A major objective of the National Science Foundation (NSF) is to improve the nation's capacity for intellectual and economic growth. It does this by supporting the discovery of new knowledge and the enhancement of a skilled workforce. Industry can outline new technical challenges and assist in the support of academic institutions. By serving as a catalyst for industry-university partnerships, NSF helps ensure that intellectual capital and emerging technologies are brought together in ways that promote economic growth and an improved quality of life.
The GOALI initiative aims to synergize university-industry partnerships by making funds available to support an eclectic mix of industry-university linkages. Special interest is focused on affording the opportunity for: (1) faculty, postdoctoral fellows and students to conduct research and gain experience with production processes in an industrial setting, (2) industrial scientists and engineers to bring industry's perspective and integrative skills to academe, and (3) interdisciplinary university-industry teams to conduct long-term projects. This initiative targets high-risk/high-gain research with a focus on fundamental topics that would not have been undertaken by industry, new approaches to solving generic problems, development of innovative collaborative industry-university educational programs, and direct transfer of new knowledge between academe and industry.
To meet this objective, the GOALI program provides funding, for example, for faculty, postdoctoral fellows, and students to develop creative modes of collaborative interactions with industry through individual or small-group projects, and industry-based fellowships for graduate students and post-doctoral fellows. The GOALI mechanisms suggested below are examples only and proposers are encouraged to modify or adapt them to meet individual needs or realize imaginative ideas.
The topics addressed in a GOALI award need not focus on fundamental issues only, but should address long-term, generic research within an intellectual envelope shared by the industrial partner. Fundamental research generally is performed in academe in parallel with more applied research in industry. Investigators are expected to integrate research objectives with educational and human resources goals and industry needs.
The GOALI program also emphasizes improving industry-university research linkages in the design of products and processes. The research should strengthen the fundamental scientific and engineering foundations on which new design and production practices and methods may be based. This emphasis aims to improve basic understanding and the development of integrated design tools in both academe and industry.
The length of support requested should be appropriate to the purpose and can vary, for example, from two months for a visit to industry to three or more years for a full research proposal or educational program.
Faculty support is for full-time faculty only. When faculty visit industry to perform research or educational activities for intervals longer than one month, it is expected that industry will provide cost sharing of 50 percent of the salary during the visit. Any cost sharing must be documented in the request for funds.
Industry participation in the research and education projects is required, and cost sharing for the collaborative work at industrial sites and universities is encouraged. However, industrial partners are not required to match NSF research awards funds for projects performed in universities.
A co-investigator or co-advisor from industry is required and must be listed on the proposal cover sheet (NSF Form 1207) in a collaborative project or industrial fellowship. The participation of a co-investigator or co-adviser from industry 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 NSF merit review criteria (see Appendix 2) and the GOALI objectives. The industry-university interaction must be presented in the "Proposal Description", as outlined in the suggested GOALI mechanisms given in the Appendix 1.
Support by the GOALI program may be provided through a grant, or through a supplement to an eligible existing NSF award. In Fiscal Year 1997, the third year of the GOALI initiative, awards for approximately $25 million have been made. In Fiscal Year 1998 the award funds are planned to increase. Proposals in the GOALI initiative will compete with all other proposals within the respective research/educational program.
Persons interested in requesting funds under GOALI should contact an NSF Program Director in the Directorate in their area of interest for guidance on proposal submission. Refer to the GPG, Appendix A, (http://www.nsf.gov/bfa/cpo/gpg) for a list of programs and telephone numbers. For additional current information you are encouraged to browse the Web sites of the appropriate directorate(s). While flexibility exists for proposals focused on one or several of the examples listed above, the following extant announcements offer specific guidelines for GOALI-related activities:
The Directorate for Biological Sciences (BIO) (http://www.nsf.gov/bio)
Opportunities are made available for postdoctoral and graduate student research experiences in industry through the following mechanisms:
"Postdoctoral Research Fellowships in Biosciences Related to the Environment" (NSF 94-114)
"Minority Postdoctoral Research Fellowships and Supporting Activities" (NSF 94-133)
"Graduate Student Industrial Internships" for bioscience graduate students supported on BIO grants, for work in industry under the guidance of an academic advisor and an industrial mentor.
The Directorate for Computer and Information Science and Engineering (CISE) (http://www.cise.nsf.gov/) offers opportunities in all areas usually supported by the directorate.
"CISE Postdoctoral Research Associates in Computational Science and Engineering, and Associates in Experimental Science" (NSF 96-119).
The Directorate for Education and Human Resources (EHR)
(http://www.ehr.nsf.gov/)
Supports research/education projects and fellowships in all areas of the directorate. Guidelines for suggested GOALI mechanisms for faculty and students in industry, industry specialists in academe, and full-scale university-industry collaborative projects, are provided in the Appendix 1.
The Directorate for Engineering (ENG)
(http://www.eng.nsf.gov/goali)
Supports research/education projects and fellowships in all areas of the directorate. Guidelines for suggested GOALI mechanisms for faculty and students in industry, industry specialists in academe, and full-scale university-industry collaborative projects, are provided in the Appendix 1.
The Directorate for Geosciences (GEO) (http://www.geo.nsf.gov/)
Supports research/education projects and fellowships in all areas of the directorate. Guidelines for suggested GOALI mechanisms for faculty and students in industry, industry specialists in academe, and full-scale university-industry collaborative projects, are provided in the Appendix 1.
The Directorate for Mathematical and Physical Sciences (MPS) (http://www.nsf.gov/mps/)
MPS encourages a broad range of GOALI proposals reflecting innovative academic-industrial cooperative pursuits in research and education in all areas supported by the Directorate. The announcements noted below are examples only of areas in which GOALI activities are supported; they are in no way restrictive.
"Environmentally Benign Chemical Synthesis and Processing" (NSF 92-13)
"University-Industry Cooperative Research Program in the Mathematical Sciences"
(NSF 94-100)
"NSF-NIST Interaction in Chemistry and Chemical Engineering", Division of Chemistry (NSF 97-109)
The Directorate for Social, Behavioral and Economic Sciences (SBE) (http://www.nsf.gov/sbe/)
" Joint NSF/Private Sector Research Opportunities" (NSF 92-136)
This initiative advances the mission of the Decision, Risk, and Management Science (DRMS) program to support research which is grounded in theory but has an operational context. It is designed to encourage theory building in actual operational and managerial processes, problem solving, risk management, strategic planning and decision-making in private-sector organizations.
"Transformations to Quality Organizations" (NSF 95-99)
The objectives are to support research to develop or improve concepts, theories, and methodologies for better managing transformations to quality organizations, and to encourage the development of new tools or processes leading to quality improvements in organizations.
U.S. institutions of higher education that confer degrees in research areas normally supported by NSF may submit proposals on behalf of faculty members with full-time appointments. Only U.S. Citizens, Nationals, or Permanent Residents are eligible to apply for fellowships and assistantships. Participation by women and under-represented minority engineers and scientists and those with disabilities is encouraged.
Forms and Publication Unit
Proposals must be submitted by the investigator's home institution in accordance with the target dates or deadlines, if any, of the NSF disciplinary program in the respective research/education area. Awards will be made to the academic institution in case of collaborative projects between academe and industry. 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 97- 116 . 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 97-116"; in the lower box assigned for the "Program Announcement/Solicitation no./Closing date". When a specific announcement applies for a division or a directorate, the respective solicitation number must be first.
Ten (10) copies of the formal proposal should be sent to:
NSF 97-116/(NSF Program)
Inquiries about proposal submission are welcomed, and should be addressed directly to the disciplinary NSF Program Director in the corresponding research/education area in each Directorate. Refer to the Grant Proposal Guide, NSF 95-27, Appendix A, for a list of programs and telephone numbers.
For generic comments on new mechanisms for GOALI write to T. Brady (tbrady@nsf.gov) in BIO, J. Cherniavsky in CISE (jchernia@nsf.gov), S. Ortega (sortega@nsf.gov) in EHR, D. Senich (dsenich@nsf.gov) in ENG, L.E. Johnson (lejohnso@nsf.gov) in GEO, H. Blount (hblount@nsf.gov) in MPS, and J.W. Dean, Jr. (jdean@nsf.gov) in SBE. For generic comments on NSF inter-directorate activities write to M.C. Roco (mroco@nsf.gov), Coordinator for the NSF GOALI initiative (NSF, 4201 Wilson Blvd., Arlington, VA 22230, Suite 525).
The Foundation provides awards for research and education 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 the research findings or their interpretation.
The Foundation welcomes proposals from all qualified scientists and engineers and strongly encourages women, minorities, and persons with disabilities to compete fully in any of the research and education related programs described here. In accordance with federal statutes, regulations, and NSF policies, no person on grounds of race, color, age, sex, national origin, or disability shall be excluded from participation in, be denied the benefits of, or be subject to discrimination under any program or activity receiving financial assistance from the National Science Foundation.
Facilitation Awards for Scientists and Engineers with Disabilities (FASED) provide funding for special assistance or equipment to enable persons with disabilities (investigators and other staff, including student research assistants) to work on NSF projects. See the program announcement or contact the program coordinator at (703) 306-1636.
Privacy Act. The information requested on proposal forms is solicited under the authority of the National Science Foundation Act of 1950, as amended. It will be used in connection with the selection of qualified proposals and may be disclosed to qualified reviewers and staff assistants as part of the review process; to applicant institutions/grantees; to provide or obtain data regarding the application review process, award decisions, or the administration of awards; to government contractors, experts, volunteers, and researchers as necessary to complete assigned work; and to other government agencies in order to coordinate programs. See Systems of Records, NSF 50, Principal Investigators/Proposal File and Associated Records, and NSF-51, 60 Federal Register 4449 (January 23, 1995). Reviewer/Proposal File and Associated Records, 59 Federal Register 8031 (February 17, 1994).
Public Burden. Submission of the information is voluntary. Failure to provide full and complete information, however, may reduce the possibility of your receiving an award.
The public reporting burden for this collection of information is estimated to average 120 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 Gail A. McHenry, Reports Clearance Officer, Information Dissemination Branch, National Science Foundation, 4201 Wilson Boulevard, Suite 245, Arlington, VA 22230.
Patent Policy. Depending on the type of award (fellowship, research grant, supplement to an existing grant, etc.) either the Intellectual Property Rights provision in section 733.2 of the NSF Grant Policy Manual (http://www.nsf.gov/bfa/cpo) or the Patent Rights and Copyrightable Material provisions in section 731.3 and 732.2 will apply to inventions and writings created under the GOALI awards.
The National Science Foundation has TDD (Telephonic Device for the Deaf) capability, which enables individuals with hearing impairment to communicate with the Foundation about NSF programs, employment, or general information. To access NSF TDD, dial (703) 306-0090; for FIRS, 1-800-877-8339.
These guidelines provide supplemental information regarding the characteristics of the GOALI mechanisms for the industry-university collaboration in EHR, ENG and GEO. 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 (A, B, and C). Applicants interested in submitting proposals for GOALI must contact the appropriate NSF Program Director in their area of research/education prior to proposal submission.
Opportunities are made available
for academic personnel to gain research experience in an industrial
setting. The following opportunities are options to be considered:
Proposal description: The proposal must include the research and education 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 adviser and industrial mentor. The postdoctoral fellow must be awarded the Ph.D. degree between January 1, 1994 and August 30, 1996. 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:
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. 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 grants in the Directorates for EHR, ENG or GEO, 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 respective Directorate or supplements to existing grants in the same directorates.
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.
Target date: for the submission of proposals for "Faculty and Students in Industry" is January 15 of each year (for receipt at NSF). Award decisions are expected to be made around May 15 of the respective year. Awards will start no later than September 30 in the same year.
Opportunities are made available for industry personnel to interact with the academic community. The following opportunities are options to be considered:
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 Directorates for EHR, ENG or GEO, or as a supplement to an existing grant in the respective directorate. A statement detailing the cost-sharing from industry and university is required.
Target dates: All 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, NSF Web site (http://www.nsf.gov) or contact the appropriate disciplinary program.
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.
Interdisciplinary research and educational projects of two or three faculty from different academic units to interact with one or more industrial partners in "virtual industry-university groups" are also encouraged.
These awards may be made available to universities currently receiving support via industry from NIST or ARPA. 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 complementary to a NIST or ARPA sponsored 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 industrial units currently receiving 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.
Target dates: All 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, NSF Web site (http://www.nsf.gov) or contact the appropriate disciplinary program.
Proposals submitted in response to this program announcement will be subject to the NEW merit review criteria approved by the National Science Board on March 28, 1997 (NSB97-72). The new merit review criteria are:
How important is the proposed activity to advancing knowledge and understanding within its own field and 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 and original concepts? How well conceived and organized is the proposed activity? Is there sufficient access to resources?
The following are suggested questions that the reviewer will consider in assessing how well the proposal meets this criterion. Each reviewer will address only those questions which he/she considers relevant to the proposal and for which he/she is qualified to make judgments.
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 underrepresented groups (e.g., gender, ethnicity, 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?
GOALI proposals will be evaluated in accordance with these two criteria and the GOALI objectives.
Catalog of Federal Assistance Number 47.074-BIO, 47.070-CISE, 47.076-EHR, 47.041-ENG, 47.050-GEO, 47.049-MPS, 47.075-SBE
OMB 3145-0058;
PT: 34;
KW:0600000, 1004000, 1013000, 1010000, 0901020
NSF 97-116
(Replaces NSF 95-111 and 95-112)