual property policies in accordance with the Bayh-Dole Act that permit non-exclusive, royalty-free licenses for industrial center members and the possibility of exclusive, royalty-bearing licenses;
  • Publication delay policies;
  • The membership structure of the center, as well as the role of members in the center and the specific benefits of membership categories
• Discuss potential issues that might hinder the center and what steps could be taken to minimize those risks;
• I/UCRC policies and operations;
• The proposed evaluator and plans for the center to meet I/UCRC evaluation criteria; and
• Membership of the university policy committee.

3. Research Plan.

Envisioned Projects - up to three pages describing each envisioned research project that includes:

• A discussion of its industrial relevance and appropriateness for the center;
• Project objectives;
• Proposed team (management and staff) with plans to address broadening participation;
• Proposed deliverables;
• Project duration, milestones, and annual proposed deliverables;
• Determine business or industry need;
• Describe the available research facilities; and
• Determine time to completion and cost.

Budget Sheet

The proposal should include:

• A separate budget detailing all sources of funding and costs;
• A proposed budget for NSF funds for each of the first five years of center operation and a five-year summary budget (including funds to support the independent evaluator); and
• Budget justifications must be included for all line items.

Supplemental Docs

The following information should be added to the Supplemental Docs section of FastLane (For Grants.gov users, supplementary documents should be attached in Field 11 of the R&R Other Project Information Form.):

• A copy of the membership agreement document.
• A list of participating center members and their letters of financial commitment. It is imperative to include commitment letters from potential members that meet the requirements of Section III. Award Information for Center Awards. Proposals failing to meet the minimum funding level of committed members may be returned without review. The minimum number of members needed is outlined in Section II. Program Description under Requirements of an I/UCRC. The number of commitment letters must be sufficient to meet the required number of memberships or the proposal may be returned without review.
• If applicable, list collaborations with additional institutions. All policies and procedures for a center and its sites should be the same.
• A list of the individuals who are key to the center, and other participating individuals, noting diversity. The list should identify institutional and departmental affiliation or discipline, and should include biographical information on the center director and all key faculty members or other individuals from participating institutions who will be directly involved in the development, operation, and evaluation of the center. The list of publications for these individuals should be limited to the five most relevant to the proposed research.
• Current and pending support for key individuals with academic affiliations who are requesting salary support from NSF.
• Marketing plans and plans for center growth over the next five years showing target industry or market segmentation, proposed marketing activities (including promotion and advertising), pricing structure, and membership variations.

Proposers are reminded to identify the program solicitation number (NSF 09-565) in the program solicitation block on the NSF Cover Sheet For Proposal to the National Science Foundation. Compliance with this requirement is critical to determining the relevant proposal processing guidelines. Failure to submit this information may delay processing.

B. Budgetary Information

Cost Sharing:  

Cost sharing is required. See the section on Indirect Cost (F&A) Limitations.

The proposed cost sharing must be shown on Line M on the proposal budget. Documentation of the availability of cost sharing must be included in the proposal. All cost-sharing amounts are subject to audit. Failure to provide the level of cost-sharing reflected in the approved award budget may result in termination of the NSF award, disallowance of award costs and/or refund of award funds to NSF.

Cost sharing on federal memberships is not required.

Indirect Cost (F&A) Limitations:  

C. Due Dates

• Letter of Intent Due Date(s) (required) (due by 5 p.m. proposer's local time): 

  June 26, 2009

  June 26, Annually Thereafter

  A letter of intent is only needed when submitting a planning grant proposal for the next immediate deadline. If the planning grant proposal deadline is missed, a new letter of intent will need to be submitted.

  January 01, 2010

  January 1, Annually Thereafter

  A letter of intent is only needed when submitting a planning grant proposal for the next immediate deadline. If the planning grant proposal deadline is missed, a new letter of intent will need to be submitted.

• Planning Grant and Full Center Proposal Deadline(s) (due by 5 p.m. proposer's local time):

  September 25, 2009

  September 25, Annually Thereafter

  Planning Grant and Full Center Proposals

  March 06, 2010

  March 6, Annually Thereafter

  Planning Grant and Full Center Proposals

D. FastLane Requirements

Proposers are required to prepare and submit all proposals for this program solicitation through use of the NSF FastLane system. Detailed instructions regarding the technical aspects of proposal preparation and submission via FastLane are available at:
http://www.fastlane.nsf.gov/a1/newstan.htm. For FastLane user support, call the FastLane Help Desk at 1-800-673-6188 or e-mail fastlane@nsf.gov. The FastLane Help Desk answers general technical questions related to the use of the FastLane system. Specific questions related to this program solicitation should be referred to the NSF program staff contact(s) listed in Section VIII of this funding opportunity.

Submission of Electronically Signed Cover Sheets. The Authorized Organizational Representative (AOR) must electronically sign the proposal Cover Sheet to submit the required proposal certifications (see Chapter II, Section C of the Grant Proposal Guide for a listing of the certifications). The AOR must provide the required electronic certifications within five working days following the electronic submission of the proposal. Further instructions regarding this process are available on the FastLane Website at: https://www.fastlane.nsf.gov/fastlane.jsp.

VI. NSF PROPOSAL PROCESSING AND REVIEW PROCEDURES   

Proposals received by NSF are assigned to the appropriate NSF program where they will be reviewed if they meet NSF proposal preparation requirements. All proposals are carefully reviewed by a scientist, engineer, or educator serving as an NSF Program Officer, and usually by three to ten other persons outside NSF who are experts in the particular fields represented by the proposal. These reviewers are selected by Program Officers charged with the oversight of the review process. Proposers are invited to suggest names of persons they believe are especially well qualified to review the proposal and/or persons they would prefer not review the proposal. These suggestions may serve as one source in the reviewer selection process at the Program Officer's discretion. Submission of such names, however, is optional. Care is taken to ensure that reviewers have no conflicts of interest with the proposal.

A. NSF Merit Review Criteria

All NSF proposals are evaluated through use of the two National Science Board (NSB)-approved merit review criteria: intellectual merit and the broader impacts of the proposed effort. In some instances, however, NSF will employ additional criteria as required to highlight the specific objectives of certain programs and activities.

The two NSB-approved merit review criteria are listed below. The criteria include considerations that help define them. These considerations are suggestions and not all will apply to any given proposal. While proposers must address both merit review criteria, reviewers will be asked to address only those considerations that are relevant to the proposal being considered and for which the reviewer is qualified to make judgements.

NSF staff also will give careful consideration to the following in making funding decisions:

Integrating Diversity into NSF Programs, Projects, and Activities
Broadening opportunities and enabling the participation of all citizens -- women and men, underrepresented minorities, and persons with disabilities -- is essential to the health and vitality of science and engineering. NSF is committed to this principle of diversity and deems it central to the programs, projects, and activities it considers and supports.

Additional Review Criteria:

Evaluation

Letters of Intent will be evaluated by NSF staff based on the economic importance of the research area, NSF priorities, the depth and breadth of the proposed center's research, and whether the proposed research overlaps other I/UCRCs. The NSF evaluation will be furnished to the author of the Letter of Intent. Notification of approval of the Letter of Intent is required before submission of a planning grant proposal.

Planning grant proposals and full center proposals will be competitively reviewed by Ad hoc Review and/or Panel Review, Internal NSF Review, or Site Visit Review.  The proposals will be subject to the NSF merit review criteria and the additional criteria given below:

• The envisioned center is consistent with the defining characteristics and operational requirements of an I/UCRC.
• There is enough potential university support, faculty, and facilities involved to build a viable center.
• The planning study will effectively focus on the research interests of an industry that is in a position to support the center, so that it could meet the requirements to submit a center proposal.
• The planning study will effectively use I/UCRC operational requirements for structuring and operating the envisioned center.
• The center has an effective marketing plan to develop a strong contingent of firms and sufficient industry support to be successful and meet the I/UCRC criteria.
• The center proposes to develop a research program that does not duplicate that of an existing I/UCRC.
• The proposal requires cross-disciplinary and cross-departmental participation where appropriate to the research envisioned.
• The NSF reviewers will consider the extent to which there is evidence that the Center will meet the "Requirements of an I/UCRC" as described in Section II. Program Description.
• International I/UCRCs will have their organization structure and their relationships with the foreign research site reviewed to assure compatibility and the ability for collaboration. The relationship must clearly benefit U.S. researchers and industry members.
• Phase II and Phase III proposals will be reviewed as to their previous achievement of NSF's broader impacts, significance and impact of previous research, and efforts of the center in communicating with the public and center members.

B. Review and Selection Process

Proposals submitted in response to this program solicitation will be reviewed by Ad hoc Review and/or Panel Review, Internal NSF Review, or Site Visit Review.

Reviewers will be asked to formulate a recommendation to either support or decline each proposal. The Program Officer assigned to manage the proposal's review will consider the advice of reviewers and will formulate a recommendation.

After scientific, technical and programmatic review and consideration of appropriate factors, the NSF Program Officer recommends to the cognizant Division Director whether the proposal should be declined or recommended for award. NSF is striving to be able to tell applicants whether their proposals have been declined or recommended for funding within six months. The time interval begins on the deadline or target date, or receipt date, whichever is later.  The interval ends when the Division Director accepts the Program Officer's recommendation.

A summary rating and accompanying narrative will be completed and submitted by each reviewer. In all cases, reviews are treated as confidential documents. Verbatim copies of reviews, excluding the names of the reviewers, are sent to the Principal Investigator/Project Director by the Program Officer.  In addition, the proposer will receive an explanation of the decision to award or decline funding.

In all cases, after programmatic approval has been obtained, the proposals recommended for funding will be forwarded to the Division of Grants and Agreements for review of business, financial, and policy implications and the processing and issuance of a grant or other agreement. Proposers are cautioned that only a Grants and Agreements Officer may make commitments, obligations or awards on behalf of NSF or authorize the expenditure of funds. No commitment on the part of NSF should be inferred from technical or budgetary discussions with a NSF Program Officer. A Principal Investigator or organization that makes financial or personnel commitments in the absence of a grant or cooperative agreement signed by the NSF Grants and Agreements Officer does so at their own risk.

VII. AWARD ADMINISTRATION INFORMATION

A. Notification of the Award

Notification of the award is made to the submitting organization by a Grants Officer in the Division of Grants and Agreements. Organizations whose proposals are declined will be advised as promptly as possible by the cognizant NSF Program administering the program. Verbatim copies of reviews, not including the identity of the reviewer, will be provided automatically to the Principal Investigator. (See Section VI.B. for additional information on the review process.)

B. Award Conditions

An NSF award consists of: (1) the award letter, which includes any special provisions applicable to the award and any numbered amendments thereto; (2) the budget, which indicates the amounts, by categories of expense, on which NSF has based its support (or otherwise communicates any specific approvals or disapprovals of proposed expenditures); (3) the proposal referenced in the award letter; (4) the applicable award conditions, such as Grant General Conditions (GC-1); * or Research Terms and Conditions * and (5) any announcement or other NSF issuance that may be incorporated by reference in the award letter. Cooperative agreements also are administered in accordance with NSF Cooperative Agreement Financial and Administrative Terms and Conditions (CA-FATC) and the applicable Programmatic Terms and Conditions. NSF awards are electronically signed by an NSF Grants and Agreements Officer and transmitted electronically to the organization via e-mail.

*These documents may be accessed electronically on NSF's Website at
http://www.nsf.gov/awards/managing/award_conditions.jsp?org=NSF. Paper copies may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-7827 or by e-mail from pubs@nsf.gov.

More comprehensive information on NSF Award Conditions and other important information on the administration of NSF awards is contained in the NSF Award & Administration Guide (AAG) Chapter II, available electronically on the NSF Website at
http://www.nsf.gov/publications/pub_summ.jsp?ods_key=aag.

Special Award Conditions: 

Prior to the start of the new fiscal year and funding period,  the program director, program managers, and the division director will review the center on a number of renewal criteria including the following:

1. The degree of collaboration amongst center sites;
2. The extent to which the marketing plan is being pursued;
3. The extent to which the industry/university collaborations are growing; and
4. The extent to which the industrial research program is developing.

If the review is satisfactory, the program director may recommend support for the next period of the continuing award.

C. Reporting Requirements

For all multi-year grants (including both standard and continuing grants), the Principal Investigator must submit an annual project report to the cognizant Program Officer at least 90 days before the end of the current budget period. (Some programs or awards require more frequent project reports). Within 90 days after expiration of a grant, the PI also is required to submit a final project report.

Failure to provide the required annual or final project reports will delay NSF review and processing of any future funding increments as well as any pending proposals for that PI. PIs should examine the formats of the required reports in advance to assure availability of required data.

PIs are required to use NSF's electronic project-reporting system, available through FastLane, for preparation and submission of annual and final project reports.  Such reports provide information on activities and findings, project participants (individual and organizational) publications; and, other specific products and contributions.  PIs will not be required to re-enter information previously provided, either with a proposal or in earlier updates using the electronic system.  Submission of the report via FastLane constitutes certification by the PI that the contents of the report are accurate and complete.

VIII. AGENCY CONTACTS

General inquiries regarding this program should be made to:

• Rathindra (Babu) DasGupta, Lead I/UCRC Program Director, Directorate for Engineering, telephone: (703) 292-8353, fax: (703) 292-9057, email: rdasgupt@nsf.gov

• Glenn Larsen, IIP Program Director, Directorate for Engineering, Rm. 590, telephone: (703) 292-4607, email: glarsen@nsf.gov

• Rita Rodriguez, Program Director, Directorate for Computer & Information Science & Engineering, 1175 N, telephone: (703) 292-8950, fax: (703) 292-9010, email: rrodrigu@nsf.gov

For questions related to the use of FastLane, contact:

• FastLane Help Desk, telephone: 1-800-673-6188; e-mail: fastlane@nsf.gov.

• Gregory L. Misiorek, Program Specialist, General I/UCRC support, telephone: (703) 292-8383, email: gmisiore@nsf.gov

IX. OTHER INFORMATION

The NSF Website provides the most comprehensive source of information on NSF Directorates (including contact information), programs and funding opportunities. Use of this Website by potential proposers is strongly encouraged. In addition, National Science Foundation Update is a free e-mail subscription service designed to keep potential proposers and other interested parties apprised of new NSF funding opportunities and publications, important changes in proposal and award policies and procedures, and upcoming NSF Regional Grants Conferences. Subscribers are informed through e-mail when new publications are issued that match their identified interests. Users can subscribe to this service by clicking the "Get NSF Updates by Email" link on the NSF web site.

Grants.gov provides an additional electronic capability to search for Federal government-wide grant opportunities. NSF funding opportunities may be accessed via this new mechanism. Further information on Grants.gov may be obtained at http://www.grants.gov.

Related Programs:

Sources for additional information:

• Visit http://www.nsf.gov/eng/iip/iucrc/ for information on unsolicited proposal submissions, interagency transfers, tie-projects, MIPRs, and other general information about the I/UCRC program.
• The Typical Agreement for I/UCRCs can be found at
  http://www.nsf.gov/eng/iip/iucrc/sample_agreement_form.jsp
• The Directory of I/UCRCs can be found at 
  http://www.nsf.gov/eng/iip/iucrc/directory/index.jsp
• Programs in which I/UCRCs may participate can be found at
   http://www.nsf.gov/div/index.jsp?div=IIP

ABOUT THE NATIONAL SCIENCE FOUNDATION

The National Science Foundation (NSF) is an independent Federal agency created by the National Science Foundation Act of 1950, as amended (42 USC 1861-75). The Act states the purpose of the NSF is "to promote the progress of science; [and] to advance the national health, prosperity, and welfare by supporting research and education in all fields of science and engineering."

NSF funds research and education in most fields of science and engineering. It does this through grants and cooperative agreements to more than 2,000 colleges, universities, K-12 school systems, businesses, informal science organizations and other research organizations throughout the US. The Foundation accounts for about one-fourth of Federal support to academic institutions for basic research.

NSF receives approximately 40,000 proposals each year for research, education and training projects, of which approximately 11,000 are funded. In addition, the Foundation receives several thousand applications for graduate and postdoctoral fellowships. The agency operates no laboratories itself but does support National Research Centers, user facilities, certain oceanographic vessels and Antarctic research stations. The Foundation also supports cooperative research between universities and industry, US participation in international scientific and engineering efforts, and educational activities at every academic level.

Facilitation Awards for Scientists and Engineers with Disabilities provide funding for special assistance or equipment to enable persons with disabilities to work on NSF-supported projects. See Grant Proposal Guide Chapter II, Section D.2 for instructions regarding preparation of these types of proposals.

The National Science Foundation has Telephonic Device for the Deaf (TDD) and Federal Information Relay Service (FIRS) capabilities that enable individuals with hearing impairments to communicate with the Foundation about NSF programs, employment or general information. TDD may be accessed at (703) 292-5090 and (800) 281-8749, FIRS at (800) 877-8339.

The National Science Foundation Information Center may be reached at (703) 292-5111.

PRIVACY ACT AND PUBLIC BURDEN STATEMENTS

The information requested on proposal forms and project reports is solicited under the authority of the National Science Foundation Act of 1950, as amended. The information on proposal forms will be used in connection with the selection of qualified proposals; and project reports submitted by awardees will be used for program evaluation and reporting within the Executive Branch and to Congress. The information requested may be disclosed to qualified reviewers and staff assistants as part of the proposal review process; to proposer institutions/grantees to provide or obtain data regarding the proposal review process, award decisions, or the administration of awards; to government contractors, experts, volunteers and researchers and educators as necessary to complete assigned work; to other government agencies or other entities needing information regarding applicants or nominees as part of a joint application review process, or in order to coordinate programs or policy; and to another Federal agency, court, or party in a court or Federal administrative proceeding if the government is a party. Information about Principal Investigators may be added to the Reviewer file and used to select potential candidates to serve as peer reviewers or advisory committee members. See Systems of Records, NSF-50, "Principal Investigator/Proposal File and Associated Records," 69 Federal Register 26410 (May 12, 2004), and NSF-51, "Reviewer/Proposal File and Associated Records, " 69 Federal Register 26410 (May 12, 2004). Submission of the information is voluntary. Failure to provide full and complete information, however, may reduce the possibility of receiving an award.

An agency may not conduct or sponsor, and a person is not required to respond to, an information collection unless it displays a valid Office of Management and Budget (OMB) control number. The OMB control number for this collection is 3145-0058. Public reporting burden for this collection of information is estimated to average 120 hours per response, including the time for reviewing instructions. Send comments regarding the burden estimate and any other aspect of this collection of information, including suggestions for reducing this burden, to:

Suzanne H. Plimpton
Reports Clearance Officer
Division of Administrative Services
National Science Foundation
Arlington, VA 22230