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

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

The Industry/University Cooperative Research Centers (I/UCRCs) program develops long-term partnerships among industry, academe, and government. The centers are catalyzed by a small investment from the National Science Foundation (NSF) and are primarily supported by industry center members, with NSF taking a supporting role in their development and evolution. Each center is established to conduct research that is of interest to both the industry and the center. An I/UCRC contributes to the Nation's research infrastructure base and enhances the intellectual capacity of the engineering and science workforce through the integration of research and education.

The Industry/University Cooperative Research Centers (I/UCRC) Program was initiated in 1973 to develop long term partnerships among industry, academe and government. The National Science Foundation invests in these partnerships to promote research programs of mutual interest, contribute to the Nation's research infrastructure base and enhance the intellectual capacity of the engineering workforce through the integration of research and education. 

The Centers are catalyzed by a small investment from NSF and they are primarily supported by Center members, with NSF taking a supporting role in their development and evolution. The I/UCRC Program initially offers five-year awards to Centers. This five-year period allows for the development of a strong partnership between the academic researchers and their industrial and government members. After five years, Centers that continue to meet the I/UCRC Program requirements may apply for a second five-year award. These awards allow Centers to continue to grow and diversify their non-NSF membership. After ten years, the Centers are expected to be fully supported by industrial, other Federal agency, and state and local government partners. A center can re-compete for a new cycle after ten years only if the proposed center involves significant new intellectual substance.

Requirements of an I/UCRC

A Center in the I/UCRC Program must:

• Develop a partnership among academe, industry and other organizations participating in the Center;                                                                     
• Consult with Center members to set a defined research agenda focused on shared research interests, needs, and opportunities;                                                                    
• Share the intellectual property developed by the Center equally among Center members in accordance with the Bayh Dole Act;                                                                    
• Have Center members that monitor and advise on the progress of the research, which speeds two-way transfer of knowledge between universities and industry;                                                                     
• Have a strong industry/university interaction program of university, industry, and other partners that are the primary financial resource for the Center;                                                                    
• Have a formal structure and policies for Center members outlined in an I/UCRC membership agreement (using the  Sample Membership Agreement as a guide);                                                                    
• Rely on graduate student involvement in high quality research projects, thus developing students who are knowledgeable in industrially relevant research;                                                                    
• Have an interdisciplinary team of faculty and students that is diverse in gender, race, and ethnicity;                                                                    
• Have a Center Director, based at the lead university, who is responsible for all Center activities;                   
• Have a research team capable of developing and operating a Center; and                                                                    
• Have formal evaluation of the partnership conducted by an independent evaluator. 

An I/UCRC has the following infrastructure:

• Membership agreement:
  • Members are generally comprised of industrial firms, organizations, and non-NSF Federal agencies.                                                          
  • A center must obtain $300,000 annually in cash membership fees                                                           
  • There must be a minimum of six Center members with a  membership fee of $25,000 or higher per year.                                                            
  • Other membership level categories with lower fees may be designated to encourage small company participation in the Center;                                                           
  • The agreement outlines Center policies and is signed by all Center members.
• Center policies address:
  • property rights                                                        
  • publication delays,                                                       
  • membership fees and rights.  
• Center management and organization includes:
  • A Center Director who:
    • is responsible for all aspects of Center operation,    
    • has primary responsibility for administering the award in accordance with NSF's Grant Special and General Conditions and the I/UCRC Program, and                                      
  • An Industrial Advisory Board (IAB) that reviews ongoing and completed activities and recommends new projects;                                                       
  • A University Policy Committee that facilitates the operation of the Center within the university or universities to help assure recognition for participation in the Center in tenure and promotion decisions, and to assure that the research is appropriate for graduate education.                                                      
  • Collaboration among multiple investigators;                                                       
  • Graduate student involvement; and                                                      
  • Diversity.

Other requirements of an I/UCRC include reporting and evaluation. 

• Centers are required to submit reports as specified in Section VII. Award Administration Information, Subsection C. Reporting Requirements.               
• There must be an independent evaluator who cannot be from the department within the institution receiving funding for the I/UCRC award.  The Center evaluator is responsible for: 
  • Preparing an annual review of Center activities with respect to industrial collaboration during the previous year (which is appended to the Center's annual report to NSF);                        
  • Conducting a survey (using an instrument that will be provided by NSF to all Centers) of all Center participants to probe the participant satisfaction with Center activities;                        
  • Compiling a set of quantitative indicators determined by NSF to analyze the management and operation of the Center;                        
  • Participating in the IAB and any other relevant meetings;                        
  • Performing exit interviews to determine why members chose to withdraw from the Center; and                         
  • Feeding information on the quality of the industry/university partnership to NSF and back to the Center for continuous improvement.

Universities and colleges with research and graduate programs are eligible as lead and collaborating institutions for I/UCRC Program support. Since a comprehensive range of disciplines and skills is necessary to address research issues of interest to industry, it may be necessary to form a consortium of universities to achieve a critical mass of interdisciplinary research capabilities for the formation of a center. In that case, one of the universities acts as the administrative lead for the center and each partner is expected to attract industrial support to the Center.

A Letter of Intent must be approved by the NSF Program Director before the institution may submit a planning grant proposal. Institutions must have been awarded a planning grant before they are eligible to submit a full center proposal. 

To be eligible for the I/UCRC Program, the Center must obtain firm commitments of $300,000 annually for five years in cash membership fees. Support must include a minimum of six Center members with a membership fee of $25,000 or higher per year.  Center members should be from industry, organizations, or other Federal agencies. If a center is multi-institutional, each institution must obtain cost participation of $150,000 annually in cash membership fees for 5 years generated by a minimum of 3 center members with a membership fee of $25,000 or higher per year.

Each grantee is required to certify that it will provide 25% cost sharing of the annual membership fees generated by that institution for research in the center.

Planning Grant - 12 month standard award.
$10,000 per institution for a planning grant award for 12 months.

Center Awards - continuing or standard grant.

About $400,000 per year is available for new awards pending the availability of funds. The annual I/UCRC program budget is approximately $5.2 million.

Centers may be based at a single institution, or may be multi-institutional. The initial I/UCRC award to a Center has a potential duration of five years, assuming sufficiently meritorious achievement and success at maintaining leverage of NSF support. 

The I/UCRC program funds awards at two levels: 

For multi-institution centers, institutions obtaining an annual cost participation between $150,000 and $300,000 can receive up to $50,000 annually. 

(Note The center must obtain a total of $300,000 in cost participation to receive an award) 

Institutions obtaining $300,000 or more annually in cost participation can receive up to $70,000 annually.

NSF support is intended to augment the support the Center receives from industry and other sponsors. Proposals for Center awards are evaluated using external peer review.

Support, in accordance with multi-institution center requirements of the previous paragraph, is available for additional institutions to join centers in the I/UCRC Program. In order to join, the collaborative institution must meet the requirements listed in Section III. Eligibility Information. For these multi-institution centers, additional funds are available to the lead institution to offset the added administrative burden. Lead institutions generally receive up to  $10,000 per year for each university added to the center.

Renewals

Continuing I/UCRC Program support is subject to the Center fully meeting the I/UCRC operational requirements with a high level of quality and industrial involvement being met each year. The initial I/UCRC award may be extended for an additional period of up to five years following a successful renewal review guided by merit review and a favorable recommendation by the NSF Program Director. NSF I/UCRC Program support for the second five-year award will be up to one half of the amount of the initial award.  Additional support for evaluation will be funded

A letter of intent describing a proposed Industry/University Cooperative Research Center (I/UCRC) must be submitted to the I/UCRC Program for internal review and approval by an I/UCRC Program Director before a proposal for a planning grant will be accepted. Those proposed Centers that fit within the industry/university collaborative scope, are considered potentially viable, and do not significantly duplicate the research foci of other Centers currently funded in the program will be encouraged to submit a proposal for a planning grant. 

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

Format- Letter of Intent

Letters of intent are to be submitted via Fastlane which is accessible from the NSF web site at http://www.nsf.gov. The Project Description should include:

A brief description of the research focus of the potential Center (limited to 1 page maximum); 
A list of the participating universities or colleges and faculty members (limited to 3 pages maximum).

(2) 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/university research agenda and to determine the feasibility and viability of developing a Center. Proposals are merit reviewed in accordance with NSF policy.  

Format- Planning Grant

Proposals for Planning Grants must be submitted electronically via Fastlane, accessible from the NSF web site at http://www.nsf.gov.

Project Summary

• Include 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 a university;                                                               
• Give a brief description of the research focus of the potential Center; and                                                               
• Include a brief description of the capabilities of the university or universities involved to address the industrial research interests and needs noted above, including faculty and infrastructure.

Project Description

Model of the Envisioned Center

A full description of the envisioned Center is required, including:

• the Center's proposed structure/organization, policies, and operational procedures in accordance with the I/UCRC Program operational requirements and guidelines;                                                               
• a one or two page description for each envisioned research project that includes a discussion of its industrial relevance and appropriateness for the Center;                                                               
• the management and staffing plan; including a plan to address diversity;                                                                       
• the cost and sources of funding for the proposed Center that addresses the requirements detailed in the Eligibility Information section of this document.                                                       
• identification of potential evaluators (only one will be selected) who will comply with I/UCRC evaluation protocol.

Detail how the objectives of the planning grant will be achieved. Include:

• an outline for a meeting with industrial representatives that is designed to determine the research agenda and its viability;                               
• a description of the roles the proposed Center Director and other researchers will have in performing this planning study; and                               
• a discussion of managerial experience of the proposed Center Director.

Budget

Support is generally for travel, an industry planning meeting, publications and faculty time. Note any other sources of funds to be used in this study.

Industry Endorsements
Letters from at least six potential Center members must accompany the proposal. These letters should note that the Center's concept and proposed research agenda have the potential for receiving support from industry and that the firm or organization would consider joining if the Center were formed.  Enter these in the Supplementary Documents section of Fastlane.

(3) 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 proposal, a Center is required to have been awarded a planning grant. In addition, the Center is to comply with the financial requirements as listed in the Eligibility Information section of this document. This helps provide for the minimum funding needed to support a vital research agenda and to ensure that the Center can support graduate students and 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. The following narrative outline is recommended to replace the project description outline given in the Grant Proposal Guide. This narrative should be no longer than 30 pages.

a. Introduction

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

b. Center Structure and Operations

Proposers must discuss the following issues in their proposals:

• Evidence of institutional involvement and participation;                                              
• Available facilities and infrastructure;                                              
• A director responsible for all activities of the Center, with evidence of the director's management capability beyond research experience;                                              
• 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 fee structure of the Center, as well as the role of members in the Center and the specific benefits of membership categories; 
  (Use the  Sample Membership Agreement as a guide)                                               
• A plan to address diversity;                                                        
• The proposed evaluator and plans on how the center will meet I/UCRC evaluation criteria; and                                              
• Membership and composition of the university policy committee.

c. Research Plan

For each research project proposed for the Center, describe (in no more than three pages per project):

• The names and capabilities of faculty involved;                                              
• The goals, industrial relevance and time scale of the project;                                              
• The involvement of students and Industrial Advisory Board (IAB) personnel in planning and executing the project, if applicable;                                              
• The available research facilities; and                                              
• The project budget.

d. Financial Management of the Center

The proposal should include :

• a separate budget detailing all costs, including funds to support the independent evaluator, for the initial year;                                               
• details on the annual support to the Center from the participating institutions concerning cost sharing.;                                               
• a proposed budget for NSF funds for each of the first five years of Center operation and a five-year summary budget. 

In addition to the information requested in the project description, include the following items in the appropriate section of FastLane.

• 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.

The following information should be added to the Supplemental Docs section of Fastlane:

• A copy of the proposed membership agreement document.                                            
• A list of participating Center members and their letters of financial commitment or intent.                                          
• If applicable, a list of collaborations with additional institutions that details their level of involvement, membership fees generated, Center members, and fee structure. 

Target Dates for Proposal Submission

There are no specific target dates for Center proposals but a Center Proposal must be received within 18 months of award of a planning grant. Allow about six months between receipt of the formal proposal and the final decision.

Target Dates

• Letter of Intent: July 31, 2001. Thereafter, June 30 and December 31 Annually 
• Planning Grants: March 31 and September 30 Annually 
• Full Center Proposal: 18 months following award of the Planning Grant  

For Letters of Intent, allow up to three months for notification of the approval decision. For planning grants and full center proposals, allow up to six months between receipt of the formal proposal and the final decision.

Near the end of each 12-month period, the Program Director/and or the Division Director of the Engineering Education and Centers Division will review the Center on a number of renewal criteria including the following: 1) the extent to which the industry/university interaction is developing; 2) the extent to which the support base is developing; 3) the extent to which a robust research program is developing. If the review is satisfactory, the Program Director will recommend support for the next period of this continuing award.

Centers are required to annually submit the following:

Centers are required to submit an annual report 90 days prior to the anniversary of their NSF award.  These reports are used as a basis for assessing annual performance and determining continued funding. The annual report is to include: 

• Major accomplishments for the Center's most recently completed fiscal year (i.e. scientific and technological developments, significant technology transferred to members and its impact);                                           
• Research goals for the current year;                                          
• A short description of the processes used to interact and communicate with Center members (i.e. the project selection process used by the Center, reports generated, etc.)           
• Quantitative information from the most recently completed fiscal year such as number and diversity of students, faculty, and industrial members involved in the Center, degrees granted to students involved in Center activities, amounts and sources of income to the Center, and lists of patents, licenses and publications created.                                                              
• General Center Identification
  • Year of initial funding                      
  • Center director name and contact information                     
  • Collaborations with other universities (if applicable) and names of Co-Director(s).
• Operating Budget and Total Funding
  • Total funding                    
  • NSF/IUCRC funding received                    
  • Other NSF funding received                    
  • Industry Membership fees. Include a certification of the receipt of annual cash membership fees signed by the Center Director and an official from the Sponsored Research Office.                             
  • Additional support broken down by Industry, State, University, Other Federal, Non-Federal, and other support.
• Capital and in-kind support
  • Equipment                 
  • Facilities                 
  • Personnel                 
  • Software                 
  • Other Support
• Industry Membership Descriptors for the current award
  • Membership identification
    • Current members     
    • Members at the start of the award.     
    • New members added     
    • Identify members who left the center.
  • Annual membership fees
    • Primary     
    • Secondary     
    • Tertiary
  • Human Resources
    • Researchers (# of faculty scientists/engineers, # of non-faculty scientists/engineers)               
    • Students (# of graduate, # undergraduate)               
    • Administration, # of full and part time professional and clerical staff.         
    • Diversity information on the above with plans to increase diversity, if necessary
• Center Director Descriptors 
  • Position/Rank of the Director             
  • Status of tenure             
  • Identify the name and position of the person to whom the Center Director reports to             
  • Estimate of the percent of time the director devotes to center administration, other administration, research, teaching, other.
• Center Outcomes
  • Students receiving degrees and type of degree earned.            
  • Students hired by industry by type of degree.            
  • Publications
    • # with center research            
    • # with IAB members            
    • # of presentations
• Intellectual Property Events
  • Invention disclosures           
  • Patent applications           
  • Software copyrights           
  • Patents Granted/Derived           
  • Licensing agreements           
  • Royalties Realized
• Updates to the I/UCRC database of performance indicators are required 90 days prior to the anniversary of the NSF award. These indicators are both quantitative and descriptive. Most of the indicators can be extracted from the Annual Report.  The Center is given a user name and password for access to update the NSF internet accessible database.

I/UCRC Supplemental Programs

Centers in the I/UCRC Program are eligible for $5,000 per year per institution per center to support a woman, under-represented minority or disabled undergraduate research assistant to perform Center research. Additionally, the I/UCRC Program will supply up to $25,000 per year per center for one or two years to support Center research performed by a faculty member from an undergraduate or predominantly undergraduate institution. This proposal must be approved by the Center's IAB, and the research may be performed either at the Center or the faculty member's home institution. 

Research Experience for Teachers (RET)

Centers are eligible to submit proposals to the Research Experience for Teachers (RET) supplement opportunity (NSF- 00-118). This supplement enables the Center to build long term collaborative relationships and support the active participation of K-12 mathematics and science teachers (particularly middle school and secondary school teachers) in research of the Center. This project has a duration of one year. The maximum request may be up to $25,000 per institution per award and may be carried out during the summer or academic year or both.

Other

Centers in the I/UCRC Program also may submit proposals to other NSF programs such as Research Experiences for Undergraduates (REU); Grant Opportunities for Academic Liaison with Industry (GOALI); Combined Research-Curriculum Development; etc. Further information on these programs may be found on the NSF web site at http://www.nsf.gov. Proposals for these programs should follow the guidelines given in the Grant Proposal Guide and the appropriate program announcement. Centers in the I/UCRC Program also may apply for funds from other Federal agencies, and NSF can act as an intermediary in processing these funds.