Directorate for Engineering

1. Engineering Educationand Centers EPSCoR “Developing NSF Centers” Conference Lexington, KY March 23, 2001 Bruce M. Kramer Division Director Engineering Education and Centers Division bkramer@nsf.gov (703)292-5348 http://www.eng.nsf/eec Engineering Education and Centers Directorate for Engineering

2. Driving Forces for Creation of NSFEngineering Research Centers Program* • U.S. industry under threat from foreign competitors despite leading scientific excellence • Globalization of industry and markets • Disconnect between academe and industry • Academic engineering has lost its focus on systems, integration, and engineering practice • Graduates take too long to be productive in industry * ERC Program initiated in 1985 at recommendation of the National Academy of Engineering and industry

3. Goals of the Engineering Research Centers Program • Develop centers to integrate disciplines, research and education to produce next-generation innovations in engineered systems • Develop new generations of engineers, more effective in industry, better positioned to lead in a global economy • Develop partnerships between academe, industry, and government to strengthen the competitiveness of industry and the Nation

4. Key Features of an ERC • Strategic vision for advances in a next-generation engineered systemand new generation of engineering leaders in a global economy; • Strategic plan to focus and integrate the ERC to deliver; • Research synthesizes engineering, science, and other disciplines, from discovery to proof-of-concept at the systems level; • Education programintegrating research & education producing new team culture and curriculum innovations; • Partnership with industrystrengthens the ERC and achieves a more effective flow of knowledge into innovation to benefit the Nation; • Strongleadership;cohesive interdisciplinary team; diverse in gender, race, and ethnicity; infrastructure of space, experimental equipment ; • Dynamic, flexible program for outreachinvolving faculty and students from other universities and colleges; • A commitment from the academic, industrial, and other partners to substantially leverageNSF’s funds and sustain the ERC

5. An NSF Engineering Research Center A Complex, Interdependent System Research Leadership & Management Students, Faculty & Staff Graduates Knowledge Technology Vision & Strategic Plan Education Industrial Collaboration Industry/ Users Funds, Equipment, Facilities

6. Interface with environment/marketplace in which system will be used Deliverable Deliverable Testbed Systems Research Systems Research Research Iteration Deliverable System Requirements Deliverable Testbed Research Iteration Deliverable Fundamental Research Fundamental Research Fundamental Research Deliverable ERC Strategic Concept Systems Plane (Starting Point): Testbed Enabling Technology Plane Enabling Tech. Research Enabling Tech. Research Fundamental Science Plane

7. Effectiveness of the ERC Model • ERCs successfully integrate disciplines to produce numerous advances in knowledge, enabling and systems-level technology • ERCs have produced a wide range of courses, course materials, and degree programs/options advancing education in next-generation fields of technology • ERCs have produced students whom 90% of their supervisors in industry find more effective in carrying out their responsibilities than their single-investigator trained peers • ERCs have provided benefit to 90% of their industrial partners and impacted the competitiveness of 68% of them

8. Life Span of an ERC under NSF Support Sixth-year Renewal Review Third-Year Renewal Review Years One - Three Years Four - Six Two-Year Phase-Down If Terminated Years 9 & 10, Phase Down 1/3 of prior budget year Year 1 Year 3 Year 6 Year 10 Award One - Five Years Award Three - Four Years, Starting in Year Seven Award Two - Five Years, Starting in Year Four

9. ERC Program Management Strategies to Achieve Program Goals • ERC Key Features drive the ERC Competitions, pre-award review and post-award oversight through evaluation criteria • Post-award oversight by a lead ERC PD(EEC & other Divisions) and a small team of other NSF PDs; • Developmental post-award review process, using peer review through site visits to determine strengths and weaknesses and suggest improvements; • Information on performance comes from annual reports/renewal proposals and data submitted to the ERC Program’s data base of indicators of performance; • Renewal reviews in 3rd & 6th years to cull out weak ERCs • Strategic planning required to focus an ERC’s resources to its goals

10. Assistance Provided to ERCs in Achieving Program Goals • Evaluation criteria and reporting guidelines; • Start-up briefings by NSF and visits by experienced staff from other ERCs; • Annual Meetings to develop sharing across ERCs on means to achieve goals; • Best Practices “Manual” on WWW (http://www.erc-assoc.org/); • Periodic meetings with ERCs’ industrial partners at NSF; • SWOT* analysis approach by site teams, industrial partners and students for continuous improvement; • Program level evaluations by outside contractors. *SWOT=Strengths, Weaknesses, Opportunities, and Threats to Survival

11. I/UCRC Proposal Process • Concept Paper • Planning Grant • I/UCRC Operational Grant

12. I/UCRC Budget by Year $ millions

13. Total Funding by Source and Year $ millions Note: Data prior to 1985 based on NSF records. CD figures for ‘87 and ‘88 have been adjusted: Capital dollars have been removed. CD figures 1980-1996 have been adjusted to reflect total dollars from direct dollars.

14. Industrial Memberships by Year Total Number of Members Average Number of Members per Center

15. I/UCRC Concept Paper • 8 pages or less1. Industry’s Research Needs 2. University (s) Capabilities 3. Envisioned Research 4. Center Management and Policies • At least 6 Company Letters of Interest • NSF internal evaluation within 3 months

16. I/UCRC Planning Grant • Utilize NSF Grant Proposal Guide • Format1. Introduction 2. Envisioned I/UCRC Structure and Policies 3. Research Agenda Envisioned 4. Planning Work Statement and Industry/University Meeting Agenda • $10K Budget • Competitive Review

17. I/UCRC Operational Grant • Proposal for 5 Year Continuing Grant • Decision Criteria1. Research Program 2. Industry Membership Support 3. University/Industry Agreement 4. University Support • Peer Review

18. I/UCRC Funding • First five-year award: $70,000 annually per institution receiving at least $300,000 cash membership fees. • Second five-year award: $35,000 annually per institution receiving at least $300,000 cash membership fees. • Second Decade - Centers can compete for continued NSF funding - must have substantially new intellectual substance.

19. Multi-University Centers • Partner Site: - Minimum $150,000/year Center membership fees - Can Request up to $50,000/year from NSF • Affiliate Site: - Minimum $75,000/year Center membership fees - Can request up to $25,000/year from NSF • Host Site: - NSF will cover cost of extra administrative burden

20. Single and Multi-Site Centers by Year

21. New I/UCRC Announcement