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ACTIONS TO STRENGTHEN THE PARTNERSHIP Click on each link to view a more 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. 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. 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. 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. 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. 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. 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. 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. 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. 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.