January 11, 2004
Proposal for Expanded Cooperation
between
The Department of Energy (DOE)/Energy Efficient and Renewable Energy (EERE)
and
The Board on Agriculture Assembly (BAA)/National Association of State Universities
and Land-Grant Colleges (NASULGC)
In early 2003, Department of Energy (DOE) Assistant Secretary David Garman met with the National Association of State Universities and Land-Grant Colleges (NASULGC) President Peter Magrath to discuss a plan for closer cooperation between the DOE/Energy Efficient and Renewable Energy (EERE) and the Board on Agriculture Assembly (BAA)/NASULGC for the purpose of expanding the access of the DOE to the research and Extension capacities of the state universities and land-grant colleges. The objective of this expanded cooperation will be to provide access to Extension and Outreach Systems for delivering products and services of the DOE research and development programs and to develop partnerships in research that will increase the productivity of DOE and NASULGC-affiliated institution research programs.
Since this meeting between Secretary Garman and President Magrath, DOE/EERE had employed Dr. James Fischer (who has held previous faculty and administrative positions at the universities at Clemson, Michigan State, and Missouri) as a member of its Board and charged him with building the basis for cooperation with the NASULGC institutions and U.S. higher education more generally. The BAA of NASULGC has appointed a committee: Daniel Bartell (Dean of the College of Agricultural Sciences and Technologies, California State University, Fresno); James Zuiches (Professor, Department of Community & Rural Sociology, Washington State University); and Stanley Johnson (Vice Provost for Extension, Iowa State University) to link with Dr Fischer in developing a program of action that will achieve the objectives of the DOE/EERE-NASULGC agreement for expanded cooperation.
This document details a set of five projects that have been developed to initiate the expanded cooperation between DOE/EERE and BAA/NASULGC. In some cases, these are pilot projects designed to develop information that can support broadened cooperation. They are offered for action by the BAA to the EERE Board. Agreement on the initiation of these projects will result in their implementation during the 2004 calendar year. At midyear and at the end of 2004, those responsible for each of the projects will provide an accounting of activities and assessment of results for expanding energy education, research and technical assistance. The five suggested projects are:
These five projects have been structured and timed to permit a reporting at the NASULGC Annual meetings in November of 2004. Subsequent to these meetings and the report, the BAA Committee and James Fischer and appropriate staff will propose a cooperative program for 2005, which builds on the successes and ideas for collaboration that have surfaced as a result of the experience in 2004.
One of the important ways to increase cooperation between DOE/EERE and the BAA/NASULGC institutions is improved communications. This added communication will build the understanding of the programs and organization of DOE/EERE for the BAA/NASULGC institutions and, in fact, the NASULGC organization. In addition, it will help the program managers and other leaders within DOE/EERE better understand how NASULGC brings together the participating institutions, and the planning and priority setting processes within the affiliated institutions. The result will be an extensive system of informal connections that can be used by both parties for gaining information and for developing cooperative initiatives.
From the DOE/EERE side, communication and opportunities for cooperation can be expanded by increasing the appointments of BAA/NASULGC affiliated institution scientists and administrators to advisory boards and to review teams. Many of the scientists from the state universities and land grant colleges now participate in these boards and review teams. The difference in the case of this project will be that the scientists and administrators will be appointed to represent BAA/NASULGC, and will have responsibilities for communicating among the BAA/NASULGC institutions on their experiences and the opportunities that have been identified for possible added cooperation.
From the BAA/NASULGC side, James Fischer or other Board members and program managers will be invited to the official meeting of NASULGC and the organizations that are a part of the BAA. Examples of the latter include the Extension Committee on Organization and Policy (ECOP), the Experiment Station Committee on Organization and Policy (ESCOP), the 1890s institutions, and the Administrative Heads Section (AHS). Increased communications and relationship building with the Academic Committee on Policy ( ACOP) will result in excellent exposure of professional positions available in EERE as well as universities providing information to EERE on latest graduates and their areas of interest.
The participation in BAA also includes other boards of NASULGC, for example, the Human Sciences and Natural Resources. As a part of this participation, the DOE/EERE representatives will report on activities and actions within the DOE. They will also report on the results of joint projects that have been implemented as a result of actions taken in response to this proposal.
Organization : During the first year, the communications activity will be managed by James Fischer and appropriate staff and the BAA committee identified above, and the NASULGC/BAA staff. At the end of the calendar year 2004, the communications strategy of Project #1 will be evaluated and if found to add value for both DOE and NASULGC, will be additionally institutionalized within BAA/NASULGC and DOE/EERE.
Actions : James Fischer and appropriate staff and the BAA Committee for NASULGC will identify opportunities for participation in NASULGC and DOE programs. This listing will be completed by January 31, 2004.
James Fischer and appropriate staff and the BAA Committee will also identify opportunities within DOE and NASULGC for participation in boards and review teams. This listing will be completed by January 31, 2004.
Members of the NASULGC staff and from the institutions affiliated with NASULGC will be identified, along with resumes as candidates for appointment to represent NASULGC at meetings, boards and with review teams for DOE/EERE. This "roster" will be established by February 15, 2004.
A similar “roster” from DOE/EERE will be prepared by February 15, 2004.
The BAA Committee and James Fischer and appropriate staff will make assignments from the rosters to represent BAA and EERE, respectively. These assignments will be made by March 1, 2004. Where the rhythm of the meetings and board and review team appointments do not follow a calendar year cycle, this process will be ongoing throughout the year.
Report back templates will be developed for use by these BAA/EERE and NASULGC representatives. The process for sharing the information will also be developed--in the case of NASULGC--likely on the web page for the BAA.
At the end of the calendar year, a general report will be made on this project and used as a basis for determining whether to continue it and/or alter it to better serve the common objectives of NASULGC and DOE/EERE. This report will be prepared jointly by James Fischer and appropriate staff and by the BAA Committee. It will be delivered to Secretary Garman and President Magrath by November 15, 2004.
Funding : This project can be carried out during the first year without added funding either from NASULGC or DOE.
Project #2:
Use of Extension and Outreach Systems for the Dissemination and Delivery of
DOE/EERE Products and Services
The DOE/EERE research and development program produces a number of products and services designed for households, firms, advocacy organizations and communities. Evaluation programs conducted by the DOE/EERE have shown that these products can significantly contribute to energy conservation, the efficiency of energy use and to the use of renewable energy. Great value in terms of efficiency, conservation and alternative materials use could be generated if the products and services were in wider use. The problem in expanding their use and adoption is the availability of an effective education and delivery/dissemination system.
One of the salient features of the NASULGC-affiliated institutions is their Extension and Outreach Services. These Extension and Outreach Services bring the products and services of the state universities and land grant colleges to clients, whether persons, families, communities or firms. The Extension Service is a part of the academic programs of all of the state universities and land grant colleges. This system has close connections with the university/college research and educational programs. As well, it encompasses a delivery system which includes offices in all 3,200 counties in the USA as well as about 6,000 field specialists that are trained in the delivery of core and more specialized programs.
The purpose of this project will be to link the Extension and Outreach Services with the products and services that are produced by the EERE research and development programs. The objective is to expand the use of the DOE/EERE products and services, reaching all areas of the nation. The result will be increased use of these products and services and improved conservation, energy efficiency and use of renewable energy--addressing the mission of EERE and enabling the Extension Service to better serve its clients.
Organization : The cooperation in the dissemination and delivery of DOE/EERE products and services will be piloted in calendar year 2004. At least one Extension Service from each of the six DOE regions will participate in the project. The project will be managed by James Fischer and appropriate staff in conjunction with the DOE Regional Office and by the BAA Committee and NASULGC staff..
Actions : The BAA Committee, in cooperation with James Fischer and appropriate staff, will select the Universities/Extension Services and EERE programs that will participate in the pilot. These selections will be made base on Extension Service and Program Manager’s interest and will be made by January 31, 2004.
Professionals from the Extension and Outreach Services participating in the pilot will work with DOE/EERE program representatives to select a number of products and services that will be included in the pilot--likely not more than ten in total. Some of these pilot projects will be products and services that can be delivered or disseminated with limited training of Extension and Outreach Services staff. Whereas, others pilot projects may require training of Extension and Outreach specialists. This training could occur on a national level and be funded by the EERE programs that directly benefit from this effort. This will be accomplished by February 28, 2004.
A delivery approach (likely including a fee) that is common across the six participating Extension and Outreach Services will be established and approved by the BAA Committee and James Fischer and appropriate staff. This approach will be determined by February 28, 2004.
Extension and Outreach Services faculty and staff who participate in the pilot will be trained for delivery/dissemination of the products and services. This training will be conducted by staff organized by DOE/EERE, and may include on-site sessions. The training will be conducted during March/April of 2004.
Delivery/dissemination of the DOE/EERE products and services will be initiated during May of 2004, with clear targets of coverage and adoption.
An evaluation report will be prepared by the pilot Extension and Outreach Services using a framework that is provided by the BAA Committee in cooperation with James Fischer and appropriate staff. The report will be completed by November 15, 2004.
Based on this evaluation report, plans will be made to expand the project beyond the pilot--added products and services and added Extension and Outreach Services. The report will also provide an evaluation of the training and delivery approaches used in the pilot.
Funding : DOE/EERE and the pilot Extension and Outreach Services will provide in-kind support. Travel and other costs incurred in product and service selection, training, monitoring and evaluation will be provided by the participating Extension and Outreach Services and DOE/EERE--not to exceed $100,000 in general funding. This funding may be supplemented by the program managers for special workshops etc. for those projects that directly benefit a given program. The budget will be managed by BAA/NASULGC staff.
Project #3:
Youth Education in Science and Technology
The DOE/EERE has developed a number of educational materials designed to be used in schools for youth interested in careers in science and technology. These materials also include messages about energy efficiency and renewable energy. The materials incorporate modern technologies and are oriented to attract the interest of students as well as to educate them on their content. An issue for the DOE/EERE is to get these materials into the schools and into other educational venues for youth, and on a national basis. There is also a desire to evaluate these materials form the viewpoints of students, teachers, other educators and, of course, for their impacts on the careers that students may select.
The Extension and Outreach Services which are affiliated with the BAA/NASULGC operate 4-H Youth Development Programs in all of the states. Approximately 8 million youth between 7 and 17 years of age participate in these programs. The programs include club activities in which youth learn citizenship and do projects that are educational, an in school program in which curriculum is enriched in areas of science and technology and the life sciences, before and after school that are designed to add content and learning opportunities for youth, and special programs involving camping and other experiential learning events. The curricula for these programs are all science based and are continuously evaluated for learning outcomes.
The purpose of this project will be to engage the Extension and Outreach Services in the delivery of the materials developed for youth by DOE/EERE. The 4-H Youth Development Programs operated by the Extension Services also cooperate with other youth development programs, e.g., FFA, the Scouts and the Boys and Girls Clubs. Many NASULGC universities also require service learning as a part of their curricula. Thus, the experience generated through cooperation with the Extension and Outreach Services could be transferred to other youth development organizations to expand possibilities for delivery and incorporation into youth programming. The objectives of the project will be to attract youth to science and technology careers, educate youth about conservation, energy efficiency and renewables, and to leverage the applications of the DOE/EERE materials for in-school and out-of-school educational settings.
Organization : This project will be organized similar to Project #2, as a pilot. At least one Extension or Outreach Service from each DOE region will be selected for the pilot. The pilot project will be managed by James Fischer and appropriate staff, the BAA Committee and the NASULGC staff. The pilot will be deployed and evaluated within the calendar year 2004.
Actions : The BAA Committee in cooperation with James Fischer and appropriate staff will select the universities/Extension and Outreach Services that will participate in the pilot. The selection of these Extension and Outreach Services will be made by January 31, 2004.
Professionals from the Extension and Outreach Services participation in the pilot will work with DOE/EERE representatives identified by James Fischer and appropriate staff to select the youth education materials that will be included in the pilot—likely not more than 10 in total. In general, these will be educational materials that can be disseminated with limited training of Extension Service staff. This will be accomplished by February 28, 2004.
A delivery approach that is common across the five participating Extension and Outreach Services will be established and approved by the BAA Committee and James Fischer and appropriate staff. This approach will be documented and approved by February 28, 2004.
Extension and Outreach Services faculty and staff who will participate in the pilot will be trained for delivery/dissemination of the educational materials. This training will be conducted by staff organized by DOE/EERE, and may include on-site services. The training will be conducted during March/April of 2004.
Delivery/dissemination of the DOE/EERE educational materials will be initiated during May of 2004, with clear targets of coverage and adoption.
An evaluation report will be prepared by the pilot Extension and Outreach Services using a framework that is provided by the BAA Committee in cooperation with James Fischer and appropriate staff. The report will be completed by November 15, 2004.
Based on this evaluation report, plans will be made to expand the project beyond the pilot—added educational materials and added Extension and Outreach Services. The report will also provide an evaluation of the training and delivery approach used in the pilot.
Funding : DOE/EERE and the pilot Extension and Outreach Services will provide in-kind support. Travel and other costs incurred in educational materials selection, training, monitoring and evaluation will be provided by the participating Extension and Outreach Services and DOE/EERE—not to exceed $100,000. The budget will be managed by BAA/NASULGC staff.
The research and development (R&D) budget of DOE/EERE is about $1.3 billion per year. According to DOE/EERE estimates, less than three percent of its annual R&D budget is placed with the NASULGC institutions. There are questions on the reasons for the limited participation of the state universities land grant colleges in the DOE/EERE solicitations. The advantage of added participation from the DOE/EERE viewpoint is the access to added capacities for accomplishing its R&D mission. One of the conjectures regarding the low participation is that the intellectual property rights (IP) regulations of the universities and colleges are overly cumbersome. Many of the grants and contracts placed by DOE/EERE are with consortia that include private sector participants. Private sector participants have observed that the IP negotiations that would accompany a joint proposal with several universities or colleges are too costly and time demanding to make the cooperation worthwhile.
The NASULGC-affiliated institutions are building increased capacities for R&D related to energy efficiency and renewable energy, and are interested in becoming more competitive for the DOE/EERE solicitations. There is a willingness to investigate the issue of IP negotiations as a barrier to more successful participation in these solicitations. If this is the case, there is as well a willingness to consider alternative mechanisms for assigning IP. One example is the development of a multi-university/college agreement that would be subscribed to by institutions that wish to become more competitive for the DOE/EERE solicitations, and more attractive partners as members of consortia that include private sector partners.
This proposal is for a two-phased effort. The purpose of the investigation and follow up activity is to provide added access to the state university and land grant college R&D capacities. The objective of the two-phase exercise is to determine if the IP regulations are, in fact, a barrier to participation of the NASULGC-affiliated institutions in consortia including private firms that are bidders on DOE/EERE solicitations, and to make changes in these regulations that make NASULGC-affiliated institutions more attractive partners. The actions will involve a survey and follow up negotiations to develop a more general multi-university IP mechanism--if the survey turns up barriers. Of course, the multi-university IP agreement, if developed, would address the issues or specifics of the barriers turned up in the survey.
Organization : The BAA Committee cooperating with James Fischer and appropriate staff will work with the contracts/procurement office of the DOE/EERE to identify the names and addresses of all bidders (perhaps as well those entities that have requested detailed copies of the solicitation proposals on a set of DOE/EERE solicitations that are determined appropriate for participation by NASULGC-affiliated university and college access. An on-line survey will be designed and administered to the entities on the list prepared from the information on past solicitations. Analysis of the survey results will determine the specifics of moving toward phase two and the design of new mechanisms.
Actions : Working with James Fischer and appropriate staff, the BAA Committee will identify the solicitations (2003) that will be included in the survey. This task will be completed by January 31,2004.
These same two groups with support provided by survey units within the NASULGC-affiliated institutions will design and pretest the on-line survey. This set of activities will be completed by March 30, 2004.
During April and May of 2004 the survey will be administered.
Survey results will be tabulated and analyzed during June and July of 2004.
A report for the leadership of DOE/EERE and NASULGC will be prepared during August of 2004, and presented to each of these groups during September of 2004.
Based on the report and its recommendations, a joint DOE/EERE--NASULGC group will be convened to investigate the development of a common IP mechanism that can be used by the NASULGC-affiliated institutions for participating in DOE/EERE solicitations. This group will also have participation from several firms that are frequent participants in the DOE/EERE solicitations. The plan for this activity will depend on what is discovered from the survey.
Funding : This project will be fully funded by the cooperating NASULGC-affiliated institutions. Government regulations make it very difficult for the DOE/EERE to conduct such surveys. The resources from the DOE/EERE side will involve the compliance with requests for names of participants in the solicitations and assistance in the design of the survey, interpretation of the survey results, and in crafting the new property rights mechanisms.
Project #5:
Workshops at the DOE Labs for Scientists from the NASULGC-Affiliated Institutions
Significant collaboration with the scientists at the NASULGC-affiliated institutions is initiated directly by the DOE Labs. In many cases, the opportunities for participation are limited by informal connections that have been developed through professional associations or previous working relationships. These collaborations involve joint scientific work and, as well, the use of sophisticated scientific equipment that is often available only at the Labs. Expanding the opportunities for collaboration could benefit the R&D programs at the DOE Labs and increase the participation of the NASULGC-affiliated institutions in the work of DOE/EERE and perhaps its solicitations for grant and contract work.
From the side of the NASULGC-affiliated institutions, increased opportunity to participate in R&D project of the Labs is highly attractive. These collaborations will add to the quality and scope of the scientific work of these institutions. As well, these collaborations may make available access to scientific equipment that is prohibitively costly for use in the scientific work at the NASULGC-affiliated institutions. As well, there is great value in the networking that such collaborations would afford. Many of the scientists in the NASULGC-affiliated institutions are working in relatively small groups and isolated. This is especially the case for many of the younger and not fully established scientists. Finally, most of the scientists in the NASULGC-affiliated institutions are involved in teaching, which could as well be improved through the transfer of knowledge and working relationships that these collaborations could generate.
This proposal is for a set of workshops organized at the DOE Labs. However, in the first year of this effort it is suggested that just the EERE Lab, (The National Renewable Energy Laboratory [NREL]) be a partner in this project. The purpose of the workshops will be to expand the connections between the scientists at the Labs and the scientists that are with the NASULGC-affiliated institutions. These workshops will be narrowly focused in areas that are aligned with the major areas of focus of NREL namely: wind, solar, biomass, buildings, advanced vehicles and fuels, geothermal, hydrogen and fuel cells and/or areas in which the Lab is developing scientific programs. The objective of the workshops will be to acquaint the scientists that are participants and to expand the possibilities for collaboration on current and future projects. A special focus will be on the younger scientists and underrepresented minorities at the NASULGC-affiliated institutions, and the opportunity to complement the teaching responsibilities of the participating scientists.
Organization : The project will be organized through James Fischer and appropriate staff at DOE/EERE and the BAA Committee. The plan for the timing of the workshops is to pace them with the activities of the Lab. The workshops will normally run for two days, with time for acquainting the scientists with the NASULGC-affiliated institutions with the equipment in the Lab as well as their research and development programs. Scientists from the Lab will make presentations, and there will be ample time for discussion and related activities to facilitate future cooperation.
Actions : NREL will be contacted to determine their interest in participating in the workshop program. (At an earlier date, contacts were made and almost all of the Labs indicated that they would participate.) The purpose of the workshops will be explained, and a template that the Lab can use for the organization of the workshops will be provided. This action will be coordinated by the BAA Committee and James Fischer and appropriate staff. The contacts of the Lab and the determination of their interest in sponsoring a workshop (along with times and content) will be completed by March 1, 2004.
Once the Labs which will hold the workshops have been determined, along with the planned dates, the BAA Committee will identify participants from the NASULGC-affiliated institutions. It is the intent that approximately 30 scientists from the NASULGC institutions will participate in each of the workshops. Again, attention will be given to participation of younger scientists and scientists from minority serving institutions. Regional research projects that are focused in an area of science that is relevant to a particular program of the lab could be one mechanism used to identify university participants in the lab workshops.
The plan is that the workshops will be held during the mid-year months--June through September 2004. This will permit the participation of NASULGC scientists who may have teaching responsibilities.
At the end of each of the workshops there will be an evaluation--for both the NASULGC participants and the scientists and administrators within the Labs. The idea will be to gain information that can be helpful in organizing future workshops and to determine how the workshop might be used to foster added cooperation with the NASULGC scientists.
A report on the workshops for the leadership of DOE/EERE and NASULGC will be prepared with recommendations and evaluations of the effort. This report will contain recommended actions for follow-on activities, for example, internships, shared graduate student appointments, sabbaticals, etc. The purpose will be to assess the value added by the workshops. This report will be available on October 1, 2004.
Additional workshops that incorporate other laboratories may be prepared and offered consistent with the experience of the summer of 2004.
Funding : The funding for the workshops will come from the Lab and the NASULGC-affiliated institutions. The Labs will host the workshops--providing meeting rooms and presentations for the program. The NASULGC scientists will pay their own expenses for attending the workshops, including travel and accommodation. The DOE/EERE may determine that it will subsidize the participation of NASULGC scientists that are younger or are from minority serving institutions.