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 "stis@nsf.gov"
(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).