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11/2003 CML Research Business Models Subcommittee Common Practices Among Agencies Panel “Moving Toward the Future” Carole M. Liedtke, Ph.D., M.B.A. Federal Demonstration Partnership Faculty Representative, Case Western Reserve University Common Practices Among Agencies

11/2003 CML What is the Federal Demonstration Partnership? A formal collaboration between 12 federal agencies and more than 90 institutions of higher learning Streamline the administrative process and minimize administrative burdens. Increase research productivity Maintain effective stewardship of federal funds FDP is…. A meeting of representatives of federal agencies and universities to evaluate new ideas relative to research administration A forum for discussion and evaluation of options A test bed for demonstrations Common Practices Among Agencies

11/2003 CML Federal Government-University Research Partnership Benefits of the partnership: Pushes the frontiers of knowledge Stimulates technological innovation Improves the quality of life Educates the next generation of scientists and engineers Contributes to America’s economic prosperity Reliance of industry on the universities for basic research Common Practices Among Agencies Incorporate principles and actions of the Presidential Review Directive - 4: Renewing the Federal Government - University Research Partnership for the 21st Century

11/2003 CML Common Practices Among Agencies Panel: Moving Toward the Future FDP addresses challenges arising from multiple policies and regulatory frameworks governing organizations in the research partnership

11/2003 CML Common Practices Among Agencies Multidisciplinary research projects: large scale research and team science What does this entail? More researchers: faculty, staff and students More facilities: libraries, research space, classrooms More administrative responsibilities: impact on federal agencies, universities, and faculty researchers More costly than investigator initiated (small scale research) Rapid technological changes: research tools, information technology Change in dynamics of the research enterprise: challenge to existing administrative structure of federal agencies and universities

11/2003 CML Barriers or impediments to success Common Practices Among Agencies Inconsistency of policies and practices Cross-institutional issues become burdens Regulatory burden Funding agency rules/regulations Homeland Security Research infrastructures Unfunded mandates Bricks and mortar Radiation and chemical safety, security Biomedical review committees: rDNA, human subjects Auditing community Multiple processes, rules and expectations cause high overhead and opportunity for error in processing awards and accounting for and reporting results

11/2003 CML Inconsistency of policies and practices among federal agencies and private foundations Identification of scientific frontiers for future research Grant review process Selection of research proposals Conflict of interest Intellectual property Time/effort reporting Negotiated cost sharing and F&A rates Common Practices Among Agencies

11/2003 CML Cross-institutional issues Different F&A rates Direct charge of research costs Different state and university policies Impact on promotion and tenure decisions: recognition of multiple investigators, independence Education and training of future scientists Recruitment and selection of trainees Compensation Impact of visa restrictions, unannounced rule changes, extended review time Funding of trainees (PRD-4 implementation) Homeland security: select agent rule, visa restrictions Common Practices Among Agencies

11/2003 CML Cross-Institutional Issues, Cont. Conflict of issue policies Intellectual property and technology transfer policies Terms/conditions of funding restriction on publication, transfer of research reagents F&A waivers or reductions Accounting systems and procedures Conformity with cost accounting standards Common Practices Among Agencies

11/2003 CML Regulatory burden involves real cost Common Practices Among Agencies Federal, state and local laws, rules and regulations Compliance : hazardous waste storage and disposal occupational safety and health animal care human subjects protection homeland security: select agents Costs: inventories certification programs training programs for faculty, staff and students legal expenses construction, renovation, and operation of facilities Universities establish Environmental health and safety departments Oversight and review panels: faculty time (volunteer)

11/2003 CML Facilitating opportunities for successful scientists and research in the future Common Practices Among Agencies Identify how investigators develop ideas for research Develop new models identify scientific areas for future emphasis identify/encourage scientists maintain principles of PRD-4 Take risks: invest in wide variety of ideas, methods, and investigators Examine state and local laws for inconsistencies, streamline requirements Eliminate time and effort reporting Information technology Principal means for accountability is research outcome Federal agencies serve as leaders in developing and implementing more uniform policies

11/2003 CML Common Practices Among Agencies F&A rate Multidisciplinary research will increase administrative work for faculty and administrators Rising cost of compliance with federal requirements Faculty perspective: reduce administrative effort and distractions Eliminate 26% cap on F&A Reinstate administrative support as direct cost

11/2003 CML Common Practices Among Agencies Electronic Research Administration With PL , plethora of ERA systems developed Different transaction sets Agency specific requirements NSF with its FastLane most successful agency to implement ERA NIH with eGov and ONR making strides Expand ERA to encompass Information Technology and all aspects of research grant administration Standardize transaction sets: all federal agencies accept the same eGov is step in right direction to achieve a single portal to apply for federal funds