The Science and Technology Centers Program: An Overview by Margaret E. M. Tolbert, Ph.D. Senior...

The Science and Technology Centers Program: An Overview

by

Margaret E. M. Tolbert, Ph.D.Senior Advisor

Office of Integrative ActivitiesNational Science Foundation

Arlington, VA 22230

February 23, 2008

QEM WorkshopRenaissance Mayflower Hotel

Washington, DC 20036

The Science and Technology Centers (STC): Integrative Partnerships Program

This presentation is based on the STC Program solicitation of 2003 (NSF 03-550).

Plans are being made by NSF to issue a program solicitation in May or June 2008 for the next STC competition. Information on the STC program was included in the NSF Director’s budget rollout presentation (http://www.nsf.gov/news/speeches/bement/08/alb080204_budget.jsp) , which was held on February 4th at NSF.)

Synopsis of STC Program from NSF 03-550

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.

Synopsis of STC Program from NSF 03-550 Continued

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.

Synopsis of STC Program Continued

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.

Governing Responsibilities

from the STC Cooperative Agreement

Increasing participation of and providing research and educational opportunities first to United States citizens, nationals, and lawfully admitted permanent residents, especially women and members of under-represented groups who are undergraduate and graduate students, postdoctoral researchers, industrial fellows, faculty members from all colleges and universities, and others in the activities of the STC and STC sub awardees; encouraging them to pursue careers in science and engineering; identifying actions that will enhance and ensure ethnic/racial diversity throughout the life of the STC;

Governing Responsibilities from the STC Cooperative Agreement continued

Assuring that a robust and substantive plan is in place for diversity of STC staff and participants at the Lead Institutions and partner sites

(Attention must be paid to diversity in filling administrative/management, research, and education positions of the STC at the senior as well as at lower levels.)

Transformative Research

In September 2007, the Director of NSF sent Important Notice Number 130 to Presidents of Universities and Colleges and Heads of Other NSF Awardee Organizations. In this notice, he advised of a change in one of the two NSF merit review criteria—Intellectual Merit.

Transformative Research Continued

Specifically, the review criterion was revised, in part, to direct applicants to consider “To what extent does the proposed activity suggest and explore creative, original, or potentially transformative concepts?” Effective October 1, 2007, the Grant Proposal Guide and new funding opportunities will incorporate this new criterion into proposal reviews. All proposals received after January 5, 2008 will be reviewed under the criterion.

Transformative Research & the Intellectual Merit Criterion

What is the intellectual merit of the proposed activity?

How important is the proposed activity to advancing knowledge and understanding within its own field or across different fields? How well qualified is the proposer (individual or team) to conduct the project? (If appropriate, the reviewer will comment on the quality of prior work.) To what extent does the proposed activity suggest and explore creative, original, or potentially transformative concepts? How well conceived and organized is the proposed activity? Is there sufficient access to resources?

NSF BROADER IMPACTS CRITERION

WHAT ARE THE BROADER IMPACTS OF THE PROPOSED ACTIVITY?

How well does the activity advance discovery and understanding while promoting teaching, training and learning?

How well does the proposed activity broaden the participation of under-represented groups (e.g., gender, ethnicity, disability, geographic, etc.)?

To what extent will it enhance the infrastructure for research and education, such as facilities, instrumentation, networks and partnerships?

Will the results be disseminated broadly to enhance scientific and technological understanding?

What may be the benefits of the proposed activity to society?

Research Topics of the Seventeen STCs

Remote Sensing of Ice Sheets Earth-surface Dynamics Coastal Margin Observation &

Prediction Multi-Scale Modeling of

Atmospheric Processes Microbial Oceanography Advanced Materials for Water

Purification Environmentally Responsible

Solvents and Processes Sustainability of semi-Arid

Hydrology and Riparian Areas

Layered Polymeric Systems Behavioral Neuroscience Ubiquitous Secure Technology Integrated Space Weather

Modeling Biophotonics Embedded Networked Sensing Materials and Devices for

Information Technology Research

Adaptive Optics Nanobiotechnology

National Network of STC Directors— Membership

STC Directors will serve as members of a national liaison team for the STC Program.

The Directors are responsible for developing, implementing, and maintaining a liaison structure with active participation of each Center.

Annually a chair of this network will be elected by participating members and will serve a one-year term.

National Network of STC Directors — Charge

This network is charged with: addressing common goals,

problems and opportunities facilitating personnel and resource

exchanges facilitating integrated partnerships

and cooperation among Centers.

National Network of STC Directors — Functions I

Fostering complementarity and balance among research, education and knowledge transfer activities, and avoidance of duplication of effort; and

Facilitating interactions to address research, education, and management issues and opportunities which transcend individual Center capabilities.

National Network of STC Directors — Functions II

Liaison with private sector, state, local and national laboratories to identify needs/opportunities and to plan joint implementation strategies, workshops, and the like

Cooperation and liaison with NSF staff in the development and maintenance of databases and other effective metrics in response to GPRA requirements

National Network of STC

Directors — Functions III

Preparing documents to enhance public understanding about the importance of science, engineering, technology and education advances in service to society

NSF Research Center Educators Network (NRCEN)

NRCEN facilitates productive exchanges between NSF

Research Center education directors, and between this group and the NSF itself;

Identifies innovative models for solving education challenges common to NSF Research Centers;

Identifies several priority issues that are of concern to all NSF Research Centers, and possible next steps to be taken by NRCEN; and

Determines mechanisms and strategies that NRCEN could employ to benefit NSF Research Center education programs and/or enhance the effectiveness of education directors.

NSF Efforts to Broaden Participation in STCs

One-Time STC Supplement QEM Program HACU Program Science Diversity Center at JSU GEM Funding Provided & Requirements

in the STC Solicitation

STCs Funded in FY 2005 & FY 2006

Awardees

Case Western Reserve UniversitySTC: Layered Polymeric Systems

Colorado State University STC: Multi-Scale Modeling of Atmospheric Processes

Oregon Health and Sciences University STC: Coastal Margin Observation and Prediction

University of California at Berkeley STC: Ubiquitous Secure Technology

University of Hawaii STC: Microbial Oceanography

University of Kansas STC: Remote Sensing of Ice Sheets

STC Strategic Planning and Implementation

Strategic planning is a management tool used to maximize and ensure the successful outcomes of long-term organizational goals or initiatives

Strategic Planning for STCs: What is it?

Information Source: Technologies, Inc.

Nine Basic Elements

Nine basic elements of a strategic plan should be

applied to prospective Science & TechnologyCenters.

◦ Vision ◦ Strategies◦ Mission ◦ Implementation Plan◦ Analysis ◦ Metrics◦ Goals/Objectives ◦Resources

◦ Management

Technologies, Inc.Information Source:

A statement that describes the ultimate aim of the proposed initiative and how the world will be changed as a result of the initiative. It must be stated clearly and have a sense of urgency and excitement for stakeholders and potentially interested persons.

Vision

Information Source:

Technologies, Inc.

Statement of the overall focus of an initiative. It should be unambiguous and include the driving rationale for the initiative.

Mission

Information Source:

Technologies, Inc.

Describes the strengths, weaknesses, opportunities and threats (SWOT) that are involved in or may impact an initiative. This analysis is essential for the strategies and adaptability of the plan, and is critical to the overall success of the strategic plan.

Information Source:

Technologies, Inc.

Situational Analysis

Goals are the guiding aims of an initiative.

The goals must be stated succinctly.

Objectives are statements that further

specify the goals in measurable terms and timeframes.

Goals and Objectives


Strategies

The approaches used to achieve the goals and objectives. Strategy statements must be feasible, and include contingency strategies. Also, the approaches used to achieve the goals should include how the opportunities found from the situational analysis will be utilized and challenges addressed.


Implementation Plan

Describes the specific actions takento achieve the plan, including thewhat, who, how, where and when for each of the goals and objectives.


Metrics

Metrics are the quantitative and qualitative

measures used to assess the effectiveness and

efficiency of the plan’s implementation and the

goal-related outcomes. Also included in the

assessment is documentation of lessons learned

from executing the plan and adjustments made in

the strategic and implementation plans.


Financial Resources

Description of linkages between the financial (and in-kind resources) and the goal-related activities. The specific linkages provide a basis for monitoring and accounting for the allocation and expenditure of the plan’s resources.


Managing the Strategic Plan

A description should be included in the plan of how and who will oversee and manage the plan’s implementation. This should include a description of administrative controls and a code of ethics to guide the behaviors of the plan’s participants.


Sub-strategic Plan for EachComponent of an STC

Components:

Research ◦ Education ◦ Diversity ◦ Knowledge Transfer

Information Source:

Technologies, Inc.

STC Requirements

Requirements

A Proposed Center with the Following Components:

Innovative Research

Education

Knowledge Transfer

Requirements Continued

Focus on Americans first;

Display the diversity of the United States citizenry in the membership of each STC;

Integrate the activities of the STCs;

Work together as lead institutions and partners in institutional transformation relative to broadening participation in STEM.

Requirements Continued

Establish an External Advisory Board. Hire a 100% Time Education Director. Hire a 100% Time Manager of the Center. Prepare an Intellectual Property

Statement for the Center (Lead Institution and Partners).

Implement Ethics Training for All Center Staff and Participants.

See the Solicitation and Other Relevant NSF Guidelines for Additional Details.

Education & Broadening Participation Activities of STCs (STCs Funded in FY 2005 & FY 2006)

Examples Research and Training Opportunities for Under-

represented Minorities, Women, and Persons with Disabilities

Financial Resources Made Available for Under-represented Minorities, Women, and Persons with Disabilities

New Curricula, Strengthened Courses, and Lectures Conferences, Workshops, and Seminars Teacher Education Programs Internships

Class of 1989:

Research at the Center for Analysis and Prediction of Storms (University of Oklahoma) has resulted in the development of methods for the prediction of tornados. See the following website for details: http://www.caps.ou.edu/.

Example of STC Research Success

Example of STC Research Success

Class of 1991:

Research at the Center of Ultrafast Optical Science (University of Michigan) has contributed to the development of eye surgery techniques. Details are available on the website at the following address: http://www.engin.umich.edu/research/cuos/.

Examples of STC Research Success

CENS (UCLA) has developed a number of real world sensing networks (in contrast to laboratory test beds).

CBST (UC--Davis) has developed novel imaging techniques that may have major impact in the medical community.

NSF Expectations of

Science & Technology Centers

NSF Expectations of Science and Technology Centers

STCs have a three-fold mission: to promote innovation in the integrative conduct of research, education, and knowledge transfer—all three components are interrelated and equally important.


STCs are complex, almost like a business. Good management practices under the leadership of a strong management team will often make the difference between success and failure of a Center.


The cooperative agreement provides an answer to most questions regarding NSF’s expectations for what an STC is required to do, e.g., reporting requirements and due dates. Use it as the first resource in answering your questions regarding specific NSF requirements for the STC.


Strategic planning through center-wide participation, coupled with performance indicators to monitor progress and a focus on common products that require widespread involvement across institutional lines, is essential for good Center management and developing cohesion. In particular, serious consideration by all Center participants must be given to goals and accomplishments for the critical year 4 review that will determine whether renewed Center support is recommended.


External advisory committees should be used for independent advice on how to improve Center vision, goals, plans, objectives, and practices. You should strive for obtaining critical advice similar to the input that you might expect from the NSF external site visit teams. In selecting members for the external advisory committee, consider individuals who can provide expertise that is needed, but currently lacking, for a balanced overview of Center activities. Focus on obtaining good advice, not making friends in the community.


Centers need to have a mechanism in place for bringing on new members and removing old ones. This sometimes means making unpleasant decisions, but a good measure of the effectiveness of Center management is the flow of researchers into and out of the Center. Center membership is not an entitlement.


Begin planning now for phase-out of support in years 9 and 10; and, if you wish to continue the Center, you will need to identify other sources of support for year 11 when NSF STC funding ceases. It is not too soon to begin planning for this eventuality.


A good system of auditable records is essential for accountability in all Center activities.


Educating a diversity of United States citizens is an important STC objective to provide for the next generation of “fearless” U.S. scientists and engineers who think across boundaries in a broad set of career paths.


Centers should demonstrate leadership in the involvement of groups under-represented in science and engineering...at all levels (students, research team, advisory board) of participation in the Center.


Students should be participants in Center activities and be provided opportunities for travel.


Good communication with the public, including knowledge of media skills, builds appreciation for the scientific enterprise in an informed citizenry.


Transfer of basic knowledge to the private sector reinforces public confidence in the support of Federal R&D.


Technology can assist in communication and collaboration among the partners in multi-institutional virtual centers and in providing information to the public at large. Centers should push the edge in identifying new communication technologies for all their activities, including education, knowledge transfer, and research. However, technology is an adjunct to, not a substitute for, face-to-face interactions and travel.


Center Directors should bond with and learn from one another in a National Network of STC Directors. Plans for future meetings should originate within this group. A leader of the group should be identified.


The STC Program is an evolving one, and the requirements change for each successive class of STCs. The “rules” and requirements are not precisely the same for the Classes of 2000, 2002, and 2005/2006. However, they are similar.


Site Visit Prior to Award & Annually Critical Site Visit in Year Four Strategic/Implementation Plan Preparation Award – Cooperative Agreement Orientation to NSF Management Development Full Operation and Measurable Progress


Center Directors should get to know their NSF Technical Coordinators and OIA staff.

We are there to help you.

We want each STC to be successful.

NSF Science and Technology Centers

Information on the STC Program is available online at http://www.nsf.gov/od/oia/programs/stc/index.jsp.

Information on NSF is available at http://www.nsf.gov.

The Science and Technology Centers Program: An Overview by Margaret E. M. Tolbert, Ph.D. Senior...

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