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complete description for each action.
Adopt Statement of Principles of the
Government-University Partnership
Reaffirm the Importance of the Integration of
Research and Education and Strengthen the Linkages in Practice
Institute Uniform Government Policies and
Practices for Research Misconduct
Clarify and Extend Use of Merit Review in
Awarding Research Funds
Clarify or Amend Cost Sharing Policies and
Practices
Reduce Differences in Grants Administration
Across Agencies
Establish Mechanism to Review Impact of
Proposed Changes in Business Practices
Streamline Certification and Assurances
Requirements
Strengthen Environmental Protection in
Research Laboratory Setting
Establish Task Force to Provide for Continuing
Dialogue and Review
| ACTION:Adopt
Statement of Principles of the Government-University Partnership |
- The NSTC proposes a statement of principles of the
government-university partnership to clarify the roles, responsibilities, and
expectations of the parties—funding agencies, universities, individual
investigators, and regulatory bodies—and to provide a framework for the
development of new policies, rules, regulations, and laws affecting the
partnership. The NSTC statement of principles serves as a basis for further
dialogue among interested parties, including government and universities, and
should be finalized by the NSTC within twelve months. There will be a variety
of mechanisms provided for facilitating public comment through discussions with
stakeholders, who include the Congress, university associations and
professional societies, the National Academy of Sciences, the National Science
Board, and the Federal Demonstration Partnership.
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| ACTIONS: Reaffirm
the Importance of the Integration of Research and Education and Strengthen the
Linkages in Practice |
- The NSTC reaffirms the importance to the nation, the
research enterprise, and the future scientific and engineering workforce of
linking education and research. Federal agencies and universities are
encouraged to explore mechanisms and to experiment with programs that catalyze
the integration of research and education on campus and aid students in their
transition from students to members of the scientific and engineering
workforce.
- The NSTC will review government policies and practices
to ensure that agencies are able to support students in a manner consistent
with their dual roles as researchers and students, and recommend changes as
necessary. The NSTC will provide the results of the review and recommendations
to the appropriate Federal agencies within twelve months of this report.
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| ACTION:
Institute Uniform Government Policies and Practices for Research
Misconduct |
- The NSTC will complete the process initiated in 1996 to
develop a government-wide definition of research misconduct and guidelines for
handling cases of alleged research misconduct. The policy will affect all
research funded by the Federal government, including both intramural research
and extramural research funded through universities, non-profit organizations,
and the private sector. Agencies will have twelve months to implement the new
policy once it is finalized.
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| ACTION: Clarify and
Extend Use of Merit Review in Awarding Research Funds |
- The NSTC reaffirms the principle of merit review in
awarding research funds.
- The NSTC supports OMB's effort to refine the
definition of merit review in its annual revision of the terms in OMB Circular
A-11, "Preparation and Submission of Budget Estimates (part 1)".
- The NSTC will examine ways to extend agency application
of merit review in awarding research funds and seek ways to decrease practices
that bypass the process.
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| ACTIONS: Clarify or
Amend Cost Sharing Policies and Practices |
- The NSTC will explore mechanisms by which agencies
might more clearly and consistently communicate information to universities
about their cost sharing policies, practices, and expectations. One option
might be to require that agencies announce when and how cost sharing will
figure in selection processes and include information about the amount of cost
sharing expected. Options should be drafted within twelve months of this
report.
- The NSTC will assess the impact of accounting practices
on voluntary cost sharing by universities, particularly as it relates to the
donation of faculty time to research projects. The review (including data
collection) should be completed and recommendations issued within twelve months
of this report.
- The NSTC will assess the impact of provisions that
limit reimbursement of research costs on otherwise allowable costs, and in
particular, the impact of these cost reimbursement policies on
government-university relationships that have procurement aspects. The review
(including data collection) should be completed and recommendations issued
within twelve months of this report.
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| ACTION: Reduce
Differences in Grants Administration Across Agencies |
- The NSTC will establish an interagency group to develop
terms and conditions that will reduce differences in grants administration
policy and practice across Federal agencies to the extent consistent with
individual agency needs. The general terms and conditions should be
based on those developed by the FDP and make maximum use of the expanded
authorities included in OMB Circular A-110 for all research and
research-related project grants. Where consistent with statute, the NSTC policy
will be that all Federal agencies will use the uniform terms and conditions as
the default for all research and research-related project grants. These
defaults should be overridden only when there are compelling reasons to do
so. These actions should be implemented within twelve months of this
report.
- The NSTC encourages agencies to continue reducing
agency-specific requirements, consistent with their missions. Related to this,
agencies should work together to coordinate a "common face" to the university
research community in the development of ERA systems.
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| ACTION:
Establish Mechanism to Review Impact of Proposed Changes in Business
Practices |
- The NSTC will consider the establishment of more
effective mechanisms for reviewing government business policies and practices,
both current and prospective, with respect to sponsored research to consider
their relationship to each other, assess their impact on research, and
determine their compatibility with university processes.
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| ACTION:
Streamline Certification and Assurances Requirements |
- The NSTC will identify the appropriate agencies to
conduct review of certification requirements in order to: determine those which
might be replaced by certifications or assurances of compliance with national
policies; identify those for which institutional certifications or assurances
might be more appropriate (via electronic means if possible) than grant-by
grant assurances; prepare a policy, for incorporation into the appropriate
government-wide document, that directs agencies to impose agency-specific
certification requirements only when required by law or if the agency head
determines that there is added value that justifies using certifications rather
than assurances; recommend necessary changes (including possible legislative
changes) in current certification requirements. This action may implicate more
than universities and the agencies that fund them, and appropriate government
entities will be consulted as appropriate. The results of the review and
recommendations should be issued within twelve months of this report.
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| ACTION:
Strengthen Environmental Protection in Research Laboratory Setting |
- After consulting with the appropriate agencies, the
NSTC will determine the best way to organize discussion among the nation's
universities, Federal and industrial research laboratories, Federal and state
regulators, and Federal science agencies to identify best practices for
integrating environment, safety, and health responsibilities with the conduct
of research. This discussion would serve as a forum for disseminating best
practices to a wider community. It would also serve as a forum for identifying
lessons learned and impediments to the adoption of these practices that should
be incorporated into new and revised Federal and state regulations. This forum
should be established within twelve months of the issuance of this report, and
annual progress reports should be produced, demonstrating progress.
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| ACTION: Establish
Task Force to Provide for Continuing Dialogue and Review |
- The NSTC will establish a standing interagency working
group under the auspices of the Committee on Science dedicated to continuing
review and assessment of the government-university partnership. The NSTC urges
the President's Committee of Advisors on Science and Technology to
consider the establishment of a panel for the same purpose, to consult with
universities and other interested parties, and to provide advice to the
President and the NSTC on the government-university partnership. These entities
would complement the activities of already existing organizations, such as the
Federal Demonstration Partnership, the Government-University-Industry Research
Roundtable, and the National Science Board. Potential areas meriting further
review include the following: the process for assigning intellectual property
rights in the case of university-industry-government research collaborations;
identification of best practices of individual universities or Federal agencies
that could be disseminated for broader use to improve the partnership;
resources required to meet the terms of the OMB advisory that requires grantee
mission-critical systems to be Y2K—or year 2000—compliant. Other
topics will be identified and assessed as appropriate.
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