July 19, 2004

EPSCoR Research Infrastructure Improvement Grant Program (RII)

The Experimental Program to Stimulate Competitive Research (EPSCoR) is a program designed to fulfill the National Science Foundation's (NSF) mandate to promote scientific progress nationwide. The EPSCoR program is directed at those jurisdictions that have historically received lesser amounts of NSF Research and Development (R&D) funding. Twenty-four states, the Commonwealth of Puerto Rico and the U. S. Virgin Islands currently participate.  Through this program, NSF establishes partnerships with leaders in the state government, higher education and industry designed to effect lasting improvements in a jurisdiction's research infrastructure and its national R&D competitiveness.

Section 3(e) of the National Science Foundation (NSF) Act of 1950, as amended, states that: "...it shall be an objective of the Foundation to strengthen research and education in the sciences and engineering, including independent research by individuals, throughout the United States, and to avoid undue concentration of such research and education." Through its Congressional mandate, NSF promotes and advances scientific progress nationwide. However, in 1978, public concern about undue geographical concentration of federal funding of academic research and development (R&D) led Congress to further authorize NSF to conduct the Experimental Program to Stimulate Competitive Research (EPSCoR). These Congressional instructions, which established the Experimental Program to Stimulate Competitive Research, have been restated in subsequent Congressional authorizations of the Foundation's budget. Eligibility for EPSCoR participation is, therefore, restricted to those jurisdictions that have historically received lesser amounts of NSF R&D funding and have demonstrated a commitment to develop their research bases and to improve the quality of science, technology, engineering, and mathematics (STEM) research conducted at their universities and colleges. Twenty-four states, the Commonwealth of Puerto Rico and the U. S. Virgin Islands currently participate in the NSF EPSCoR program.  For the purposes of this solicitation, the word "state" includes all eligible jurisdictions.  (See section I, paragraph B, for additional EPSCoR eligibility information).

A. EPSCoR Mission

EPSCoR is based on the premise that universities and their faculty and students in science, technology, engineering and mathematics (STEM) fields are valuable resources that can have positive influences on a state's development in the twenty-first century in much the same way that agricultural, industrial and natural resources did during the twentieth century. EPSCoR's goal, therefore, is to identify, develop, and fully utilize a state's academic science and technology resources in ways that will support a more creative environment and productive way of life for its citizens. To achieve this end, NSF cooperates with state leaders in government, higher education, and business to support sustainable long-term partnerships in support of common objectives. These partnerships are designed to stimulate local action that will result in lasting improvements to the state's STEM research and educational infrastructure and thereby, increased national R&D competitiveness. 

EPSCoR increases the R&D competitiveness of an eligible state through the development and use of STEM resources residing in its research, educational, and industrial institutions.   While EPSCoR focuses primarily on those universities granting significant numbers of the state's Ph.D. degrees in STEM disciplines, effective partnerships between those universities and other institutions across the state (e. g., predominantly undergraduate universities and colleges, community colleges, and local school districts) are encouraged.

There is widespread agreement that our Nation’s continued leadership in science, technology, engineering and mathematics (STEM) and the corresponding economic prosperity that it creates require that all of its educational and private sector resources be fully employed.  Therefore, to ensure full participation of all our universities and colleges in our nation’s economic and scientific future, opportunities for research experiences that interest and prepare citizens for STEM careers are essential.  Such opportunities are especially true for institutions that have a major role in serving groups underrepresented in STEM careers (e.g., two-year colleges, large urban universities, and minority-serving institutions).

As a result of EPSCoR funding, it is expected that sustainable STEM infrastructure improvements at the state and institutional levels will be achieved, significantly increasing the movement of EPSCoR researchers into the mainstream of federal and private sector R&D support.  

B.  Criteria for Eligibility to Participate in NSF's Experimental Program to Stimulate Competitive Research (EPSCoR) Program

Eligibility to participate in the NSF EPSCoR program is based on the level of NSF research funding.  Each year, the NSF EPSCoR Office compiles summary data for the preceding three years of NSF research funding by state.  The data are reported by the NSF Office of Budget, Finance and Award Management and listed on the NSF's Budget Internet Information System.  These data and eligibility criteria for new jurisdictions can be found on the NSF EPSCoR website at www.ehr.nsf.gov/epscor.  Twenty-four states, the Commonwealth of Puerto Rico and the U. S. Virgin Islands currently participate in the NSF EPSCoR program.

Eligibility to participate in the current EPSCoR Research Infrastructure Improvement competition is restricted to those states that received 0.70% or less of the total NSF research funds to all sources within a state averaged over the three-year period. Adjustment is made in the rare instances where a single large NSF-funded national or international facility skews the data.  

Any currently participating EPSCoR state that does not meet the eligibility criteria for the Research Infrastructure Improvement competition will continue to be eligible for EPSCoR Co-Funding and EPSCoR Outreach (described below) for a period of three years.  In such cases, the NSF EPSCoR Office may provide limited financial support to maintain the statewide EPSCoR administrative structure.

C. EPSCoR Investment Strategy

EPSCoR’s investment portfolio is consistent with the Foundation’s Strategic Outcome Goals of PEOPLE, IDEAS, and TOOLS as described:  

• People - A diverse, competitive, and globally-engaged U.S. workforce of scientists, engineers, technologists and well-prepared citizens.
• Ideas - Discovery across the frontier of science and engineering, connected to learning, innovation and service to society.
• Tools - Broadly accessible, state-of-the-art S&E facilities, tools and other infrastructure that enable discovery, learning and innovation.

EPSCoR uses three major strategies to achieve its goal of improving the R&D competitiveness of the EPSCoR researchers and institutions: Co-funding, Outreach Travel Support for NSF staff, and Research Infrastructure Improvement.

1.      Co-Funding:   Joint support may be provided for certain meritorious proposals submitted to the Foundation's ongoing research and education programs and special competitions.  Co-funding is an internal NSF funding mechanism which does not involve any action on the part of the proposer.  EPSCoR Co-funding is a major NSF cross- directorate activity, applicable to programs in all Directorates, the Office of Integrative Activities, and the Office of Polar Programs.

2.      Outreach Travel Support:  Financial support is provided for outreach visits by NSF staff to acquaint the EPSCoR research community with NSF priorities, programs, and policies and to more fully acquaint NSF staff with the R&D resources and further potential  residing within EPSCoR states.

3.      Research Infrastructure Improvement Grants:  Research Infrastructure Improvement awards are 36 or 48 month grants of up to $9 million to support infrastructure improvements in research areas selected by the state's EPSCoR governing committee as having the best potential to strengthen to its future R&D competitiveness.   A 50% non-federal cost share, up to a maximum of $4.5 million over the term of the award is required.   Proposed cost share must not exceed 50% of the total requested funds for the project.

This solicitation describes the Research Infrastructure Improvement grant program and competition.  Further information on the Co-funding and Outreach Travel Support strategies can be found at www.ehr.nsf.gov/epscor under “Investment Strategy.“

II.  Program Description

The purpose of an EPSCoR Research Infrastructure Improvement grant is to provide support for lasting improvements in a state's academic research infrastructure and increased national competitiveness. EPSCoR support is intended to add specific value to the state's academic infrastructure not generally available through other funding sources.

Each state must name an EPSCoR governing committee to work closely with leaders in academe, government and the private sector.  The committee will identify potential R&D improvement strategies and activities that are most likely to advance the development of a nationally competitive academic R&D capability. 

The EPSCoR Research Infrastructure Improvement proposal must describe the strategy and implementation mechanisms to develop, expand, and use the science and technology resources that reside in the state's universities.  In preparation for submitting a proposal, the EPSCoR governing committee within each state is expected to have undertaken a comprehensive analysis of the strengths, barriers, and opportunities for development of its institutions in support of overall state objectives. Successful infrastructure improvement plans are likely to be those that represent the opportunities for enhanced academic R&D competitiveness among a state's universities, including plans for generation of sustained non-EPSCoR support. Most importantly, the state's infrastructure improvement strategy must identify implementation mechanisms that have a high probability of realizing stated goals and objectives. In all instances, specification of performance milestones and a timetable for achieving such milestones is a requirement for EPSCoR support.  With EPSCoR support, it is expected that the improvement strategies will enable targeted research areas to become nationally competitive and sustained by non-EPSCoR support after the award period.

It is important to note that a Research Infrastructure Improvement grant is NOT the appropriate mechanism to provide support for individual faculty research projects. Requests for support of such projects should be directed to NSF's regular research and educational grant programs. In addition, because EPSCoR investments are important to enhancing a state's competitiveness, it is expected that equipment purchased with EPSCoR funds will remain in the state and will not be transferred in the event that a Principal Investigator transfers to another state. 

Since the amount of NSF support that may be requested in an EPSCoR Research Infrastructure Improvement proposal is limited to a maximum of $9 million over a period of 36 or 48 months, a state with a current Research Infrastructure Improvement grant is not eligible to receive a second such award during the 36 or 48 month period following the effective date of the current grant. 

A. Examples of Infrastructure Improvements

Past EPSCoR experience indicates that infrastructure improvement strategies that sharply focus available fiscal and human resources on a limited number of research and educational areas and activities that are consistent with specified long-term institutional objectives are most successful.  EPSCoR strives for improvements that will significantly increase an institution's R&D competitiveness for large scale and cross-cutting competitions, such as Science & Technology Centers, Partnerships for Innovation, ADVANCE, Biocomplexity in the Environment, Information Technology, and Nano-Scale Science and Engineering Research.   In each instance, EPSCoR support of a proposed research improvement activity should not duplicate other available federal, state, or institutional resources and should add significant value to the existing situation.

Some examples of research infrastructure improvement activities that are consistent with NSF/EPSCoR program objectives are:

• Support for competitive levels of start-up funding for new faculty including "seed funding" of faculty research leading to the submission of competitive grant proposals; faculty exchange programs with major centers of research activity; acquisition of state-of-the-art research instrumentation that is unavailable through NSF's regular grant programs;
• Meaningful partnerships among EPSCoR colleges and universities; partnerships between EPSCoR colleges, universities and nationally recognized centers of R&D activity (e.g. federal and industrial R&D laboratories, NSF-sponsored research centers, and academic institutions with nationally-recognized research capabilities);
• Productive partnerships between the state's research universities and the private sector, especially those that increase linkages between EPSCoR researchers and their counterparts in research and/or technology based small businesses and increase the competitiveness of the jurisdiction's S&T entrepreneurial talent in competitions for federal Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) grant funding;
• Innovations in STEM education and human resource development that will expand student career options and facilitate the entry of members of underrepresented groups within the state (i.e. minorities, women and persons with disabilities) into S&T fields;
• Competitive support for the acquisition of equipment for research experiences and instruction by predominately undergraduate research institutions;
• Creation of graduate research training groups, or similar appropriate mechanisms that: integrate education and research; encourage multidisciplinary educational experiences; establish links with industry and national laboratories; and nurture a synergistic "corporate" educational and research responsibility;
• Development of nationally competitive high-performance computing and networking capabilities to strengthen and enrich the environment for research/educational collaborations;
• Establishment of region-based collaboratives that jointly create science and engineering knowledge that is applicable to significant issues of regional relevance and national importance;
• Mini-sabbaticals for EPSCoR researchers to existing research centers to gain experience in the research activities and administration of such facilities in the United States and abroad; funding to avail researchers of opportunities to enhance their research and education programs through international collaborations; support for creative means for reducing teaching loads to encourage faculty research and submission of competitive proposals.

To insure maximum impact of limited EPSCoR funds, NSF support should not duplicate or replace existing institutional, state, federal or private sector funding to maintain existing activities, however excellent they may be. EPSCoR funding should not be used as an alternative to research and instrumentation support available through NSF's regular grant programs and special competitions.  Requests for EPSCoR funding must: (1) add significant and measurable value to existing research capability in S&T areas of high institutional and state priority and (2) present a detailed strategy to generate subsequent sustained non-EPSCoR funding from federal, state, or private sector sources.

B. Eligible Activities

The NSF recognizes that local considerations strongly influence the scope and nature of EPSCoR activities within a state and therefore, NSF does not require that a set of specific activities be carried out as part of EPSCoR awards. However, all proposals for EPSCoR-supported projects must: 

• provide convincing background and rationale for the projects proposed; 
• adhere to EPSCoR objectives as decribed in this solicitation; 
• meet national standards of excellence, including persuasive evidence of the ability to produce demonstrable achievements within the award period;
• describe the plan to obtain subsequent non-EPSCoR support from federal, state, and/or private sector sources;
• demonstrate the value that the NSF EPSCoR support adds to the current R&D enterprise in the state and in its educational institutions; and,
• include a management plan which includes management team member roles/responsibilities and participation of the state governing committee in the project (as detailed in the section below on Project Description Requirements). 

Proposals requesting support for Research Infrastructure Improvement may include support for academic, state, profit and non-profit organizations, as well as individuals employed by such organizations both inside and outside the state. In addition, cooperative programs among research universities within or among EPSCoR states, or between a state's research universities and predominately undergraduate institutions, are eligible for EPSCoR support. In all cases however, Project Directors/Principal Investigators of proposed EPSCoR projects must be affiliated with research universities, agencies, or organizations within the participant state.  In addition, all activities carried out under an EPSCoR award are subject to the restrictions concerning eligible science, technology, engineering, and mathematics disciplines and activities detailed in the NSF Grant Proposal Guide found on the NSF website at  https://www.nsf.gov/cgi-bin/getpub?gpg.

Limit:   Only organizations located in states/jurisdictions which meet the EPSCoR criteria are eligible to submit a proposal to the Research Infrastructure Improvement Grant program.  The state's EPSCoR governing committee must designate a fiscal agent/proposing organization as the awardee for the Research Infrastructure Improvement grant.  Where possible, this should be the employing organization of the Project Director. 

  PI Eligibility Limit: None specified.

Limit on Number of Proposals: 1.  Only one Research Infrastructure Improvement proposal may be submitted in response to this solicitation by the designated fiscal agent/proposing organization, acting on behalf of a state's EPSCoR governing committee.

Anticipated Type of Award: Standard or Continuing Grant

Estimated Number of Awards:  Up to 4

Duration:  Award duration of up to 36 or 48 months

Anticipated Funding Amount: $12 Million in FY05 (pending availability of funds)

 Limitation of Awards:  

• RII award amount not to exceed $9 million over the 36 or 48 month duration.
• States with current Research Infrastructure Improvement (RII) grants are not eligible to receive second RII awards during the 36 or 48 month period following the effective date of the current grant.   Estimated program budget, number of awards and average award size/duration are subject to the availability of funds. 

The following instructions are specific to proposals submitted to the Research Infrastructure Improvement competition and supplement the NSF Grant Proposal Guide (GPG): 

• The state's EPSCoR governing committee shall designate a fiscal agent/proposing organization for the project. Where possible, this should be the employing organization of the Project Director.

PROJECT DESCRIPTION REQUIREMENTS

The proposal section labeled Project Description may not exceed 15 pages, including text, as well as any graphic or illustrative materials. The Project Description must include the following elements: 

1. The current status of the state's academic R&D enterprise, including a comprehensive analysis of the strengths, barriers, and opportunities for development of its research institutions in support of overall state R&D objectives. The proposal narrative should explain the relationship of the proposed activities with the state's science and technology plans and policies.

2. The proposed overall strategy and accompanying implementation mechanisms to improve the state's competitiveness for federal, state, and private sector R&D funding.

3. The specific S&T infrastructure improvement activities identified as being most likely to advance the state's future research competitiveness and their relationship to the development of nationally competitive research focus areas.

4. A description of planned outreach activities that will expand institutional participation, student career options and facilitate the entry of members of women, underrepresented groups and institutions within the state, into STEM fields.

5. A Management Plan.  The management plan is a critical component of the RII project.  The EPSCoR management team is responsible for implementing the proposed research infrastructure improvement activities and managing all aspects of the project.

Therefore, it is important that the project's management team be sufficient in number and level of effort to assume technical and administrative oversight of the project and accomplishment of project milestones.  In addition, it is expected that the EPSCoR management team will coordinate with other offices (e.g., sponsored research offices) to identify funding opportunities and facilitate outreach.  The management team must make optimal use of resources and respond to emerging opportunities as they develop.  The management team is also responsible for enhancing public understanding about the importance of the role of science in service to society. 

The management plan must contain the following:

• Project monitoring and assessment:  milestones and a timetable for achieving state and institutional EPSCoR objectives and the plan and criteria for monitoring and evaluating program effectiveness.
• EPSCoR governing committee:  committee composition and its role in project governance, including specific management responsibilities.
• EPSCoR management team:  the role and responsibilities of the Project Director (and Co-Directors), administrative support personnel and other team members.
• Funding strategy:  a strategy, including milestones for obtaining non-EPSCoR funding from federal, state, and/or private sources to sustain EPSCoR-initiated infrastructure improvements.
• Outreach strategy:  a strategy for broadening the participation of institutions, women, and underrepresented groups in the activities of the project.  Examples of support include faculty and student exchanges, summer research experiences for high school students and undergraduates, undergraduate research equipment grant programs, and curriculum development.
• Technical assistance and evaluation plan:  A plan to ensure that adequate scientific, technical, and management expertise and assistance are available.  In addition, proposers should plan for review and evaluation of RII activities by a diverse group of external experts during the award period.  Technical assistance may include, but is not necessarily limited to:  (1) assisting with planning of proposals to be submitted to major NSF grant competitions; (2) developing frameworks for university-industry-government collaboration; (3) bringing experts to an institution/state in a mentoring capacity, either individually or in a workshop context. 

Funding request must be for a total of up to $9 million with an award duration of up to 36 or 48 months.   Annual budgets for NSF support should not exceed $3 million.

Cost sharing at a level of 50 percent (up to $4.5 million) of the requested total amount (up to $9 million) of NSF funds is required for all proposals submitted in response to this solicitation. 

Budgets should include sufficient funding for annual state EPSCoR conferences.

July 19, 2004

Annual cost-sharing certifications and reporting through the FastLane system are required.

The annual and final reports must include identification of numbers of women and members of other underrepresented groups in faculty and staff positions and as participants in the activities funded by the award. See Special Award Condition above.