The Federal Demonstration Project; Phase III Solicitation

NATIONAL SCIENCE FOUNDATION

The Federal Demonstration Project; Phase III Solicitation

AGENCIES: 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 & Material Command, National Aeronautics

& Space Administration, Environmental Protection Agency.

ACTION: Notice.

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SUMMARY: This Notice announces a solicitation to participate in Phase

III of the Federal Demonstration Project (FDP), to test innovative

approaches to streamline processes and systems for Federally supported

research and education. FDP Phase III constitutes the continuation of

the Florida Demonstration Project Phase I which ran from 1986 through

1988, and the Federal Demonstration Project Phase II which began in

September 1988 and will conclude in June, 1996.

DATES: Proposals must be received by C.O.B. on March 20, 1996 (see

section entitled ``Proposal Submission and Deadline'') Evaluation and

selection of organizations will be completed about May 1, 1996. Project

organization and execution of Phase II agreements will be completed

about June 15, 1996.

FOR FURTHER INFORMATION CONTACT:

Ann Datko, U.S. Department of Agriculture, 202-401-4921,

A[email protected];

Geoffrey Grant, NIH, 301-435-0538, [email protected];

Harry Haraldsen, Air Force Office of Scientific Research, 202-767-4990,

[email protected];

Robert Hardy, NSF, 703-306-1240, [email protected];

Richard Kall, NASA 202-358-0459, [email protected];

Charles Paoletti, ONR, 703-696-4606, [email protected];

Dan Shackelford, U.S. Army Medical Research and Materiel Command, 301-

619-7216,

Dan__S[email protected];

John Showman, EPA, 202-260-6580, [email protected];

Larry Travis, Army Research Office, 919-549-4310,

[email protected];

Jean Morrow, DOE, 301-903-2452, [email protected]

SUPPLEMENTARY INFORMATION:

Background

In April, 1986 NSF, NIH, ONR, DOE and USDA joined with the Florida

State University System and the University of Miami in a demonstration

of a standard and simplified research support instrument. This Florida

Demonstration Project was developed by federal officials with the

encouragement of the Government-University-Industry Research Roundtable

(GUIRR) of the National Academy of Sciences. This Demonstration tested

the use of a number of expanded authorities for grants administration

by research performing organizations. Demonstrations focused on such

things as eliminating most requirements for federal prior approval of

certain expenditures so long as pertinent grantee administrative

systems were adequate and effective and allowing grantees the authority

to: a) incur pre-award costs up to 90 days before the effective date of

a grant, b) extend the period of the grant for up to one year with no

additional funds, and c) carry forward balances from one budget period

to the next. Based on the results of Phase I, OMB authorized expansion

of the Demonstration in May, 1988.

FDP Phase II began in September, 1988 with 21 educational

institutions or consortia and 10 federal agencies. Initially, seven

task groups comprised of representatives from participating

institutions and federal agencies were formed and charged with

developing models for administrative reform in a

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variety of areas. A uniform set of policies and procedures for

administration of research grants, a simplified continuation

application process and elimination of equipment screening were some of

FDP Phase II successes. In addition, during Phase II FDP responded to

an OMB request to prepare a report on the possibility and practicality

of direct charging facility costs to grants. FDP Phase II was

recognized in the National Performance Review as the model for testing

more efficient ways for federal agencies to interact with grantee

institutions.

Purpose of Scope

The purpose of this solicitation is to provide a mechanism to

expand the scope of and broaden the participation in the current

Federal Demonstration Project. The primary focus of this new phase of

the FDP will be to serve as the central test bed for demonstration of

reengineered processes and systems for federal support of research and

education. Emphasis will be placed on electronic research

administration and demonstrations that provide administrative relief

for faculty researchers. Primary goals continue to be increased

productivity, increased stewardship, and decreased administrative

burden.

Organization of Phase III and Phase III Activities

The primary forum within the FDP Phase III for interaction among

all the participants will continue to be the Committee of the Whole.

Each non-federal member institution or organization will designate a

minimum of two representatives (one administrator and one investigator)

to the Committee of the Whole. Similarly, each federal agency

participating in the FDP Phase III will designate two representatives

(policy/administrative/business and program manager). Additional

institutional/agency representatives may attend and participate in

meetings as observers, as may representatives from affiliate membership

groups. The Committee of the Whole will meet at least once a year.

In addition to the Committee of the Whole, a Steering Committee

will meet at least three times a year. The Steering Committee will

receive and approve recommendations for new demonstrations, progress

and evaluation reports on demonstrations and pilots, and approve the

conveying of recommendations to the Office of Science and Technology

Policy. The Steering Committee will also be responsible for

establishing task forces and assigning their membership, developing

position papers, reviewing and approving additional affiliate

membership requests and membership terminations, and undertaking other

activities consistent with FDP objectives. All member federal agencies

will be represented on the Steering Committee. Depending on the number

of non-federal members, participation may include one representative

from each institution or a representative group of institutional

representatives whose membership would rotate, offering each

institution membership on the Steering Committee for a set period.

An Executive Committee, consisting of two institutional Steering

Committee members, two federal agency representatives, a GUIRR

representative, and a senior federal science official will meet on an

as needed basis and will be empowered to take necessary actions on

behalf of the Committee of the Whole and/or Steering Committee. It will

also develop meeting agendas, monitor task force progress, identify

opportunities for new demonstrations, and act as liaison for the FDP

with other groups and individuals. The Steering Committee will appoint

members to the Executive Committee annually except for the senior

federal science official who will be selected from, and named by, the

Research Roundtable Council and will have an indefinite term of

service.

The GUIRR of the National Academy complex will continue to function

as a neutral convenor for the FDP, and will provide the executive

secretariat. It will continue to facilitate meetings and discussions of

the Committee of the Whole and Steering Committee, and the

contributions of the FDP to federal policy-making.

The federal agency working group will continue to be comprised of

representatives of the federal agency Steering Committee members. The

group will convene periodically to form a consensus about proposed

demonstrations and pilots they are willing to test, as well as new or

revised FDP terms and conditions.

The Office of Science and Technology Policy (OSTP) will be the

focal point within the federal government to receive, review and

implement as appropriate recommendations emanating from FDP activities.

Eligibility

This solicitation is open to all institutions and organizations

other than state and local governments that undertake research or

educational activities supported with federal funds through a grant or

cooperative agreement mechanism, provided such organizations have

received at least $1,000,000 of such federal support over the past two

years. Existing FDP member institutions and organizations who have

maintained active participation in the current Phase II of the FDP will

be admitted to Phase III upon execution of a memorandum of agreement

(see below) by an appropriate senior official of the organization.

Consortia of federal research or education performing institutions or

organizations are not eligible to participate in Phase III of the FDP,

with the exception of central system offices of statewide university

systems and non-profit foundations that serve as legal agents for

otherwise eligible institutions (e.g. university research foundations).

In such cases participation of individual member institutions in the

FDP is strongly encouraged. Existing member institutions of FDP Phase

II consortia will be admitted to Phase III upon execution of the

memorandum of agreement.

The selection of organizations for Phase III of the FDP is intended

to be broadly representative of the federal research and education

performing community, including large and small public and private

colleges and universities (including predominantly undergraduate

institutions and HBCUs), non-profit research and education

organizations (including science museums), hospitals, and profit-making

organizations. every effort will be made to ensure broad representation

by type, size, extent of federal support, geographic location and other

characteristics. However, no commitment is made to select either a

minimum number of organizations or to ensure representation by

organization type or other characteristics.

Expressions of interest in affiliate membership status by groups

such as professional associations of researchers, educators or research

and education administrators, scientific societies, and other such

groups are encouraged. While such groups are not eligible for full FDP

membership, their representatives may attend FDP meetings as observers

and otherwise participate as appropriate in FDP activities. Affiliate

membership status for smaller institutions or organizations unable to

commit to the conditions for full FDP participation (see below) also

will be considered.

Participation Conditions

As a condition for participation in Phase III, the selected

organizations will be required to agree to the following conditions:

1. Establishment and maintenance of management and administrative

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procedures and systems that comply with the standards and requirements

of the federal government for administering federal awards for research

and education (including lack of material weaknesses in internal

control structures as confirmed by applicable audit requirements and

substantial compliance with federal policies and regulations pertaining

to grant administration, such as timely technical, invention and

financial reporting).

2. Agreement to actively participate in the FDP, including regular

attendance, at institutional expense, of FDP committee and task force

meetings, and participation in new or ongoing FDP demonstrations and

pilots. Failure to attend two or more consecutive regularly-scheduled

FDP committee meetings will be grounds for termination of membership.

3. Commitment to continued efforts to reengineer and streamline

internal processes while enhancing the stewardship of federal support

and to provide a report to the FDP membership at least every two years

on these efforts.

4. Execution of 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 NSF Home Page on the World-Wide Web).

Federal agencies currently participating in the FDP have agreed that

agency grants and cooperative agreements to FDP member institutions and

organizations (excluding affiliate members) will be governed by the

``FDP Terms and Conditions'' (unless otherwise required). During Phase

III they are expected to use the FDP as the primary focus for tests and

demonstrations of reengineered processes and systems for the support of

research and education. Additional federal agencies may be admitted to

the FDP upon agreement to these conditions.

What To Submit

Proposing organizations must submit ten (10) copies of a brief

proposal (not to exceed 5 pages). The proposal must be signed by a

senior official authorized to commit the organization in such matters

(in the case of educational institutions Provost level or higher). It

must cover the following:

1. Description of existing and planned efforts by the proposing

institution/organization to reengineer and improve the effectiveness of

systems for administration of federal support.

2. Description of possible Phase III demonstration and pilot

projects including significance of the administrative problem or burden

to be addressed, suggested methods/approaches, ways to assess the

impact on productivity, and expected benefits.

3. Identification of primary institutional/organizational

representatives including their background and qualifications. One of

the outcomes of Phase II is a recognition of the need for greater

participation in FDP activities by principal investigators and project

directors of Federally supported research and education activities.

Therefore proposing organizations should identify both administrative

and principal investigator/project director representatives and

indicate their commitment to participate in FDP activities. (It is

expected that each FDP Phase III member organization will designate two

representatives).

4. Indication of the proposing organization's top management

commitment to reengineer administrative processes and systems, and

willingness and commitment to fully participate in FDP activities.

This section also should include a brief summary of the

organization's characteristics: type of institution/organization, size,

Federal R&D/education funding for fiscal years 1994 and 1995, by year

and funding agency, etc.

Selection Criteria

1. Evaluation and assessment of existing reengineering activities

of the organization in the area of administrative processes and systems

and organizational commitment to same.

2. Significance of proposed demonstrations and pilot projects and

the extent to which suggested methods and approaches clearly show

potential to achieve the results sought.

3. Commitment of individuals proposed as lead organizational

representatives and their experience and leadership in improving

administration of federal support.

4. Evidence of organizational and top management commitment to full

participation in Phase III. In additional to the above, equally

weighted criteria, consideration will be given to achieving an

appropriate representation of organizations, including organization

type, size, extent of federal support, geographic location, etc.

Evaluation of Proposals and Selection Process

Evaluation of proposals will be carried out by the Standing FDP

Committee on Membership, which is comprised of federal agency

officials, representatives of current FDP member institutions, and

GUIRR representatives. The Membership Committee will make the final

selection in consultation with the Executive Committee of the FDP.

Proposal Submission and Deadlines

Ten copies of the organization's proposal must be received by

C.O.B. March 20, 1996 at the Government--University--Industry Research

Roundtable, National Academy of Sciences, National Academy of

Engineering, Institute of Medicine, 2101 Constitution Avenue NW.,

Washington, DC 20410. Attention: FDP

Selection and Schedule

Evaluation and selection of organizations will be completed about

May 1, 1996. Project organization and execution of Phase III agreements

will be completed about June 15, 1996.

Dated: February 2, 1996.

Robert B. Hardy,

Director, Division of Contracts, Policy and Oversight.

[FR Doc. 96-2642 Filed 2-7-96; 8:45 am]

BILLING CODE 7555-01-M