Title : NSF 94-139 (Reprint)- Grant Opportunities for Academic Liaison with Industry (GOALI) Type : Program Guideline NSF Org: ENG Date : March 6, 1995 File : nsf94139 GRANT OPPORTUNITIES FOR ACADEMIC LIAISON WITH INDUSTRY (GOALI) Engineering Directorate Guidelines FY 1995 FACULTY AND STUDENTS IN INDUSTRY Target Date: January 16, 1995 INDUSTRY ENGINEERS AND SCIENTISTS IN ACADEME Target dates may apply to certain disciplinary programs INDUSTRY - UNIVERSITY COLLABORATIVE PROJECTS Target dates may apply to certain disciplinary programs Directorate for Engineering National Science Foundation GOALI Engineering Directorate Guidelines for FY 1995 I. INTRODUCTION The general guidelines for preparing a proposal in response to the GOALI initiative are contained in the GOALI FY95 Announcement (NSF 94-138) and the NSF Grant Proposal Guide (GPG) ( NSF 94-2). These guidelines provide supplemental information regarding preparation and submission of proposals to the NSF Directorate for Engineering (ENG). According to the Announcement, the GOALI initiative aims to synergize industry-university partnerships by making investment funds available to support an eclectic mix of industry-university linkages. Special interest is focused on affording the opportunity for: (1) faculty, students and postdoctoral fellows to conduct research and gain experience in an industrial setting, (2) industry scientists and engineers to bring industry's perspective and integrative skills to academe, and (3) interdisciplinary industry-university teams to conduct long-term projects. GOALI seeks to promote collaboration across a broad spectrum of industry-university interests, including education, research, and management of technological innovation. Within this broad scope, proposals are especially encouraged in the engineering design of products and processes and in the enablement of next generation manufacturing systems and enterprises. The characteristics of the GOALI mechanisms for the industry-university collaboration in ENG are presented below. These characteristics define the required level of interaction with industry and the corresponding deadlines for GOALI proposal submissions. The proposers may combine or modify these mechanisms, or propose other arrangements to achieve the GOALI objectives. Such combinations or arrangements should retain a level of industry-university interaction and commitments comparable to the suggested mechanisms described in the following sections. The participation of a co-investigator or co-adviser from industry in a collaborative project or industrial fellowship must be confirmed by a letter from the industrial partner. The letter should show the plan of interaction with the academic institution, the time commitment of the industrial researcher(s), and the nature of the work and cost sharing. An industry-university agreement on intellectual property including publication and patent rights must be included. Proposals will be evaluated in accordance with the four general criteria described in GPG, and the GOALI objectives. The industry-university interaction must be presented in the şProposal descriptionş as shown below. In Fiscal Year 1994, the first year of the GOALI initiative, awards for approximately $4 million were made. In Fiscal Year 1995 the award funds are expected to increase. Proposals in the GOALI initiative will compete with all other proposals within the respective research/educational program. Applicants interested in submitting proposals for GOALI must contact the appropriate ENG Program Director in their area of research/education prior to proposal submission. Refer to the GPG, Appendix A, for a list of programs and telephone numbers. II. SUGGESTED GOALI MECHANISMS A. FACULTY AND STUDENTS IN INDUSTRY Opportunities are made available for academic personnel to gain research experience in an industrial setting. The following opportunities are options to be considered: o Engineering Faculty in Industry - for engineering faculty to conduct research for three to twelve months in industry, or on an industrially relevant project at the National Institute of Standards and Technology (NIST); (the support is for new interactions only). o Graduate Student Industrial Fellowship - for engineering graduate students (preferably Ph.D. students) for full-time work in industry or NIST in an area related to his/her research under the guidance of an academic adviser and an industrial mentor. o Postdoctoral Industrial Fellowship - for an engineering postdoctoral fellow for full-time work in industry or on an industrially relevant project at NIST, under the guidance of an academic advisor and an industrial mentor. Proposal description: The proposal must include the research plan, industry- university collaboration plan, and facilities and resources that will be available to support the research during the visit. Graduate students must provide a resume showing the student's special qualifications, and a statement of planned interactions with the academic adviser and industrial mentor. Postdoctoral fellows must include a resume, a professional goal statement, and a statement of planned interaction with the academic advisor and industrial mentor. The postdoctoral fellow must be awarded the Ph.D. degree between January 1, 1993 and August 30, 1995. Awards will be made only to fellows holding a Ph.D. degree. Proposals should contain a supporting letter from the industrial mentor for graduate students or postdoctoral fellows. Budget: Engineering Faculty in Industry Awards will typically range from $25,000 to $50,000 for up to one year, and may include: 50 percent of the faculty salary and fringe benefits during the industrial residency period; up to 20 percent of the total requested amount may be used for travel and research expenses for the faculty and his/her students, including materials but excluding equipment; and up to 10 percent of the total direct cost may be allocated for administrative expenses in lieu of indirect costs. Engineering Faculty in Industry proposals must include a commitment of funds from the industrial partner or NIST to support the other 50 percent of the salary and fringe benefits during the industrial residency. Matching resources from NIST are subject to availability of funding in the NIST program area. The total matching amount must be shown on line M. (Cost Sharing) of the proposal budget, NSF Form 1030. The allocation of matching funds to each budget item must be specified on the Budget Explanation Page. Equipment purchases or equipment discounts are not acceptable as matching funds for the faculty salary. Graduate Student Awards will be for up to one year with award amounts up to $25,000 for a graduate student industrial fellowship and up to $75,000 for a graduate student traineeship site (involving several students), and may include the following: a stipend of $1,500 to $2,000 per month for one or two semesters (three to twelve months); transportation expenses for the graduate student; a 10 percent allowance for the faculty adviser for research-related expenses excluding equipment, and an additional allowance up to 10 percent of the total direct cost for the sponsoring academic institution for administrative expenses, in lieu of indirect costs. Awards may be made for the support of individual students (individual graduate student industrial fellowship), as supplements to existing Directorate for Engineering grants, or for a group of two to three graduate students at a given site (graduate student traineeship site) through either an initial proposal submission to the Directorate for Engineering or supplements to existing Directorate for Engineering grants. Postdoctoral Industrial Fellowship Awards from NSF will be for amounts up to $42,000 per year for one or two years and may include the following: 67 percent of the stipend for the postdoctoral fellow; transportation and moving expenses (limited to $3,000); up to 10 percent of the total budget allowance may be used by the faculty adviser for research- related expenses; and an allowance up to 10 percent of the total indirect cost for the sponsoring academic institution for administrative expenses in lieu of indirect costs. The industrial sponsor (or NIST) is expected to provide the remaining 33 percent of the stipend as matching funds. Matching resources from NIST are subject to availability of funding in the NIST program area. The total matching amount must be shown on line M. (Cost Sharing) of the proposal budget, NSF Form 1030. B. INDUSTRY ENGINEERS AND SCIENTISTS IN ACADEME Opportunities are made available for industry personnel to interact with the academic community. The following opportunities are options to be considered: o Industry Presence on Campus - for industrial engineers and scientists to visit academe for two to twelve months in order to catalyze collaborative research and/or provide innovations in teaching and engineering curricula; and o Industry-Based Graduate Assistantship - for part-time engineering students, with permanent positions in industry to continue their graduate studies, particularly toward the Ph.D. The stipend will partially support the time necessary for course work and interaction with a faculty research adviser. Proposal description: The proposal is submitted by the host university, on behalf of an academic principal investigator or the student's adviser and a co-principal investigator or student's co-adviser from industry. The visitor must maintain his/her initial affiliation in industry during the project. Proposals for Industry Presence on Campus awards must include the objectives of the research/educational project, and a plan of the industry- university interaction on campus. Proposals for Industry- Based Graduate Assistantships must include the research plan, a resume of the graduate student showing the student's special qualifications, training arrangements, description of the facilities and graduate student working conditions. Budget: Industry Presence on Campus Awards are for a maximum of $50,000 for up to one year, to cover up to 67 percent of the total budget and may include the following: part-time salary support for the visiting specialist(s); expenses for student projects; teaching enhancement; and visits of faculty and students to the industrial site. Matching commitments from the industrial partner and/or the university, totaling at least the remaining 33 percent is required. The total matching amount and the matching source(s) must be shown on line M. (Cost Sharing) of the proposal budget, NSF Form 1030. Industry-Based Graduate Assistantship Awards are limited to $20,000 per year for one year (new awards) including indirect cost. Requests may be made as a regular proposal submission to the Directorate for Engineering or as a supplement to an existing Directorate for Engineering grant. A statement detailing the cost-sharing from industry and university is required. C. INDUSTRY - UNIVERSITY COLLABORATIVE PROJECTS Opportunities are made available for long-term collaborative industry-university projects for individuals or small groups. These research and education projects are jointly designed and implemented by university and industry engineers and scientists. The principal investigators and their students are encouraged to perform their research partially at the industrial sites. These awards are also available to universities currently receiving support via industry from the Advanced Technology Program (ATP) of NIST or Technology Reinvestment Project (TRP) support. The ATP and TRP projects are focused on applications in strategic areas of importance to national competitiveness. NSF may provide, on a competitive basis, funds for complementary projects dedicated to basic understanding, conceptual, high-risk/high- return research. Proposal description: The proposal must describe the research approach and a detailed plan of the industry-university collaboration including the tasks for both partners. The purpose of the eventual visit(s) in industry or in academe must be explained. In the last year of the project, the principal investigator must plan at least two industrial seminars, one of which should be within the collaborating industrial unit. If the support is concurrent to an ATP or TRP project, the synergy arising from the NSF-supported research and other research should be described. Budget: NSF funds are for university research/educational activities. The university grant may support activities of faculty and his/her students and research associates in the industrial setting. When a faculty visit to industry is planned, NSF will support 50% of the faculty salary including fringe benefits and indirect cost for the time spent in industry. The other 50% of the faculty salary during the visit will be covered by matching funds from industry or the university. For those institutions currently receiving ATP or TRP federal funds, those funds may not be used to support faculty visits. NSF may also support travel expenses for students or other research associates who are working on the project. Industry cost sharing and technological relevance of the research are essential evaluation criteria for these projects. During the project, the principal investigator may apply for supplementary funding to experiment with the basic research results in industry, if such an opportunity develops. III. TARGET DATES The target date for the submission of proposals for "Faculty and Students in Industry" is January 16, 1995 for receipt at NSF. Award decisions are expected to be made around May 15, 1995. Awards will start no later than September 30, 1995. All other proposals are accepted throughout the year according to the review process established in each disciplinary program. Note that several divisions have target dates for unsolicited proposals. For a list of target dates, refer to the NSF Bulletin or contact the appropriate disciplinary program. IV. WHO MAY SUBMIT USA institutions of higher education that confer degrees in research areas normally supported by the ENG Directorate may submit proposals on behalf of faculty members with full-time appointments. Only USA Citizens, Nationals, or Permanent Residents are eligible to apply for fellowships and assistantships. Grants provided for "Faculty and Students in Industry" are non-renewable and the respective visiting professor, postdoctoral fellow or graduate student may not reapply; faculty holding adjunct appointments are not eligible for award. Participation by women and under-represented minority engineers and scientists and those with disabilities is encouraged. V. INQUIRIES As noted in the GOALI Announcement, telephone and mail inquiries should be addressed directly to the disciplinary program director in the corresponding research/education area in the Directorate for Engineering. Refer to the GPG, Appendix A, for a list of programs and phone numbers. For generic comments on new mechanisms for GOALI in Engineering write to Dr. M.C. Roco (NSF, 4201 Wilson Blvd., Arlington, VA 22230, Suite 525). VI. PREPARATION AND SUBMISSION OF PROPOSALS AND REQUESTS FOR SUPPLEMENTS Proposals and requests for supplements must be prepared and submitted in accordance with the "NSF Grant Proposal Guide" (GPG), (NSF 94-2), the GOALI Announcement, (NSF 94-138), and this ENG Directorate brochure. All forms for proposal submission are available in the GPG and must be used where required in the GPG. The format should follow the sequence as shown in section II.C. of the GPG. All commitment letters, industry-university agreement letters on intellectual property, and documentation of collaborative arrangements of significance to the proposal should be provided as supplementary documentation and included in Section I of the proposal. This supplementary documentation will not be counted towards the 15-page Project Description limitation. All requests for supplemental funding (2 copies) should be sent directly to the disciplinary Program Director. Proposals should refer to this Announcement by number, NSF 94-139. The proposal Cover Sheet (NSF Form 1207 in GPG) should identify the disciplinary program area in the top left box of the "NSF Organizational Unit," and the initiative GOALI (NSF 94-138; NSF 94-139) in the lower box assigned for the "Program Announcement/Solicitation no./Closing date." Ten (10) copies of the formal proposal should be sent to: NSF 94-139/(NSF Program/Division,) Proposal Processing Unit, P60 National Science Foundation 4201 Wilson Blvd. Arlington, VA 22230 VII. AWARD ADMINISTRATION Awards will be made to the academic institutions for the collaborative projects between academe and industry. Grants are administered in accordance with the terms and conditions of NSF GC-1 (5/94), Grant General Conditions, or FDP-II, Federal Demonstration Project General Terms and Conditions, copies of which may be requested from the NSF Forms and Publications Unit, telephone 703-306-1130. More comprehensive information is contained in the NSF Grant Policy Manual (NSF 88-47) available through a subscription offered by the Superintendent of Documents, Government Printing Office, Washington, D.C. 20420. Copies of most program announcements are available electronically using the Science and Technology Information System (STIS). The full text can be searched on-line, and copied from the system. Instructions for use of the system are in NSF 94-4 "STIS Flyer." A printed copy is available from the Forms and Publications Unit. An electronic copy may be requested by sending a message to "firstname.lastname@example.org" (Internet). The Foundation provides awards for research in the sciences and engineering. The awardee is wholly responsible for the conduct of such research and preparation of the results for publication. The Foundation, therefore, does not assume responsibility for such findings or their interpretation. The Foundation welcomes proposals on behalf of all qualified scientists and engineers, and strongly encourages women, minorities, and persons with disabilities to compete fully in any of the research and research-related programs described in this document. In accordance with Federal statutes and regulations and NSF policies, no person, on grounds of race, color, age, sex, national origin, or disability shall be excluded from participation in, denied the benefits of, or be subject to discrimination under any program or activity receiving financial assistance from the National Science Foundation. The National Science Foundation has TDD (Telephone Device for the Deaf; 703-306-0090) capability, which enables individuals with hearing impairment to communicate with the Division of Personnel Management for general information about NSF programs and employment. Facilitation Awards for Scientists and Engineers with Disabilities (FASED) FASED provides funding for special assistance or equipment to enable persons with disabilities (investigators and other staff, including student research assistants) to work on an NSF project. See the FASED program announcement (NSF 91-54), or contact the FASED Coordinator in the Directorate for Education and Human Resources, 703-306-1636. Patent Policy Unless otherwise provided in the grant letter, the NSF Grant Policy Manual (Section 751.3 implementing the Bayh-Dole Act, 35 USAC. 200 et seq.) applies. For more information see GC-1 and FDP-II. Privacy Act and Public Burden Statements The information requested on the application materials is solicited under the authority of the National Science Foundation Act of 1950, as amended. It will be used and disclosed in connection with the selection of qualified proposals. See NSF-50 System of Records, "Principal Investigator/Proposal File and Associated records," 53 Fed. Reg. 26691 (July 14, 1988). Submission of the requested information is voluntary. Failure to provide full and complete information, however, may reduce the possibility of your receiving an award. Public reporting burden for this collection of information is estimated to average 20 hours per response, including the time for reviewing instructions. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to: Herman G. Fleming Reports Clearance Officer Division of Contracts, Policy, and Oversight National Science Foundation, Arlington, VA 22230 and to: Office of Management and Budget Paperwork Reduction Project (3145-0023 and 3145-0058) Washington, D.C. 20503 Catalog of Federal Assistance Number 47.041-Engineering OMB 3145-0023 and OMB 3145-0058;PT:34;KW:0600000; NSF 94-139 (Replaces NSF 93-149) For suggestions on new mechanisms for GOALI in ENG write to Dr. M.C. Roco (NSF, 4201 Wilson Blvd., Arlington, VA 22230, Suite 525).