The Federal Demonstration Partnership Phase IV Modes of Participation – Federal Agencies, Emerging Research Institutions and Affiliate Organizations
Federal Agency I Research Institution I Emerging Research Institution I Affiliate Organization
Note: This is a revised edition of the February 4, 2002 solicitation with additional and updated information of special interest to potential federal agency, emerging research institution and affiliate members. For more information, see the Original Solicitation.
National Science Foundation, National Institutes of Health, Office of Naval Research, Department of Energy, Department of Agriculture, Air Force Office of Scientific Research, Army Research Office, Army Medical Research & Materiel Command, National Aeronautics & Space Administration, Environmental Protection Agency
FDP Phase IV is the continuation of extensive partnership efforts that began with the Florida Demonstration Project (Phase I—1986 to 1988); the Federal Demonstration Project (Phase II1988 to 1996); and the Federal Demonstration Partnership (Phase III—1996 and concluding September 2002). Phase IV began October 1, 2002, and ends September 30, 2008. Since its inception, the Government-University-Industry Research Roundtable (GUIRR) of the National Academy of Science has acted as FDP’s neutral convener.
Given its diverse membership, FDP is uniquely qualified to act as a forum for addressing issues of mutual interest and concern to the partners, and for testing innovative approaches and streamlining processes and systems for federally supported research and education. This was particularly evident during Phase III when the FDP became the organization that a variety of governmental organizations turned to for feedback and ideas on a broad range of research administration, costing, and science policy issues. In addition to the research agencies, organizations such as the Office of Management and Budget, the Office of Science and Technology Policy, and the National Science and Technology Council also relied heavily on FDP for accomplishing some of their goals.
FDP activities and accomplishments rely almost exclusively on the volunteer efforts of participants, and membership entails substantial contributions of time and expertise by personnel of participating agencies, institutions, and associations. A summary of Phase III accomplishments is provided as Attachment 1.
Members of FDP include federal agencies that provide financial assistance for research and education, and the educational institutions, non-profit organizations, and hospitals that are research performers. Each member institution designates a faculty member and a research administrator, and each agency designates a program officer and an administrator. Because of the marked increase in agency electronic systems for administering extramural research, institutions and Federal agencies are encouraged but not required to designate the technical people who support their research administration systems. Institutions and agencies are also encouraged to have additional staff participate as various FDP projects, demonstrations, and committees require.
The core of the FDP is the work of committees and task forces and specific demonstrations. This work takes place throughout the year at meetings and often by means of telecommunications. As currently structured, a Committee of the Whole, comprised of institutional, agency, affiliate, and emerging research institution representatives meets three times a year, twice in Washington, D.C. and once at an FDP host institution. An Executive Committee, consisting of two institutional members (one faculty, one administrative), two federal agency representatives (one program, one administrative) a representative from the Government/University/Industry Research Roundtable, the Executive Director of FDP, a senior federal science official (appointed by the Office of Science and Technology Policy) and one representative from each of the FDP Standing Committees meets on an as-needed basis and is empowered to take necessary actions on behalf of the Committee of the Whole. It also provides oversight and guidance in developing meeting agendas, monitoring task force progress, identifying opportunities for new demonstrations, and serving as liaison for the FDP with other groups and individuals.
Phase IV Activities
During Phase IV, the FDP will continue its efforts to assure that federally funded researchers and research programs are effective and productive, and that the underlying systems and processes do not unnecessarily hinder the research process. The FDP will focus its efforts on emerging and persistent top policy and process issues. The FDP agencies and member recipient institutions and organizations will determine FDP’s initiatives, but the following are illustrative of potential FDP activities:
• Advocating on behalf of the research community the continued streamlining and standardizing of the research administration process as federal agencies implement Public Law 106-107, specifically in the areas of Pre-award, Post-award, Audit Oversight and Electronic Research Administration
• Illustrating the relationship and trade-offs among regulatory burden, research productivity, and administrative support
• Supporting the President’s Management Agenda described at http://www.results.gov/agenda/index.html, specifically e-Government initiatives and the proposal to improve R&D investment criteria
• Supporting implementation of the NSTC Presidential Review Directive-4: Renewing the Federal Government-University Research Partnership for the 21st Century – Final Implementation Report
• Suggesting equitable methods for providing and documenting cost sharing and direct effort
• Identifying ways to broaden participation of underrepresented populations in sponsored research, including outreach to minority serving institutions
• Encouraging effective, productive working relationships with the audit community
Modes of Participation in the Federal Demonstration Partnership
As noted previously, FDP activities and accomplishments rely almost exclusively on the volunteer efforts of participants, and membership entails substantial contributions of time and expertise by personnel of participating agencies, institutions, and associations. Agencies, institutions, and associations can formally affiliate with FDP in one of the four ways described below.
Institutional Membership: No new Institution Members are eligible to join at this time (except for Emerging Research Institutions (see below)).
(The following information is provided as a description of institutional membership requirements).
“Institutions” include large and small public and private colleges and universities (including predominantly undergraduate institutions and minority serving institutions), non-profit research and education organizations (e.g. science museums and research institutes), and hospitals. Except for central system offices of statewide university systems and research foundations serving such systems, membership is on the basis of individual institutions. Where the system is the FDP member, participation of individual member institutions is strongly encouraged.
Membership is for the six-year life of FDP IV. Research grants and some cooperative agreements to Institutional Members are made under FDP terms and conditions. (FDP terms and conditions are found at http://www.nsf.gov/home/grants/grants_fdp.htm.) The initial annual membership fee for each member institution is $1,500. Subsequent rates will be established by the Committee of the Whole. There is no registration fee for representatives from FDP Member Institutions attending the two meetings a year held in Washington, D.C.
As a condition for participation in Phase IV as an Institutional Member, institutions must agree to do the following:
- Establish and maintain management and administrative procedures and systems that comply with the standards and requirements of the federal government for administering federal awards for research. Institutions must not be debarred from doing business with the Federal government.
- Appoint a faculty representative and a research administration representative, and encourage the involvement of technical staff that supports research administration systems in appropriate FDP activities.
- Participate actively, at institutional expense, in regular FDP committee and task force meetings, ad hoc working groups, and new or ongoing FDP demonstrations and pilots. Failure to attend two consecutive regularly scheduled FDP committee meetings or to participate in FDP activities will be grounds for termination of membership.
- Pay an annual membership fee of $1,500. Consideration of a lesser fee or waiver may be given if circumstances warrant. Requests for fee waivers or reductions should be included in the proposal and should be accompanied by a rationale for the request.
- Continue efforts to reengineer and streamline internal processes and to maintain effective stewardship of federal support. Each institution shall provide a report on these efforts to the FDP membership at least every two years.
- Report annually on their participation in task forces, standing committees, pilot projects and demonstrations during Phase IV.
- Execute a memorandum of agreement confirming the above, and setting forth certain additional understandings and requirements (copy of draft agreement will be furnished on request and may also be accessed electronically via the FDP website at Memorandum of Agreement)
- Affiliate Membership: Associations of researchers, research administrators, scientific societies, associations of state and/or local governments, and other such groups are encouraged to seek affiliate membership. While such groups are not eligible for Institutional Membership, their representatives may attend FDP meetings and otherwise participate as appropriate in FDP activities. Upon approval of a request submitted to the Executive Committee, such groups can be added as affiliate members at any time during Phase IV. A registration fee will be charged to attend the meetings in Washington DC. This fee is estimated at $75 per affiliate organization participant. For those meetings outside of Washington DC, the host institution will set the fee.
Affiliates are expected to:
- Exchange information with FDP about developments that they are positioned to understand in depth.
- Work in concert with FDP to achieve common objectives.
- Be represented at FDP meetings.
Potential affiliates may contact the FDP at:
FDP Executive Committee
Keck Center (509)
500 Fifth Street NW
Washington DC 20001
Emerging Research Institution (ERI) Participation:
We are not accepting any more applications from potential ERIs for the duration of phase IV. If you are interested in becoming an FDP member, please look for the solicitation to join phase V, which should be published in the spring of 2008.
Institutions whose annual federally supported research & development expenditures are less than $15,000,000 [as shown in the research and development column of ‘Federal obligations for science and engineering (S&E) to universities and colleges, by State, institution, and type of activity: fiscal year 2000’ http://www.nsf.gov/statistics/nsf02319/pdf/fssb15.pdf] may become formally involved in some or all FDP activities without becoming full Institutional Members.
The input from such institutions helps enlighten the discussions of the FDP and ensures that the federal members hear from a broad audience. For example, regulatory burden or federal rules regarding conflict of interest or Responsible Conduct of Research might have an especially great impact on less research-intensive institutions. ERI’s can be added at any time during Phase IV by submitting to the Executive Committee a description of their research support and expected growth areas, and an indication of what they feel they can contribute to FDP. A recommended format for ERI membership requests is available at Phase IV Application for ERIs.
There is no annual fee for this type of participation.
Emerging Research Institutions are expected to:
- Designate an individual who is the point of contact for FDP activities.
- Be involved in appropriate meetings, demonstrations and activities.
- Execute a Memorandum of Agreement with federal agencies reflecting participation. An example is at: http://www.nsf.gov/pubs/fdp/phase4moueri.pdf.
- Effective dates of terms and conditions for ERI participants will be subject to the dates agreed to in an executed Memorandum of Agreement among the Federal agencies and the ERI organization.
Potential Emerging Research Institutions may contact the FDP at:
FDP Executive Committee
Keck Center (509)
500 Fifth Street NW
Washington DC 20001
Federal Agency Membership: Any grant-making federal agency wishing to participate in the Federal Demonstration Partnership may do so, provided it meets the requirements stated below. Agency membership is open throughout Phase IV, and interested agencies should contact the FDP Executive Committee.
Federal agencies participating in the FDP must agree to do the following:
- Apply FDP Terms and Conditions to at least grants and to the extent possible to cooperative agreements awarded to FDP Institutional Members.
- Designate both an administrative and program representative to the FDP, and where possible, a technical representative.
- Use the FDP as the primary focus for tests and demonstrations of reengineered processes and systems for the support of research.
- Actively participate in regular FDP committee and task force meetings, ad hoc working groups, and new or ongoing FDP demonstrations and pilots. Federal agencies shall provide a report to the FDP membership at least every two years describing their efforts to reengineer and streamline processes that affect the grantee community.
- Provide funding for the operating costs of FDP.
- Execute a memorandum of agreement confirming the above. See http://www.nsf.gov/pubs/fdp//fdpivmou03.pdf
For further information contact:
Phase III Highlights
FDP Phase III began in 1996 with over 65 educational institutions/consortia,12 federal agencies, and six affiliate members, and has made notable strides in improving how federal agencies and the research community work together to ensure the efficiency and the integrity of the research enterprise. Highlights from Phase III include:
- Presidential Review Directive IV: Renewing the Government- University Partnership, (http://www.ostp.gov/html/011001.html): Provided both tactical assistance and informed comment to the National Science and Technology Council in its conduct of the Review
- Electronic Research Administration (ERA) Core Principles: Developed a concise list of eleven principles to guide ERA systems development at agencies and institutions
- NSF E-Signature Pilot: Demonstrated that institutional responsibility could be obtained electronically so that signed, paper proposal cover pages could be eliminated
- NIH eRA Project: Provide most of the participants who advise NIH on eRA initiatives
- PL 106-107 (Federal Financial Assistance Management Improvement Act of 1999): Provided extensive Comments on the Draft Common Plan and Final Common Plan
- Inter-Agency Electronic Grants Committee and PL 106-107 Committees: (http://thefdp.org/PL106-107/ResearchQ&A.pdf ): Four committees provide input to the interagency PL 106-107 implementation teams
- Grant Terms and Conditions: Synchronized with OMB Circulars
- Contract Terms and Conditions: Provided listing of FAR clauses to be used by commercial entities making subawards to educational institutions
- Subaward Agreements: Developed standard two-page agreements for use by FDP member institutions and organizations
- Data Standards for Electronic Research Administration: Developed standard Biographical Information, Institutional Profile, and Funding Opportunity Announcements