[Federal Register: December 21, 1999
(Volume 64, Number 244)]
[Notices]
[Page 71454-71456]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr21de99-77]
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EXECUTIVE OFFICE OF THE PRESIDENT
Office of Science and Technology Policy
Request for Comment on Proposed Statement of Principles of the Government-University
Research Partnership
AGENCY: Office of Science and Technology Policy.
ACTION: Request for comment on proposed statement of principles of the government-university
research partnership.
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SUMMARY: An April 27, 1999 Presidential Memorandum directed that the National
Science and Technology Council ``in consultation with research universities
and other stakeholders in the Federal science and technology enterprise,
shall develop a statement of principles that clearly articulates the roles,
responsibilities, and expectations of each of the partners and establishes a
framework for addressing future issues as they arise. Ultimately, this statement
of principles will serve to shape future discussions and guide policy development
and decision making.'' President Clinton asked that this action be completed
within twelve months of the date of the memorandum. The findings and recommendations
contained in the NSTC report on Renewing the Federal Government-University Research
Partnership for the 21st Century should provide the basis for proceeding. The
report proposed a
draft statement of principles developed by the NSTC and recommended that it
be finalized in consultation with the interested community. As part of this
process, this notice seeks public comment.
DATES: The Office of Science and Technology Policy welcomes comments on the
proposed policy. In order to be assured consideration, comments must be postmarked
no later than February 18, 2000.
ADDRESSES: Written comments should be mailed to Dr. Arthur Bienenstock, Associate
Director for Science, Office of Science and Technology Policy, Washington, DC
20502. The entire NSTC report may be viewed electronically by going to the following
web site: http://www.whitehouse.gov/WH/EOP/OSTP/html/rand/index.htm. In order
to provide comments electronically, click on ``Your comments,'' then on ``Click
here to provide your electronic comments.''
FOR FURTHER INFORMATION CONTACT: Anne-Marie Mazza, Office of Science and Technology
Policy, Executive Office of the President, Washington, DC 20502. Tel: 202-456-6040;
Fax: 202-456-6027; e-mail: amazza@ostp.eop.gov.
SUPPLEMENTARY INFORMATION: In order for the partnership between the Federal
government and the university community to thrive, there must be a clear understanding
on the part of both parties of the goals of the partnership and the responsibilities
of the partners. The following questions sometimes arise in consideration of
this partnership: Why does the Federal government invest in university research?
What is the role of graduate students in the research enterprise? On what basis
are the costs of research allocated among the parties? Federal laws, circulars,
and regulations govern operational aspects of the government-university relationship
in areas such as allowable costs, administrative procedures, compliance issues,
and audit practices. Yet
statements of the rationale, goals, and objectives of the public investment
in university-based research remain implicit, or are
dispersed in a variety of legislation and other policy documents. As long as
this is so, the government-university partnership risks being defined primarily
in an ad hoc manner, by detailed accounting, administrative, and financial management
requirements, and not by broader national goals.
In addition to the Presidential Memorandum to the NSTC cited above, the President also released on April 27, 1999 the NSTC report on Renewing the Federal Government-University Research Partnership for the 21st Century. One of the recommendations contained in this report is the development of a statement of principles of the government-university partnership in research. A clearly articulated statement of the principles of the partnership will help clarify the roles, responsibilities, and expectations of each of the partners and establish a framework for addressing future issues as they arise.
Ultimately, an agreed upon statement of principles also would serve to shape future discussions, to formulate policies, and to help guide decision-making. The process itself of engaging the government and university partners in a dialogue will increase mutual understanding and provide a good foundation for resolving complex issues in the future. The purpose of this notice is to help further this dialogue.
The NSTC report issued a proposed statement of the principles of the government-university partnership (see below). These were developed through interagency review and discussion that benefited greatly from input provided by the university community. Further dialogue is needed among all stakeholders before the principles are finalized.
The goals in developing a statement
of principles are to help foster an environment that promotes scientific discovery,
technological
innovation, and the development of the next generation of scientists and engineers.
The Federal government recognizes the importance to the nation of the American
university system and is driven by a desire to sustain that special resource
for maximum benefit to the nation. A statement of principles will help articulate
these goals, and provide guidance for translating these goals into actions.
In order to be most effective, these principles must be understood and agreed
upon by the parties to it.
Below is the proposed statement of principles:
Proposed Statement of Principles of the Government-University Research Partnership
The following are guiding principles that govern interactions between the Federal
government and universities that perform research.
1. Guiding Principles
Research Is an Investment
in the Future.
Government sponsorship of university research--including the capacity to
perform research and the training of the next generation of scientists and
engineers--is an investment in the future of the nation, helping to assure
the health, security, and quality of life of our citizens. Government investments
recognize that the expected benefits of research often accrue beyond the
investment horizons of corporations or other private sponsors. Investments
in research are managed as a portfolio, with a focus on aggregate returns;
investments in individual research efforts that make up the portfolio are
based on the prospects for their technical success, though not on a presumption
that those outcomes can be predicted precisely.
The Linkage Between Research
and Education Is Vital.
The integration of research and education is the hallmark and strength of
our nation's universities. Students (undergraduates as well as graduates)
who participate in federally sponsored research grow intellectually even
as they contribute to the research enterprise. Upon graduation, they are
prepared to contribute to the advancement of national goals and to educate
subsequent generations of scientists and engineers. Their intellectual development
and scientific contributions are among the important benefits to the Nation
of Federal support for research conducted at universities. There should
be compelling policy
reasons for creating or perpetuating financial or operational distinctions
between research and education. Our scientific and
engineering enterprise is further enhanced by the intellectual stimulation
brought to campus by students from varying cultural,
ethnic, and socioeconomic origins.
Excellence Is Promoted When
Investments are Guided by Merit Review.
Excellence in science and engineering is promoted by making awards on the
basis of merit. Merit review assesses the quality of the proposed research
or project and is often used in combination with a competitive process to
determine the allocation of funds for research. Merit review relies on the
informed advice of qualified individuals who are independent of those individuals
proposing the research. A well-designed merit review system rewards quality
and productivity in research, and can accommodate endeavors that are high-risk
and have potential for high gain.
Research Must Be Conducted
with Integrity.
The ethical obligations entailed in accepting public funds and in the conduct
of research are of the highest order and recipients must consider the use
of these funds as a trust. Great care must be taken to ``do no harm'' and
to act with integrity. The credibility of the entire enterprise relies on
the integrity of each of its participants.
2. Operating Principles
The following operating principles are intended to assist agencies, universities,
individual investigators, and auditing and regulatory
bodies in implementing the guiding principles.
Agency Cost Sharing Policies
and Practices Must be Transparent.
As in any investment partnership, each partner contributes to the research
endeavor. While the primary contribution of universities is the intellectual
capital of the researchers' ideas, knowledge, and creativity, it is sometimes
appropriate for universities to share in the costs of the research (and
in some cases cost sharing is required by statute). Cost sharing can be
appropriate when there are compelling policy reasons for it, such as in
programs whose principal purpose is to build infrastructure and enhance
an awardee's institution's ability to compete for future Federal awards.
Cost sharing is rarely
appropriate when an awardee is acting solely as a supplier of goods or services
to the government since this would entail a university subsidy of goods
purchased by the government. If agency funds are not sufficient to cover
the costs of a research project, the agency and the university should re-examine
the scope of the project, unless there are compelling policy reasons to
require university cost sharing. Agencies should be clear about their cost
sharing policies and announce when and
how cost sharing will figure in selection processes, including explicit
information regarding the amount of cost sharing expected.
Partners Should Respect
the Merit Review Process.
Excellence in science is promoted when all parties adhere to merit review
as the basis for distributing Federal funds for research projects and refrain
from seeking Federal funds through non-merit-based means. Federal investments
in research are made with the expectation that the research community will
select promising research paths more productively and wisely by relying
on merit review than can a process that bypasses merit review to directly
fund a specific individual or institution. Success in obtaining funds outside
the merit review system can be discouraging to researchers who participate
in the process. Most significantly, bypassing merit review threatens to
undermine research excellence. Merit review may be used in conjunction with
other selection criteria to support agency or program goals.
Agencies and Universities
Should Manage Research in a Cost-Efficient Manner.
The goal of all those involved in sponsoring, performing, administering,
regulating, and auditing university-based research and
associated educational activities of the research enterprise should be to
make maximum resources available for the performance of research and education.
This goal can be accomplished by keeping agencies' and universities' costs
of compliance with Federal requirements to the minimum required for good
stewardship of Federal funds. For example,
administrative requirements should rely on the least burdensome and least
costly methods that can effectively provide needed stewardship. Universities
should likewise manage their Federal grants as efficiently as possible.
Accountability and Accounting
Are Not the Same.
The principal measure of accountability must be research outcomes: have
the researchers carried out a program of research consistent with their
commitment to the government? Financial accountability is also important
and should assure research sponsors that Federal funds have been used properly
to achieve the goals of the research in a cost effective manner. Federal
agencies must ensure that financial accountability requirements are limited
to those that are reasonably required for good stewardship and that each
measure adds sufficient value in terms of increased stewardship to justify
the burdens and
costs it imposes on universities and agencies.
The Benefits of Simplicity
in Policies and Practices Should Be Weighed Against the Costs.
The costs and benefits of simplicity in regulatory, administrative, cost
accounting, and auditing practices should be assessed against the costs
and benefits of accommodating diverse Federal programs and the multiplicity
of university organizational structures in determining best policies and
practices. ``One size fits all,'' or uniformity for uniformity's sake can
unintentionally increase requirements and burdens, but a multiplicity of
practices can also be costly. These tradeoffs should be carefully assessed
whenever changes in government-wide or agency-specific policies and practices
are proposed.
Change Should be Justified
by Need and the Process Made Transparent.
The process of change in the government-university partnership should be
made as transparent as possible. Modifications in
administrative, regulatory, or auditing requirements, or in cost sharing
expectations, should be kept as infrequent as possible,
consistent with the need to respond to changing circumstances. The impact
of change in one part of the system should be understood relative to the
whole. Reasonable time should be allowed for both agencies and universities
to adapt to change.
Dated: December 15, 1999.
Barbara Ann Ferguson,
Administrative Officer, Office of Science and Technology Policy.
[FR Doc. 99-32962 Filed 12-20-99; 8:45 am]
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