Science and Technology Centers: Integrative Partnerships

The Science and Technology Centers (STC): Integrative Partnerships program enables innovative research and education projects of national importance that require a Center mode of support to achieve the research, education, and knowledge-transfer goals shared by the partners. STCs conduct world-class research in partnerships among academic institutions, national laboratories, industrial organizations, and/or other public/private entities to create new and meaningful knowledge of significant benefit to society.

Science and Technology Centers build intellectual and physical infrastructures within and between disciplines, and bring together the creation, integration, and transfer of new knowledge. STCs nurture and foster education by integrating education with research, and by creating bonds between learning and inquiry so that discovery and creativity more fully support the learning process. STCs demonstrate leadership to increase diversity by including all members of society regardless of race, ethnicity or gender in science and engineering in all aspects of the Center's activities. 

Centers offer the research and engineering community an effective mechanism to undertake long-term scientific and technological research and education activities; to explore better and more effective ways to educate students, and to develop mechanisms to ensure the timely transition of research and education advances made into service in society.  STC proposals are encouraged for high quality innovative research projects that undertake important investigations at the interfaces of disciplines, and/or fresh approaches within disciplines. The STC program invests federal funds in areas consistent with the goals of the NSF Strategic Plan to enable the Nation's future through discovery, learning and innovation.

To date, a total of four competitions have been held to establish NSF Science and Technology Centers.  The first two competitions, one in the late 1980s and one in the early 1990s, led to the establishment of 25 Science and Technology Centers that subsequently graduated from NSF support.  A third competition for Science and Technology Centers: Ingegrative Partnerships culminated in 1999 with the National Science Board's approval to award five new Centers.  A subsequent fourth competition resulted in an additional six new Centers in late 2002, for a total of 11 Science and Technology Centers, currently. 

The Science and Technology Centers: Integrative Partnerships - Concept

The Science and Technology Centers (STC): Integrative Partnerships Program supports innovative research and education projects of national importance that promise to contribute to the Nation's future through discovery, learning and innovation. STCs conduct world-class research through partnerships of academic institutions with organizations such as national laboratories, industrial organizations, and/or other public/private organizations to create new and meaningful knowledge and long-term benefit to society. STC partnerships build intellectual and physical infrastructures within and between disciplines, weaving together the creation, integration, and transfer of new knowledge. STC partner institutions work together with the lead institution as an integrated whole to achieve the shared research, education, and knowledge-transfer goals of the Center.  STCs exploit those opportunities in science, engineering and technology, where the complexity of the research agenda requires the duration, scope, scale, flexibility, and facilities that Center support can provide.

STCs foster excellence in education and integrate the Center's research programs with education. STCs provide a rich environment for encouraging future scientists, engineers, and educators to take risks in pursuing discoveries and new knowledge. STCs demonstrate leadership in the involvement of diverse groups underrepresented in science and engineering: STCs capitalize on diversity and broaden the participation of underrepresented groups in science and engineering in the Center by involving all members of society regardless of race, ethnicity or gender, directly in all Center activities.  

The objectives of the STC Program are to:

• Support research and education of the highest quality;

• Exploit opportunities in science, engineering and technology where the complexity of the research agenda requires the advantages of scope, scale, change, duration, equipment and facilities that a Center can provide;

• Support innovative frontier investigations at the interfaces of disciplines, and/or fresh approaches within disciplines;

• Engage the Nation's intellectual talent, robustly drawn from its full human diversity, in the conduct of research and education activities;

• Promote organizational connections and linkages within and between campuses, schools and/or the world beyond (state, local, federal agencies, national labs, industry, international collaborations);

• Focus on integrative learning and discovery and the preparation of U.S. students for a broad set of career paths; and

• Foster science and engineering in service to society especially with respect to new research areas, promising new instrumentation and potential new technologies.

Science and Technology Center Features

The Center partners share an ambitious research vision or theme of national importance that integrates research and education and is of sufficient scale to justify the Center mode of support. The Center's research area or theme may involve any area of research supported by the Foundation. The role of each partner in achieving the goals of the Center is essential to the success of the unified Center. STCs vary in size and exhibit diverse forms of organization, participation, and operation suited to the needs of the individual Center activities. The size, structure, and operation of an STC are determined by the proposed research, education, and knowledge transfer activities. Not every partner must support every aspect of the Center's activity, but all the expected features of a Center must be accomplished by the integrated portfolio of partners.

Each Center has dedicated full-time leaders in key positions who are responsible for Center direction, management, education, and knowledge transfer. Center management and education positions require full-time personnel supported through the Center budget.

The STC program seeks to support education directed to the development of students and faculty to achieve a diverse, internationally competitive and globally engaged workforce of scientists, engineers, and well-prepared citizens. Each STC integrates the research activities with the education of the Center students in a form that depends upon the context of the Center, its partner, and the particular disciplines participating in the conduct of research. For STCs, integrating research and education requires the ability to develop effective educational programs that will broaden the career paths of American students and will attract more Americans into graduate studies. STC education goals address the educational needs of students participating in the Center research activities, and of students in the broader fields of research represented by the STC activities. The Center may involve other college and pre-college students, faculty and teachers as appropriate for the Center goals.  STCs also establish knowledge transfer activities appropriate for the specific Center research activities and partners.

Increasing the participation of diverse U.S. citizens including women and underrepresented minorities by creating opportunities and enabling them to contribute 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 activities it considers and supports. Underrepresented minorities include persons with disabilities and people whose representation in science and engineering is less than their representation in the population: blacks, Hispanics, and Native Americans, including American Indians, Alaskan Natives and Pacific Islanders. To achieve their diversity objectives, STCs strive to involve individuals from underrepresented groups as members of the Center faculty, and as students actively engaged in the Center activities. An STC may also choose to form substantive and long-term partnerships and collaborations with minority-serving institutions.

Education and human resource development as conducted by Centers is directed both to formal education through research and coursework and to supplemental education through internships, summer programs, workshops, recruitment and retention programs, and other such activities beyond the formal classroom.  For STCs, developing human resources also requires the ability to increase student and faculty participation by U.S. citizens in research and education, particularly women and underrepresented minorities.

STCs foster a climate of interaction and effective knowledge transfer both among departments across the lead academic institution and among the academic institution and its partners, and may include industry, government, colleges, local communities and the public. Knowledge transfer activities involve the mutual exchange of scientific information between the Center partners and others with the objective of applying the knowledge to the operations or activities of the groups sharing the information. Knowledge transfer may be accomplished in various ways, including the involvement of industrial or other non-academic specialists on the STC advisory committee, partnerships with these institutions, faculty consulting relationships with industry, visiting instructorships by industrial scientists at the STC, student internships in industry, etc. Knowledge transfer is about spreading and utilizing knowledge in society broadly through all sectors, and sharing resources to further the production and utilization of new knowledge.

Each Center must: 

• Be based in an academic institution;

• Be directed by a science or engineering faculty member and be integrated into academic programs;

• Reflect a commitment to achieving strategic goals shared by the lead and partnering institutions as demonstrated by cost sharing and other institutional commitments;

• Provide research and education opportunities for U.S. students and faculty that will achieve outcomes consonant with the Center's goals;

• Have significant intellectual exchange and resource linkages among various types of institutions and organizations to facilitate knowledge transfer (e.g., schools; colleges and universities such as minority-serving institutions, community colleges, EPSCoR institutions, and others; nonprofit organizations; national laboratories; industry; federal, state, and local governments);

• Include industrial, national or international internships or other career broadening experiences as appropriate to the research area;

• Have an annual budget ranging from $1.5M to $4.0M of NSF support;

• Demonstrate appropriate leadership and management for the Center programs;

• Convene an External Advisory Committee annually; and

• Participate in the National Network of STC Directors.

Center Leadership, Management, and Oversight

The Center Director must have the leadership capacity to develop and lead a diverse team to fulfill the vision of the Center. The Center-financed team must support the Director in his/her role and take responsibility for management, education and knowledge transfer. The Center Director may choose to direct the research or may choose to delegate responsibilities to selected research leaders. The key members of the Center team must demonstrate adequate management experience and qualities to administer their component of the Center. The Center team must develop an organizational plan to share responsibilities as appropriate.

The Center Director is responsible for the management, staffing, and resource allocation of the Center, for administering the award in accordance with NSF policies and the terms of the Cooperative Agreement, and for serving as the liaison between the Center and the National Network of STC Directors. The Center Director must assure that the STC develops the ability to communicate with the NSF and the other STCs electronically, including web-based distribution of information and videoconferencing capability. 

In addition, the Center will maintain and convene annually an External Advisory Committee (EAC). The function of the EAC is to provide guidance, advice, and oversight for all the Center's activities, consistent with its vision, goals, and objectives. The EAC membership is subject to NSF review and must include representation from those served by the Center (e.g., academic institutions, industry, state and local agencies, national laboratories), and include women and underrepresented minorities. The EAC membership must also include representation having the capability to assess all aspects of the project including the management, research, education, and knowledge transfer components. Individuals with a financial, institutional, or collaborative connection to the Center may not serve as members of the external advisory committee. The EAC shall develop a charter and submit it with the first annual progress report.

National Network of STC Directors

The STC Directors will serve collectively as members of a national liaison team for the STC Program. This National Network of STC Directors is charged with addressing common goals, problems and opportunities, and facilitating personnel and resource exchanges as well as integrating partnerships and cooperation among Centers. The STC Directors are responsible for developing, implementing, and maintaining a liaison structure with active participation of each Center. A chair of this liaison team will be elected annually by participating members and will serve a one-year term.

Typical functions of the National Network of STC Directors include: fostering complementarity and balance among research, education and knowledge transfer activities, and avoidance of duplication of effort; facilitating interactions to address research, education, and management issues and opportunities which transcend individual Center capabilities; liaison with private sector, state, local and national laboratories to identify needs/opportunities and to plan joint implementation strategies, workshops, and other forums; cooperation and liaison with NSF staff in the development and maintenance of databases and other effective metrics in response to the requirements of the Government Performance and Results Act; and preparing documents or web sites to enhance public understanding concerning the importance of science, engineering, technology and education advances in service to society.

Preliminary proposals and invited full proposals may be submitted by U.S. academic institutions in the U.S. that have significant research and degree-granting education programs in any area of science and engineering normally supported by NSF. 

A single institution may submit no more than five preliminary proposals as lead institution, but may be involved as a partner in additional preliminary proposals submitted by other institutions. Each proposal must demonstrate the institutional commitment to the area proposed. The STC Program will not normally site visit more than one proposed Center from any one lead institution in this competition, and will not normally provide simultaneous support for more than one STC led by any one institution from this competition.

For eligibility purposes, cost sharing at a level of 30% of the requested total amount of NSF funds (no more, no less) is required for all preliminary and full proposals submitted in response to this solicitation. Cost sharing will be required at a level of 30% of the total amount provided by NSF for any STC funded by NSF. Proposed STC annual budgets may range from $1.5M to $4.0M per year of NSF support.  Preliminary proposals and full proposals outside this range will not be reviewed or considered for support by the STC program.

Proposals are encouraged for innovative frontier research investigations at the interfaces of disciplines, and/or fresh approaches within disciplines, where partners work together to achieve the integration of research and education and knowledge transfer. A partner is an institution or organization that invests intellectual resources in the Center, backed by financial commitment to the Center. Partnerships may include multi-institutional collaborations or arrangements with other universities/colleges, national laboratories, research museums, private sector research laboratories, state and local government laboratories, and international collaborations. 

One of the partner institutions must accept overall management and budgetary responsibility for the proposed Center and is thus designated as the lead institution. The lead institution has ultimate responsibility for planning, operating, and managing the Center. Proposals must describe the essential role of each partner institution and explain the contribution of each partner to the integrated research, education and knowledge transfer goals of the Center as well as the functions and management of the Center. Proposals must contain a management plan which describes how the partner institutions will be administered and how each will participate in Center activities. 

Past STCs or group members from Centers may participate in this open competition, but must propose to focus on radically different research and education topics or themes from those they were pursuing with prior NSF support. To be radically different, the proposers must focus on a different research topic and different education issues, not simply extend the methods and intent of the past STC to a slightly larger purview or a new geographic area. 

The STC Program complements the NSF Engineering Research Centers (ERC), the Materials Research Science and Engineering Centers (MRSEC), the Nanoscale Science and Engineering Centers program, and other programs that support group research and education activities. Simultaneous submission of duplicate or substantially similar proposals to other NSF programs is not permitted, and such proposals will not be considered. However, participation in a Center does not preclude individuals from receiving NSF support for their individual research in complementary areas.

Approximately $30 million is expected to be available for this competition in FY 2005, pending availability of funds. Depending upon the availability of funds, NSF expects to make six to eight awards. Each award will be made as a Cooperative Agreement to the lead institution, with an initial commitment for five years of support and a potential duration of ten years. The amount of the NSF's investment in each Center will depend upon the needs, plans, and opportunities offered by the Center, as well as the availability of NSF funds. Awards from this competition are expected to commence in June/July 2005. 

Oversight of each individual STC is the responsibility of the appropriate NSF research directorate in coordination with the Office of Integrative Activities (OIA). Support for each year of the Cooperative Agreement of a funded STC will be contingent upon a satisfactory annual review by NSF of the Center's progress and future plans. Review by NSF will take place annually during the first five years.

Each Center will undergo an in-depth review in the fourth year to determine whether NSF will continue to support full Center operations for another five-year period or will provide decreased funding to phase out NSF support of the Center over the remaining one year of the Cooperative Agreement. In the fourth year of operation the STC may submit a renewal proposal for continued support. The STC's achievements and future plans will be evaluated comprehensively to determine if the STC is meeting the goals and objectives as originally proposed as well as the goals and objectives of the STC Program. The review will consist of an ad hoc mail review, and a formal on-site review, with external reviewers who will produce a written report to NSF. Centers successful in passing the fourth-year review will be renewed for another five years, commencing at the beginning of the sixth year. The Cooperative Agreement will include a two-year phase-out period for years nine and ten. Centers that pass the fourth-year review will continue to be reviewed by NSF at least every 18 months. Centers that do not pass the fourth year review will be phased-out over a one-year period at a reduced level of support. The NSF may support an STC for a maximum of ten years.

Preliminary proposals are to be submitted electronically via the NSF FastLane system. When preparing a preliminary proposal for this competition, proposers are advised to review the Program Description and the Proposal Review Information found in this solicitation for general information pertinent to this program. Required preliminary proposal components are given below. Strict adherence to page limitations given in this document must be followed. Descriptions should be clear and concise. Proposers should review the most current NSF Grant Proposal Guide (GPG) for specific information on signatures and format for the required sections. Proposers are also encouraged to access the STC web site for updated information and answers to frequently asked questions (FAQ's) relevant to this competition: https://www.nsf.gov/od/oia/programs/stc/2003.

Preliminary Proposal Contents

The NSF GPG describes single copy documents that are to be submitted via FastLane.  For preliminary proposals these documents include:

Required Sections of the Preliminary Proposal

The preliminary proposal items allowed will consist only of the main documents and supplementary documents described in Sections (1)-(10) below. 

(1)  Cover Sheet. For planning purposes, June 15, 2005, should be shown as the start date. The proposed Center Director must be shown as as the Principal Investigator.

(2)  Project Summary(up to 2 pages). The summary should be written in the third person and should provide a rationale for a Center, describe the unique opportunities to be provided by the Center, and indicate the potential national impact of the Center. The summary should be informative to other persons working in the same or related fields and, insofar as possible, understandable to a scientifically or technically literate lay reader. Provide a clear description of the proposed Center, its vision, mission, and goals, its distinguishing features and focus. Describe the value added of funding the activity as a Center. State the long-range plans for the proposed research and education areas, indicate how the research and education are to be integrated, provide the knowledge transfer strategy of the Center, and state the diversity goals of the Center. The names of the partner institutions involved with the proposed Center and the major contribution of each to the Center components must be included in the description. The merit review criteria must be addressed in separate statements (see GPG for additional instructions). 

(3)  Table of Contents.

(4)  Project Description.  The Project Description must contain Sections (4.a) through (4.d), and is limited to 10 pages including tables and illustrations regardless of the number of research groups or themes. URL's may not be used (see GPG for additional information). The broader impacts resulting from the proposed project must be addressed and described as an integral part of the narrative.  Results from Prior NSF Support should not be included in the Project Description.

(5)  Budget (see GPG). Provide a one-page budget for the full 5 year period (this should be entered in Budget Year 1 in FastLane). The proposed budget should be consistent with the needs and complexity of the proposed activity. Details of the budget justification should provide some information for each year of the full five-year period, showing how funds will be allocated to the research, education and knowledge transfer areas during the start-up phase, and major equipment that will be required. Cost sharing at a level of 30% ( no more, no less) of the requested total amount of NSF funds is required. The proposed cost sharing must be shown on line M of the preliminary proposal budget as follows: the lead institution budget should show the total cost sharing (cash and in-kind) from all sources, including all subawardees, on line M. In the budget justification (up to three pages), itemize by source and amount the cash and in-kind cost sharing reported on line M.

(6)  References Cited (two-page limit). See NSF GPG instructions. 

(7)  Biographical Sketches (two-page limit per person).  Biographical sketches are required for all personnel who have a role in the management, research, education, and knowledge transfer components of the Center. Use instructions from NSF GPG sections II.C.2.f.  Copies of publications should not be included or sent to NSF.

Special Information and Required Supplementary Documents (Sections 8-10): (Required information to be entered in the Supplementary Documents section of FastLane)

(8)  Lists of  Partner Institutions and Project Personnel. Provide current, accurate information for the two required lists described below. This information provides NSF and reviewers with a comprehensive list of personnel and institutions involved in the STC, and is used when determining conflicts of interest in the review process.  Lists (8.a) and (8.b) must be included in the preliminary proposal.  

(9)  Projected Funding by Source (one-page limit).  Provide a synopsis of institutional commitments to resources and funding for the proposed Center.  If appropriate, indicate facilities or major instrumentation to be shared.

(10)  Results of Prior Support for PI and CO-PI's (2 pages).  Provide information only for the PI and each co-PI, for contributions to the development of human resources in science and engineering over the past five years (from any funding source).  Include a brief statement of results of funded projects. 

Required Information to be submitted to NSF via the FastLane Single Copy Documents Section (Section 11). 

The information to be entered in Section 11 should be entered as a separate Single Copy document.

(11) The information to be entered in Sections 11 (a) and (b) is required by NSF when determining conflicts of interest in the review process. The information includes the names of Project Personnel, the names of Collaborators and other Individuals with Conflicts.  The information for 11 (a) and 11 (b) should be entered in the Single Copy Document section of FastLane "List of Personnel, Collaborators and Affiliates".

(11.a)  Project Personnel. This is the same information as entered in Section (8.b).

(11.b)  Collaborators/Individuals with Conflicts of Interest.   Provide the names of all persons, participants and affiliates with potential conflicts of interest as specified in Section II.C.2.f.v.a-c. of the NSF GPG. For each person, enter the first name, last name, and institution/organization.  For each person listed on the project personnel list include all co-authors/editors and collaborators (within the past 48 months); list all graduate advisors and advisees; list individuals who would act as external advisory committee members for the proposed Center; list all subcontractors who would receive funds through the Center. 

No other items or appendices are to be included. Information pertaining to "Current and Pending Support", and "Facilities, Equipment and Other Resources" is not required for preliminary proposals and should not be included. Preliminary proposals containing items other than those required above will not be reviewed or considered for NSF funding.

Proposed STC annual budgets may range from $1.5M to $4.0M per year of NSF support. Preliminary proposals and full proposals outside this range will be ineligible and will not be reviewed or considered for support.

For eligibility purposes, cost sharing at a level of 30% of the requested total amount of NSF funds (no more, no less) is required for all preliminary and full proposals submitted in response to this solicitation. Cost sharing will be required at a level of 30% of the total amount provided by NSF (no more, no less) for any STC funded by NSF. Preliminary proposals and full proposals without the required amount of cost sharing will be ineligible and will not be reviewed or considered for funding.

The lead institution of the STC is responsible for the full cost sharing required.  The full cost shared amount may be derived from any number of non-federal sources, but the lead institution must ultimately certify that the full amount is available. The preliminary and full proposal must provide details showing all sources and amounts of cost sharing. The cost sharing must be described in the proposal in sufficient detail to allow NSF to determine its impact on the proposed project. The core budget for the Center is expected to include support for all research, education, and knowledge transfer activities including, if proposed, those for undergraduate students and for teachers.

Letters of commitment or general support may not be submitted.