Grantee Reporting Requirements for Industry/University Cooperative Research Center (I/UCRC)

IUCRC Center Director Annual Survey

Pursuant to 5 CFR 1320.5(b), an agency may not conduct or sponsor, and a person is not required
to respond to, an information collection unless it displays a valid OMB control number. The
OMB control number for this collection is 3145-0088. Public reporting burden for this
collection of information is estimated as 90 minutes per response, including the time
for reviewing instructions.
Send comments regarding this burden estimate and any other aspect of this collection of
information, including suggestions for reducing this burden, to: Suzanne H. Plimpton, Reports
Clearance Officer, National Science Foundation, 2415 Eisenhower Ave., Suite W18200,
Alexandria, VA 22314; telephone (703) 292-7556; or send email to splimpto@nsf.gov .

Survey Overview
The Industry-University Cooperative Research Center (IUCRC) Center Director Annual Survey
collects information on Industry-University Cooperative Research Center (IUCRC) structure,
membership, funding sources, operating expenses, workforce development, academic and
commercial outcomes, research activities, and personnel during the last full, annual, period of
performance of an IUCRC Center.
The survey is divided into 14 sections. Directors from Lead Sites will be prompted to answer all
14 sections, while directors from partner sites answer sections 1-2, 10-12, and 14. Due to the
specialized nature of each section, it might require collaboration between directors of lead and
partner sites. While each Lead Site Director of an IUCRC is asked to compile and report most of
the information for the Center, each partner site of an IUCRC also needs to complete the survey
(albeit a shorter one).

Section 1. [All Sites] Contact Information
1-1. Who is the survey coordinator?

The survey coordinator is the person responsible for gathering all requested information, ensuring instructions are
followed, and submitting the completed survey. This is also the person NSF should contact if additional information
or clarification is needed.

Name (Last, First):
Title (or Role at the IUCRC):
Telephone:
Email Address:

Section 2. [All Sites] Center Lead/Partner Site Identification
2-1. Select the NSF IUCRC Award number from the list:

2-2. Provide the IUCRC Center information below:
Name of [the IUCRC Center]:
Phase (I/II/III):

2-3. Is the IUCRC Site for which you are submitting this survey a Lead site or Partner site?

Section 3. [Lead Site Only] Center Structural Information
In this section, the Lead Site will be asked to report the following information:
1. Lead and Partner sites (U.S. only)
2. International sites
Lead/Partner Sites (U.S. only)
3-1. List each NSF-funded Site and the corresponding site director for [the IUCRC Center]:
(Note: the list will be allowed to expand if the Center has more than 5 partner sites)
Institution

Site Director (Last Name, First Name)

Lead Site
Partner Site (1)
Partner Site (2)
Partner Site (3)
Partner Site (4)
Partner Site (5)

International Sites
Active International Sites are defined as Sites in your Center that are located in countries outside
the United States, where ongoing research projects recommended by the Industry Advisory
Board (IAB) of [the IUCRC Center] took place during the period of performance.
3-2. How many active international sites were associated with [the IUCRC Center] during the
period of performance?
Number of active international site(s):

3-3. [If a value other than 0 were selected in 3-2] Provide the names of the country, institution,
and Site Director for each active international site.
Country

International site (1)
International site (2)
International site (3)

Institution

Site Director (Last Name, First Name)

Section 4. [Lead Site Only] Center Members
In this section, the Lead Site will be asked to report the following information for [the IUCRC Center]:
1.
2.
3.
4.

Names of the member organizations serving on your Industry Advisory Board (IAB)
Employer Identification Number (EIN) of each organization
Type of Organization (Private Sector, Public Sector, Non-Profit, Others)
Size of Organization – (Micro, Small, Medium, Large, NA)

Members of an IUCRC are composed of organizations including private sector companies, government
agencies, non-profits, and others interested in working together to collaboratively to advance knowledge
in the Center’s targeted area and support faculty and students to conduct research in areas of common
interest. An organization can become an IUCRC member by signing the Center’s membership
agreement, paying a membership fee, and attending bi-annual meetings of the Center. Members make
up a Center’s Industry Advisory Board (IAB).
The Employer Identification Number (EIN), also known as the Federal Employer Identification Number
(FEIN), is a unique nine-digit number assigned by the Internal Revenue Service to business entities
operating in the United States for the purposes of identification. For Foreign companies, simply enter ‘NA’
in the field. EIN can be obtained directly by contacting the IAB member or use the search feature of the
website: eintaxid.com
Type of Organization: Indicate whether each member belongs to: Private Sector, Public Sector – Federal,
Public Sector – State/Local, Public Sector – Non-U.S., Joint (Public-Private) Sector, Foundation or Nonprofit, or Others
Size of Organization: Select NA for all the Public Sector choices, and only report the organization size for
private, non-profit, and others.

4-1. Provide the names of the organizations serving on your IAB during the period of
performance, and their corresponding EINs. Use the drop-down menus to indicate the type
and size of the organization.
(Note: the list will be allowed to expand if the Center has more than 5 Members)

Name of Organization
Member (1)
Member (2)
Member (3)
Member (4)
Member (5)

EIN

Organization Type

Organization Size

Section 5. [Lead Site Only] Recruitment, Retention, and Turnover of Members
In this section, the Lead Site will be asked to report:
1. Membership status of current IAB members
2. List of members that have left the Center

5-1. Use the drop-down menu to select the membership status (New, Existing, or Returned)
that best describe each current IAB member during the performance period.
New: IAB members that joined during the Center during the period of performance
Existing: IAB members that were present during the previous period and renewed their membership
in current period
Returned: IAB members that left the Center at some point but re-joined in the current period

Status (Current members)
Member (1)
Member (2)
Member (3)
Member (4)
Member (5)

5-2. Enter the name of any IAB member that left the Center during the period of
performance. If no member left, enter ‘None’
(Note: the list will be allowed to expand if the Center has more than 5 Members)
Name of Organization
Lost Member (1)
Lost Member (2)
Lost Member (3)
Lost Member (4)
Lost Member (5)

Section 6. [Lead Site Only] Membership Fees Structure
In this section, the Lead Site will be asked to report on Membership fees structure.

6-1. What is the membership fee structure (cash contributions only) of [the IUCRC Center]? List
the dollar value associated with each tier.
Primary (Full) Membership Level: $
Secondary Level:

$

Tertiary Level:

$

Other Level(s), please describe:

6-2. How does [the IUCRC Center] handle in-kind membership? Mark only one.
•
•
•

Same as cash fee structure as listed in 5-1
Different from cash fee structure
Do not allow in-kind memberships

Section 7. [Lead Site Only] Membership Type, Membership Fees Paid, and Voting
Status of Current Members
Each member organization determines the type (cash, in-kind, or both) and level of membership (full or
partial) and the number of memberships it would like to have. Based on their selection, members will
fall into one of two categories: voting or non-voting. Centers may also include both voting and non-voting
members. A voting member is eligible to recommend which projects the Center would like to do get
funded, while a non-voting member is ineligible. The category into which a member falls depends on the
nature of the organization, the type, whether a member elects to vote, and amount of contribution the
member provides to the Center.
In this section, the Lead Site will be asked to report on the type, level, and voting status of each current
IAB member in the Center.
A note about Voting Status: Not all IAB members have voting rights. Some members may not vote due
to their internal organizational policies. Some are excluded from voting due to conflicts of interest either
with the institution(s) of higher learning involved or with faculty/researchers who have
ownership/leadership positions in one of the member organizations. Voting eligibility for in-kind
members varies from Center to Center, and is defined in the bylaws of each Center. For IAB members
allowed to vote on Center research projects, select “Voting”, for those that are not, select “Non-voting”.

7-1. Report the following information on each member organization:
Membership Type: Indicate which type of membership the member organization has purchased:
•
•
•

Cash
in-kind
both cash and in-kind

Membership Fees: Report the membership fees paid (in USD) by the member organization, in cash,
in-kind equivalent, or the combination of cash and in-kind contribution. Exclude any additional
funding from members beyond membership fees, those will be reported in a later section.
Voting status: Select the voting the status for each member organization.

Membership Type

Membership Fees

Member (1)

$

Member (2)

$

Member (3)

$

Member (4)

$

Member (5)

$

Voting Status

Section 8. [Lead Site Only] Center Income
In this section, the Lead Site will be asked to report on Center program income for the performance period
from 4 major categories:
1. Membership fees
2. Funding(s) from NSF
3. Other funding sources
4. In-kind contributions

8-1. Provide the total amount of cash received in membership fees from IAB members listed
in Question 7-1. Do not include any other funds or resources outside of membership fees that
members may have contributed to the center.
$

Total Membership Funding received:

8-2. Provide the amount of cash the Center received from NSF. This amount excludes money
transferred through NSF from other Federal Agencies (MIPRs 1, IAAs 2). For multi-year
payments, report annualized totals. Enter 0 if no funding was received in that category.
NSF IUCRC Award: Base Funding received from the NSF IUCRC program.
NSF IUCRC Grant Supplements: Funding received from other NSF grant supplements (e.g. REU, INTERN,
others).
Other NSF Support: Other NSF grants awarded to the Center because of the collaborations developed
within the Center that are provided by other NSF programs outside of the IUCRC Program. The award
must be for research that is shared with Center members, and not just NSF awards to Center-affiliated
PIs.

NSF IUCRC Award:

$

NSF IUCRC Grant Supplements:

$

Other NSF Support:

$

MIPR (Military Interdepartmental Purchase Request, used as a means to transfer funds from other Federal
agencies to the Center via NSF).
2
IAA (Interagency Agreement, also used as a means to transfer funds from other Federal agencies to the Center via
NSF)
1

8-3. Provide the amount of cash the Center received from other funding sources during the
period of performance. Enter 0 if no funding was received in that category.
Additional Member Support: Additional member funding (enhancement, donations, and etc.) that is
applied to the Center as a whole (i.e. income that results in outcomes shared equally by all IAB members).
This includes support (in addition to the membership fees paid) provided by members through MIPRs or
IAAs. For multi-year payments, report annualized totals.
Funding received by Center from:
• Federal agencies other than NSF
• State government agencies or programs
• Local government agencies or programs
• Foundations or other non-profit organizations
The funding must be for research that is shared with IAB members in the Center, and not just funding to
Center-affiliated PIs. For multi-year payments, report annualized totals.
Other Cash Support: Funds not included in any of the above categories. These could be funds provided
by the institutions involved in the Center, grants, or gifts from outside entities not specified in any of the
other funding categories.
Other Funding Sources
Additional Member Support
Federal Agencies other than NSF

Amount Received (in USD)
$
$

State Government Agencies or Programs

$

Local Government Agencies or Programs

$

Foundations or Non-Profit Organizations

$

Other Cash Support

$

8-4. What was the total value of in-kind contributions made to [the IUCRC Center] during the
period of performance?
In-kind contributions: non-monetary contributions of goods, services, or personnel offered for free or at
a reduced billable rate. These may include facilities, equipment or software, raw materials (used in Center
research), consulting services, and/or personnel (the time of a researcher/staff person who is not paid
from Center income)

In-kind Contributions:

$

Section 9. [Lead Site Only] Operating Expenses
In this section, the Lead Site will be asked to report on amount spent on Center administrative activities
from:
1. NSF IUCRC Award
2. Membership Fees + Other Funding Sources
Administrative activities include: holding IAB meetings, marketing the Center, creating and maintaining
a website and promotional materials, and paying for secretarial or administrative support, etc.

9-1. Of the NSF IUCRC base award reported in Question 8-2, how much was spent on Center
administrative activities? Estimates are acceptable.
Amount spent on Center administration: $

9-2. Of the amount collected from membership fees (reported in Question 8-1) and other
funding sources (the sum of all categories reported in Question 8-3), how much was spent on
Center administrative activities? Estimates are acceptable.
Amount spent on Center administration: $

Section 10. [All sites] Workforce Development
In this section, you will be asked to report the post-graduation plans of students who were trained at
the IUCRC Program, and have received one of the following degrees during the period of performance:
1. Bachelor’s degree (B.S. or B.A.)
2. Master’s degree (M.S. or M.A.)
3. Doctoral degree (Ph.D.)

10-1. How many students who were trained at the IUCRC Program, and have received a …
during the period of performance?
Bachelor’s Degree:
Master’s Degree:
Doctorate Degree:

10-2. What best describe the post-graduation status of the graduates from Question 10-1? For
each class of graduate, indicate how many pursued each of the career categories listed below.
Bachelors Masters Doctorates
Hired by Industry Firms—IAB Center members
Hired by Government Agencies—IAB Center members
Hired by Non-profit Organizations—IAB Center members
Hired by Industry Firms—non-Center members
Hired by Government Agencies—non-Center members
Hired by Non-profit Organizations—non-Center members
Hired by Other Enterprises not listed above
Starting Their Own Business
Accepted a Faculty Position
Accepted a Postdoc Position
Enrolling in a full-time degree program
Career Outcomes Unknown/Not Reported

NA
NA

NA
NA

Section 11. [All sites] Academic & Commercial Outcomes
In this section, report the academic and commercial outcomes of the Site.
Academic events refer to publications of the results of your Site’s research in the peer reviewed
literature; presentations of your Site’s research results at academic conferences, educational seminars,
workshops, and symposia; presentation and/or communication of the results of your Site’s research to
K-12 or organizations involved in communicating science and engineering to the public; and any other
activities associated with non-commercial, academic, public outreach, educational environments in
which members of your Site have participated during the performance period.

11-1. How many academic events of the following categories in which members of the IUCRC
Site were involved? Only count those that are related to Center research. Enter 0 if none.
Published in peer-reviewed journals:
Presented in academic conferences, workshops, and/or seminars:
Presented in Grades 8-12 classrooms:
Presented or had interactions with public education organizations/museums:
Given invited talk(s):
Attended public outreach events:
11-2. Of the number of publications reported in the first box of Question 11-1, how many were
co-authored with the following parties? Enter 0 if none or not applicable.
Employees of IAB Member Organizations:
Students/Postdoc working on the project:
Faculty and/or students from other Sites in the Center:

Commercial outcomes refer to outcomes and communications by members of your Site on your
Center’s/Site’s research in venues in the commercial realm. These include invention disclosures, patent
applications, patents granted, licensing agreements, inventions producing royalties, software copyrights,
presentations and/or posters and outreach at industry conferences, expos, tradeshows; and
publications in trade journals, as well as spinoff companies formed.

11-3. How many commercial events of the following categories in which members of the IUCRC
Site were involved? Only count those that are related to Center research. Enter 0 if none.
Commercial Events Count
Filed Invention Disclosure(s)
Filed Patent Application(s)
Received Patent(s)
Filed Licensing Agreement(s)
Inventions Producing Royalties
Presented Poster(s) or Gave Presentation(s) at
industry conferences, expos, or tradeshows
Published in trade journal(s):
Attended industry outreach event(s):

11-4. Report the amount of money received from any royalty-producing inventions. Estimates
are acceptable. Enter 0 if none.
Amount received from royalty-producing inventions:

$

11-5. List out all the spinoff/spinout/startup companies created as a consequence of research
results and/or intellectual property developed at your Site during the period of performance.
If none, write in ‘None’.
Name of startup company:
Name of startup company:
Name of startup company:

Section 12. [All sites] Personnel
In this section, report the number of people at the Site that were involved in IUCRC research during the
period of performance, as well as individuals that have been supported by NSF supplement awards.

12-1. Report the number of individuals—involved in IUCRC Center research during the period
of performance—that have been supported by the following NSF supplements. Enter 0 if none.
REU: The Research Experiences for Undergraduates program supports active research participation by
undergraduate students in any of the areas of research funded by the National Science Foundation

Number of REU students:
INTERN: Supplemental funding for graduate students participating in Non-Academic Research Internships

Number of INTERN students:
RET: Research Experiences for Teachers, provide teachers an opportunity to conduct center-related
research at IUCRC Site or intern at IUCRC IAB member organizations

Number of RET recipients:
VRS: Research Experiences for Veterans/Teachers, provide support to student and/or teacher who has
served in the U.S. military an opportunity to conduct center related research at IUCRC Site or intern at
an IUCRC IAB member organizations

Number of VRS recipients:
12-2. Report the number of individuals—involved in IUCRC Center research during the period
of performance—that have either (a) received any of the Center funding reported, (b)
conducted Center-funded research, or (c) used Center facilities. Enter 0 if none. DO NOT
include individuals reported in Question 12-1.
Site Directors:
Research Scientists:
Faculty Members:
Post-docs:
Doctoral Students:
Master Students:
Undergraduate Students:

High School Students:
Administrative Staff:
12-3. Report the number of individuals from IAB member organizations serving as industry
mentors on research projects at your Site.
Industry mentors:

Section 13. [Lead Site Only] Center Projects
This section requests information on Center research projects selected during the performance period.
Center-associated projects are research projects proposed by Center faculty to the Center IAB which are
voted upon and recommended by the IAB for support by their membership funds and other Center
program income.

13-1. During the performance period, how many projects proposals were presented for vote
in the IAB meeting?
Number of projects presented for vote:
13-2. Of the project proposals reported in Question 13-1, how many of them did IAB members
recommended for funding?
Number of projects recommended:

Section 14. [All sites] Survey Reporting
In this section, we are asked to collect logistic information regarding the survey:

14-1. Approximately how long did it take for you to complete this annual update?
Time (minutes):

v

14-2. How can NSF better meet your needs? Please describe areas where we can improve on
this annual Center Director survey, and other concerns you might have.
v