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From page 69...
... In the midst of the Civil War, one of our nation's deepest crises, Congress passed, and President Abraham Lincoln signed, the Morrill Act, thereby laying the foundation for the land-grant universities that generated a productive agricultural and industrial society. So too, the nation now needs to act in the context of present circumstances to assure the vitality of its research universities in a global knowledge economy.
From page 70...
... Therefore, it is essential that the unique partnership that has long existed among the nation's research universities, the federal government, the states, and business and industry be reaffirmed and strengthened. This will require • A balanced set of commitments by each of the partners -- federal government, state governments, research universities, and business and industry -- to provide leadership for the nation in a knowledge-intensive world and to develop and implement enlightened policies, efficient operating practices, and necessary investments.
From page 71...
... • A recognition of the importance of supporting the comprehensive nature of the research university, spanning the full spectrum of academic and professional disciplines, including the physical, life, and social and behavioral sciences; engineering; the arts and humanities; and the professions, that enable it to provide the broad research and education programs required by a knowledge- and innovation-driven global economy. Within this partnership, our research universities―with a historical commitment to excellence, academic freedom, and service to society―must pledge themselves to a new level of partnership with government and business, recommit to being the places where the best minds in the world want to work, think, educate, and create new ideas, and commit to delivering better outcomes for each dollar spent.
From page 72...
... 2 As the major focus of the charge to the committee was graduate education and research, we preface our recommendations by reinforcing the importance of undergraduate education, both in the research universities that we are examining and in other important institutions, from liberal arts colleges to state universities that also provide undergraduate education. The strength of undergraduate teaching and learning to our nation's workforce and prosperity and to preparing students who go on to graduate study cannot be overstated.
From page 73...
... On a quadrennial basis, OSTP, in conjunction with PCAST, and OMB, in conjunction with the NEC and CEA, should review federal science and technology spending and outcomes, internationally benchmarked, to ensure that federal S&T spending is adequate in size to support our economy and appropriately targeted to meet national goals. We recommend that this process consider 4  National Academy of Sciences, National Academy of Engineering, and Institute of Medi cine, Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future, Washington, DC: National Academies Press, 2007.
From page 74...
... Expected Outcomes Supportive federal research policies would ensure stable funding and cost-efficient regulation sufficient to enable corresponding university investment in research facilities and graduate programs. By completing the funding of the America COMPETES Act, the nation would achieve a balanced research portfolio capable of driving innovation necessary for economic prosperity.
From page 75...
... The current Administration developed and issued the National Innovation Strategy in September 2009 and presented an updated version drafted by the National Economic Council, the Council of Economic Advisors, and the Office of Science and Technology Policy in February 2011. This strategy provides a broad policy context and includes a short section focused on strengthening and broadening "American leadership in fundamental research." This provides an excellent foundation from which to craft a more detailed strategy for sustaining the nation's R&D enterprise, fundamental research, and U.S.
From page 76...
... 76 RESEARCH UNIVERSITIES AND THE FUTURE OF AMERICA FIGURE 5-1.1  Gross expenditures on R&D as share of gross domestic product, Figure 5.1.1.eps for selected countries: 1981-2007. bitmap Source: National Science Board, Science and Engineering Indicators 2010.
From page 77...
... Indeed, the committee recommends federal R&D appropriations levels that would sustain and enhance university-based research. We strongly support the goals articulated by Rising Above the Gathering Storm and au 6  TheWhite House, A Strategy for American Innovation: Securing Our Economic Growth and Prosperity, February 2011.
From page 78...
... pub_id=4065&id=2 (accessed September 4, 2011)
From page 79...
... Available at: http://www.nsf.gov/statistics/nsf11313/content.cfm? pub_id= 4065&id=2 (accessed September 4, 2011)
From page 80...
... Available at: http://www.nsf.gov/statistics/ natlpatterns/ (accessed September 4, 2011)
From page 81...
... 6 bitmaps Source for AAAS Figures: Patrick Clemins, Research and Development in the Federal Budget Presentation, AAAS S&T Policy Forum, May 5, 2011. Available at: http://www.aaas.org/spp/rd/forum2011/presentations/PatrickClemins_ AAASForum2011.pdf (accessed September 4, 2011)
From page 82...
... • Balance in the science and technology portfolio: Rising Above the Gathering Storm recommended to "increase the federal investment in long-term basic research by 10% each year over the next 7 years through reallocation of existing funds or, if necessary, through the investment of new funds." The report also recommended "special attention should go to the physical sciences, engineering, mathematics, and information sciences and to Department of Defense (DOD) basic-research funding.
From page 83...
... • Importance of evaluation: Rising Above the Gathering Storm also recommended that federal investments "should be evaluated regularly to realign the research portfolio to satisfy emerging needs and promises -- unsuccessful projects and venues of research should be replaced with research projects and venues that have greater potential."12 Recommendation 2 Provide greater autonomy for public research universities so that these institutions may leverage local and regional strengths to compete strategically and respond with agility to new opportunities. At the same time, restore state appropriations for higher education, including graduate education and research, to levels that allow public research universities to operate at world-class levels.
From page 84...
... Expected Outcomes State appropriations per enrolled student have declined by 25 percent or more over the past two decades, resulting in the need for universities to increase tuition or reduce activities, or quality. As states strive to compete in a knowledge- and innovation-driven global economy, restoring state appropriations to levels sufficient to maintain advanced education, research, and innovation programs provided by research universities is absolutely essential for the prosperity and welfare of their citizens.
From page 85...
... Any loss of world-class quality for America's public research institutions seriously damages national prosperity, security, and quality of life. In fact, for many state research universities, the national importance of these institutions is underscored by the fact that their federal support, through student financial aid and research grants, now exceeds state appropriations.
From page 86...
... Educational Appropriations per FTE (constant $) Public FTE Enrollment FIGURE 5-2.1  Public FTE enrollment and state educational appropriations per FTE student, U.S., fiscal 1985-2010 (constant dollars)
From page 87...
... State Higher Education Executive Officers (SHEEO) reports, "The proportion of state and local tax revenue allocated to higher education declined from 6.9 percent in 1998 to 6.6 percent in 2008." 17 There are important consequences for public research universities and their students that flow from these cuts in state appropriations.
From page 88...
... org/resources/pdf/Trends2011_Final_090711.pdf (accessed September 16, 2011)
From page 89...
... McPherson, President, Association of Public and Land-grant Universities, Presentation to NRC Committee on Research Universities, November 2010. 24 22 21.64 20.01 20 19.32 18 16.82 16 14.89 14 13.12 12 1989 1997 2006 Public High and Very High Private High and Very High FIGURE 5-2.5  Ratio of students to full-time faculty, for public and private research universities, 1989, 1997, and 2006.
From page 90...
... Increased state funding, moreover, should be targeted to their best use in the local and regional economic environment. For example, increased state funding could be used to • Fund expansion of undergraduate and graduate education at public research universities, including disciplines linked to the competitiveness of the state for retaining traditional business and attracting new business.
From page 91...
... • Providing incentives for public universities to form regional compacts with other universities for the purpose of ensuring that programs that might not be of scale in a single university continue to be collaboratively offered or otherwise made available within the region in a costeffective manner. • Reducing state regulations that have attempted to take the place of university administrators and of university governing bodies that are already in place to effectively oversee the strategy and performance of the university as a whole, consistent with the particular mission and distinctive characteristics of the institution.
From page 92...
... • Federal government: Within the context of also making the R&D tax credit permanent, implement new tax policies that incentivize business to develop partnerships with universities (and others as warranted) for research that results in new U.S.-located economic activities.
From page 93...
... The outcomes from these efforts would be the creation of new partnerships, new knowledge and ideas, achieving national goals in key policy areas, and the economic growth and jobs that result from new activity. Improvements in university management of intellectual property will result in more effective dissemination of research results, generating economic activity and jobs.
From page 94...
... . Figure 5.3.1.eps bitmap Source: National Science Foundation, National Center for Science and Engineering Statistics, National Patterns of Research and Development, 2008 Data Update, Table 6.
From page 95...
... . Figure 5.3.2.eps bitmap Source: National Science Foundation, National Center for Science and Engineering Statistics, National Patterns of Research and Development, 2008 Data Update, Table 2, Available at: http://www.nsf.gov/statistics/nsf10314/content.cfm?
From page 96...
... First, patent reform can increase the effectiveness of technology transfer from universities to the marketplace. The enactment of patent reform in September 2011 through the America Invents Act is a start in overhauling the general patent system.
From page 97...
... and the ARPA-Energy and ARPA-Education organizations for transformational R&D (proposed by Rising Above the Gathering Storm 20  See http://www.whitehouse.gov/the-press-office/2011/09/16/president-obama signs-america-invents-act-overhauling-patent-system-stim (accessed September 19, 2011)
From page 98...
... University Presidents Commit to Commercialization Initiative: In coordination with the Administration, the Association of American Universities, and the As sociation of Public and Land-grant Universities, 135 university leaders committed to working more closely with industry, investors, and agencies to bolster entre preneurship, encourage university-industry collaboration, and enhance economic development. Today, over 40 universities are answering the President's call to expand their commercialization programs and goals.  These institutions include The Georgia Institute of Technology, which has outlined its expanded initiatives, as well as universities like the University of Virginia and Carnegie Mellon University, which are announcing plans today.
From page 99...
... Available at: http://www.whitehouse.gov/the-press office/2011/09/16/president-obama-signs-america-invents-act-overhauling-patent-system stim (accessed September 19, 2011)
From page 100...
... The National Academies report Rising Above the Gathering Storm strongly recommended strengthening and making permanent the research and experimentation tax credit, one of the most effective government tax incentives -- clearly working as effectively as government spending on R&D in promoting research and development. Business accounts for about two-thirds of all R&D spending in the United States, providing laboratories and jobs for many of our scientists and STEM graduates.
From page 101...
... Universities should strive to constrain the cost escalation of all ongoing activities -- academic and auxiliary -- to the inflation rate or lower through improved efficiency and productivity. Beyond the implementation of efficient business practices, universities should review existing academic programs from the perspectives of centrality, quality, and cost-effectiveness, adopting modern instructional methods such as cyberlearning, and encouraging greater collaboration among research investigators and institutions, particularly in the acquisition and utilization of expensive research equipment and facilities.
From page 102...
... . Discussion Without compromising the quality of their core programs and activities, the nation's research universities should increase efficiency in their business operations, increase productivity and innovation in their academic programs, and report annually on their performance.
From page 103...
... ACTION 103 TABLE 5-4.1  Strategies Deployed by Public and Private Doctoral Institutions to Address the Financial Consequences of the Economic Downturn (percentage that reported employing the strategy, Winter 2011) Public Doctoral Private Doctoral Strategy Deployed to Address Financial Issues Institutions Institutions Increased tuition by 5% or more for 2010-2011 59.3 17.2 Raised student fees for campus resources and 47.5 6.9 services Increases in endowment payout rates 0.8 13.8 Allowed the discount rate to rise to provide 11.9 41.4 more financial aid Budget cuts targeting selected administrative 57.8 69.0 operations and services Budget cuts targeting selected academic 71.2 34.5 programs and activities Budget cuts targeting selected student services 32.2 27.6 Budget cuts targeting varsity athletic programs 33.9 17.2 Across-the-board budget cuts 22.0 6.9 Hiring freeze for administrative positions 45.8 34.5 Hiring freeze for academic programs and 33.9 10.3 departments Increased proportion of part-time (versus full- 27.1 6.9 time)
From page 104...
... , Berkeley; and the University of North Carolina (UNC) at Chapel Hill have each engaged Bain & Company, a management consulting firm, to examine ways to increase the efficiency of their administrative operations.22 As shown in Figure 5-4.1, Cornell expects to 22 Josh Keller, Universities can save millions by cutting administrative waste, panelists say, The Chronicle of Higher Education, July 25, 2010.
From page 105...
... 25  Cornell University, http://asp.dpb.cornell.edu (accessed June 1, 2011) ; University of Illi nois, http://strategicplan.illinois.edu/planning_process.html (accessed September 11, 2011)
From page 106...
... . • Increase the number of staff in professional development and certification programs provided by the university, particularly in the areas of supervision, management, and leadership (University of California, Davis)
From page 107...
... ACTION 107 Information Technology • Upgrade information technology (IT) systems to capitalize on the latest advances, eliminate redundancies, and achieve interoperability.
From page 108...
... By offering more courses during the summer, creating new summer programs, or allowing other organizations to use buildings during those months, universities may increase revenues without substantially increasing costs (Pennsylvania State University)
From page 109...
... to enable universities to present clear, accessible, and comparable information on the undergraduate student experience to important constituencies through a common web report―the College Portrait -- so those constituents could better understand performance across institutions. Today, there are more than 300 institutions participating.28 The development of similar or additional metrics on cost-effectiveness through VSA or another portal would enable institutions to provide the kind of information needed by policy makers, the public, families, and students to understand how institutions are utilizing their resources in a cost-effective manner.
From page 110...
... requires subsidization of about $100,000, and as a whole, research grants require an investment of 30-40 percent by the university to cover the actual costs of conducting research. With cuts in state appropriations to public universities, flattened federal budgets with lost spending power, increasing unfunded regulatory mandates, and mounting administrative burden, sponsored research funding at AHCs fails to recover the associated overhead costs incurred by universities.
From page 111...
... For example, public research universities may secure their matching funds from states sources, while private research universities may obtain their matches from private sources. However, the source that a particular institution taps for matching funds is not prescribed, so public and private institutions may draw from state support, philanthropy, business, or other sources for matching funds.
From page 112...
... Faculty Chairs To rebuild and sustain the faculties of research universities in key strategic areas during a period of serious financial stress, the federal government should launch an initiative under the Strategic Investment Program that provides matching grants to establish endowments for research faculty positions. Each faculty chair would be supported by a $3 million endowment, consisting of a $1 million grant from the federal government distributed through a competitive process based on research excellence and graduate student productivity, and a required $2 million matching
From page 113...
... Replenishing the faculties of the nation's research universities will bring new perspectives, capabilities, and energy. It would support young and mid-career scholars and investigators engaged in teaching and research who are often at the most creative point in their careers.29 Yet many research universities, particularly public institutions now experiencing serious reductions in state appropriations, are limited in their ability to add faculty members at this time by serious financial constraints.
From page 114...
... The 10 SUNY institutions receiving the awards benefited by hiring scholars who then served a focal point for building academic programs, attracting permanent and visiting faculty, and organizing international conferences. Similarly, in the 1980s, private foundations provided funding for regents chairs at the University of Texas at Austin, which used the program to create prestigious faculty positions, attract outstanding scholars to the university from around the world, and grow academic programs at the institution.
From page 115...
... Available at: http://cpe.ky.gov/NR/rdonlyres/CA48D119-0E78-41BB-9D05-1FFB BA0CF7C5/0/BucksForBrains10YearReport.pdf (accessed September 13, 2011)
From page 116...
... amacad.org/AriseFolder/ariseReport.pdf (accessed September 19, 2011)
From page 117...
... One additional advantage to endowed junior faculty positions over the above existing programs is the availability to support faculty in the humanities as well as in science and engineering. We believe it is the institutions' responsibility to identify how best to allocate such positions across fields.
From page 118...
... The allocation of federal grants to create these chairs should be merit driven, based on quality of proposals as well as the impact of the grant (e.g., the size of the graduate program or importance of the research area)
From page 119...
... An area of investment that has the potential for significantly increasing productivity is cyberinfrastructure. The federal government, philanthropy, and industry should focus one of its first two initiatives under the Strategic Investment Program on cyberinfrastructure necessary for cutting-edge research and advanced education.
From page 120...
... released six task force reports to explore long-term cyberinfrastructure needs in campus bridging, cyberlearning and workforce development, data and visualization, grand challenges, high performance computing, and software for science and engineering. The ACCI task force reports 33  Burton, Orville Vernon, and Simon Appleford.
From page 121...
... 36  The ACCI Task Force defines grand challenges as science and engineering problems re quiring breakthroughs in some combination of key areas, such as high-performance computing, computational models and algorithms, data management and visualization, software, and collaboration among diverse fields. National Science Foundation, Advisory Committee on Cyberinfrastructure Task Force Reports.
From page 122...
... Budget Implications Federal coverage of a higher portion of indirect costs would, at the margins, shift part of federal research funding from direct to indirect costs, so there will be no net change in cost to the federal government. Expected Outcomes This change will allow our research universities to hold steady or reduce the amount of their funding from other sources, such as tuition revenue or patient clinical fees, that they have had to provide for research procured by the federal government, amounts that have increased over the past two decades.
From page 123...
... It is particularly difficult for these donors to understand indirect costs and the differences among different institutions in the levels of these costs. Furthermore, public concerns about rising tuition levels and medical costs, driven in part by declining support from state and federal government, will place many research universities in very awkward positions if they continue to be forced by research sponsors to utilize these sources to also subsidize the costs of sponsored research grants from public or private sources.
From page 124...
... Institutions are regularly audited to make sure they are adhering to sound financial management practices and appropriately recovering indirect costs; universities found to have recovered costs inappropriately are required to reimburse the government.39 Current policies and practices related to indirect cost recovery are causing significant problems for universities that are becoming more serious over time. First, the effective indirect cost recovery rates of many universities fall below the rates negotiated with DOD or DHHS.40 For example, under some programs, such as NIH career awards and training grant programs, U.S.
From page 125...
... There are several options that the committee discussed and should be carefully considered by OMB and others. First, OMB could adjust its 26 percent cap on indirect cost recovery to account for the increasing costs of grant administration and regulatory compliance.
From page 126...
... NOTE:  Because of rounding, detail may not add to total. SOURCE: National Science Foundation, National Center for Science and Engineering Statistics, Academic Research and Development Expenditures, Fiscal Year 2009, Tables 1 and 2, available at: http://www.nsf.gov/statistics/nsf11313/content.cfm?
From page 127...
... Avail able at: http://www.nsf.gov/statistics/nsf10314/content.cfm? pub_id=4000&id=2 (accessed September 4, 2011)
From page 128...
... The National Science Foundation has adopted a new policy based on a National Science Board report of several years ago.45 The new policy eliminates voluntary cost sharing, and limits mandatory cost sharing to a set of programs where a financial commitment from the institution is seen as necessary for the project to succeed, or those involving partnerships with industry or state governments. Adopting this approach across all agencies, and adding a provision that exempts research universities from the mandatory cost-sharing requirements imposed on industry, would deliver significant benefits to institutions.46 The steps recommended here would not, by themselves, ensure that private foundations, companies, and other research sponsors pay the full costs of research.
From page 129...
... • Federal government: The federal government should also harmonize regulations and reporting requirements across federal agencies so universities can maintain one system for all federal requirements rather than several, thereby reducing costs. Budget Implications While the staff time to review regulatory and reporting requirements has a small, short-term cost, the savings to universities and federal and state governments over the long term will be substantial.
From page 130...
... higher education institutions with the aim of eliminating those that are redundant, ineffective, onerous, or inappropriately applied to the higher education sector. Additions to the reporting or regulatory obligations of universities should be implemented only in light of an OMB cost-benefit analysis and should be accompanied by additional funding to support the higher resulting indirect and administrative costs.
From page 131...
... The ultimate results of this process and impacts on research universities should be evaluated at the appropriate time. A special effort focused on the regulatory burdens on research uni 50  Ibid.
From page 132...
... At least two requirements, Effort Reporting and Cost Accounting Standards, neither add value nor enhance accountability. As characterized by the Federal Demonstration Project, Effort Reporting "is based on effort which is difficult to measure, provides limited internal control value, is expensive, lacks timeliness, does not focus specifically on supporting direct charges, and is confusing when all forms of remuneration are considered." Cost Accounting Standards require institutions to disclose in writing accounting policies that are already documented in other institutional systems.
From page 133...
... Suggestions by federal officials that indirect cost reimbursements will pay for new regulatory costs fail to recognize that the 26 percent administrative cap precludes additional recovery of these costs. In situations when new requirements are not effectively controlled to minimize cost burden, institutions should be allowed to establish a cost reimburse ment mechanism in which the incremental costs can be recovered as a direct charge to the federal award.
From page 134...
... (8) Prohibit voluntary committed cost sharing across the Federal government and create a mandatory cost sharing exemption for research universities.
From page 135...
... The ombudsman would assist in harmonizing and streamlining federal regulations, and would also have responsibility for reviewing specific "simplification requests." Under the auspices of the National Science and Technology Council (NSTC) , the ombudsman -- along with a designated representative from OSTP -- should lead an interagency group charged with regularly reviewing regulations affecting research universities.
From page 136...
... Source: AAU, APLU, and COGR, Regulatory and Financial Reform of Federal Research Policy Recommendations to the NRC Committee on Research Universities, January 21, 2011. therefore recommends that effort reporting be eliminated or significantly modified.
From page 137...
... Recommendation 8: Improve the capacity of graduate programs to attract talented students by addressing issues such as attrition rates, time to degree, funding, and alignment with both student career opportunities and national interests. Actors and Actions -- Implementing Recommendation 8: • Research universities: Research universities should restructure doctoral education to enhance pathways for talented undergraduates, improve completion rates, shorten time-to-degree, and strengthen the preparation of graduates for careers both in and beyond the academy.
From page 138...
... Note that most categories require a mix of regulatory remedies. Exempt Harmonize/Avoid Focus on Universities or Duplication and Performance, Better Synch with Eliminate Redundancy Tier to Risk Not Process University R&D Human Harmonize human Tier human subjects Subjects subjects protections research for between the Office exemption from IRB of Human Research Review (e.g., social Protections (OHRP)
From page 139...
... information will be exported or transmitted without proper authorization. Effort Eliminate effort Reporting reporting.
From page 140...
... 140 TABLE 5-7.1 Continued Exempt Harmonize/Avoid Focus on Universities or Duplication and Performance, Better Synch with Eliminate Redundancy Tier to Risk Not Process University R&D Financial Expanded Form Sub-recipient Federal Funding Reporting 1099 Reporting monitoring: modify Accountability Requirements will requirement so that and Transparency create an additional grantees would no Act (FFATA) : Raise burden on financial longer be required subreporting threshold reporting.
From page 141...
... Change timing of Quarterly Cash Transactions Report revised timing has put a stain on reporting resources, and it's not clear how the government benefits from getting the data 2 weeks earlier. The old 45-day timing has been around for at least 20 years.
From page 142...
... design alternative approaches in light of these differences. Source: AAU, APLU, and COGR, Recommendations to the NRC Committee on Research Universities
From page 143...
... Improving completion rates and shortening time-to-degree to an optimal length is the right thing to do for students and also increases costeffectiveness, ensuring good stewardship of resources from the federal government and other sources. Strengthening preparation of doctorates for a broad range of careers, not just those in academia, assists the students in their careers, and also assists employers who need their staff to be productive in the short term.
From page 144...
... For public and private institutions, these pressures result in reallocation of budgets that make support for graduate education extremely vulnerable, especially given the high mobility of doctorate recipients that creates incentives for states to underinvest in graduate education. Universities and governments must work together to place graduate education on a more solid financial foundation by improving the resource base for doctoral education, increasing the efficiency of doctoral education, and ensuring that doctoral programs are effectively meeting goals.
From page 145...
... Still, given financial realities, it is clear that there are opportunities for improvement in completion statistics at the doctoral level, and it is incumbent upon doctoral programs to examine ways to reduce attrition, particularly for students who are prepared, talented, and otherwise eager to continue. Hand in hand with the low completion rates are long times-to-degree, shown over time in Figure 5-8.2.
From page 146...
... Timely completion may be supported through a variety of means, including improved academic advising and mentoring, increased information about career opportuni ties, closer tracking of student progress, and activities to promote social integration within a department. Another aspect to the CGS study was 58  National Science Foundation, Doctorate Recipients from U.S.
From page 147...
... Figure 5.8.2.eps Source: Mark C Regets, Senior Analyst, National Science Foundation, National bitmap Center for Science and Engineering Statistics, Presentation to Committee on Research Universities, September 22, 2010.
From page 148...
... While the research and educational mission of universities is somewhat blurred at the doctoral level, it is important to students that they have clear objectives; only in this way will students be able to reach their full potential as researchers and contributors to the nation's wealth. A final note on doctoral education: The recent National Research Council Assessment of Research Doctorate Programs collected and analyzed data that provide a starting point for thorough institutional review of doctoral programs.
From page 149...
... Federal Response While institutions are increasing efficiency, the federal government must also increase its support of graduate education, particularly for students in doctoral programs. Since the current financial climate facing American research universities makes it increasingly difficult for institutions to reallocate funds for this purpose (e.g., from undergraduate tuition revenues or endowment income)
From page 150...
... 150 TABLE 5-8.1 Percentage of Full-Time Science, Engineering, and Health Graduate Students by Source of Support, Federal Agencies in 1988, 1998, and 2008 2003 2004 2005 2006 2007 2008 Number federally supported 81,761 83,816 83,723 83,962 81,859 78,464 Percent federally funded 20.6 20.8 20.6 20.0 18.7 17.5 Percent nonfederal support 45.5 45.1 45.1 45.0 45.4 45.7 Percent no support 33.9 34.1 34.3 35.0 35.9 36.8 Source: National Science Foundation, National Center for Science and Engineering Statistics, Graduate Students and Postdoctorates in Science and Engineering, Fall 2008, Table 38. Available at: http://www.nsf.gov/statistics/nsf11311/content.cfm?
From page 151...
... or from personal or family contributions. Source: National Science Board, Science and Engineering Indicators; National Science Foun dation, National Center for Science and Engineering Statistics, Survey of Graduate Students and Postdoctorates in Science and Engineering (GSS)
From page 152...
... Available at: http://books.nap.edu/catalog.php? record_ id=12983 (accessed April 22, 2012)
From page 153...
... Government includes federal, state, and local government. Source: National Science Foundation, National Center for Science and Engineering Statistics, Survey of Doctorate Recipients, 2006, in Characteristics of Doctoral Scientists and Engineers in the United States, 2006, Table 12.
From page 154...
... Released January 16, 2001. Available at: http://www.phd-survey.org/report (accessed September 19,
From page 155...
... Few incentives, internal or external, motivate graduate programs to align doctoral education with evolving employment opportunities, whether regional or national in scope. In most universities, the size of doctoral programs is driven by a range of factors, including its research and undergraduate teaching missions (and the need for university teaching and research assistants)
From page 156...
... The America COMPETES Act of 2007 authorized the National 60  National Research Council, Science Professionals: Master's Education for a Competitive World. Washington, DC: National Academies Press, 2008, p.
From page 157...
... • Research universities: Research universities should assist efforts to improve teacher education and preparation for K–12 STEM education and improve undergraduate education, including persistence and completion in STEM. • Federal government, states, local school districts, industry, philanthropy, universities: All stakeholders should take action -- urgent, sus 62  Councilof Graduate Schools and Education Testing Service, Commission on the Future of Graduate Education in the United States, The Path Forward: The Future of Graduate Education in the United States, April 2010.
From page 158...
... Improving the educational success of our citizens at all levels improves our democracy, culture and society, social mobility, and both individual and national economic success. As career opportunities in science, technology, engineering, and math continue to expand at a rapid pace, recruiting more underrepresented minorities and women into STEM careers and ensuring that they remain in the pipeline is essential and strategic not only for meeting the workforce needs of an increasingly technological nation but also for obtaining the intellectual vitality and innovation necessary for economic prosperity, national security, and social well-being that such diversity brings.
From page 159...
... Available at: http://advocacy.collegeboard.org/ sites/default/files/coming-to-our-senses-college-board-2008.pdf (accessed September 19, 2011)
From page 160...
... STEM education will determine whether the United States will remain a leader among nations and whether we will be able to solve immense challenges in such areas as energy, health, environmental protection, and national security."64 Research universities have an important, perhaps even more critical, role to play here. Rising Above the Gathering Storm, for example, recommended that the nation "annually recruit 10,000 science and mathematics teachers by awarding 4-year scholarships and thereby educating 10 million minds." (Box 5-9.1 describes this recommendation in detail.)
From page 161...
... prepare a disproportionate share of those who go on to earn doctorates in science and engineering, must also continue to invest in and enhance undergraduate STEM education to ensure that students are prepared for the twenty-first-century economy, for study at the graduate level, and for the life-long learning process that will be needed to be successful after graduation. As recommended in the National Academies' Expanding Underrepresented Minority Participation: America's Science and Technology Talent at the Crossroads, there are many well-documented approaches to strengthening our STEM pipeline (for all students, including minorities)
From page 162...
... A new study by the President's Council of Advisors on Science and Technology recommends the following: • Catalyze widespread adoption of empirically validated teaching practices; • Advocate and provide support for replacing standard laboratory courses with discovery-based research courses; • Launch a national experiment in postsecondary mathematics education to address the math preparation gap; • Encourage partnerships among stakeholders (high school and college; 2-year and 4-year institutions; majority- and minority-serving institutions; academia and business) to diversify pathways to STEM careers; and • Create a presidential council on STEM education with leadership from the academic and business communities to provide strategic leadership for transformative and sustainable change in STEM undergraduate education.67 As the first two items suggest, we need a strategic focus on reshaping first-year courses in the sciences.
From page 163...
... Increasing diversity will not only increase the size and quality of our scientific and engineering workforce, but it will also introduce diverse ideas and experiences that can stimulate creative approaches to solving difficult challenges. Although this is likely to require a significant increase in investment from both public and private sources, increasing diversity of our scientific and engineering workforce is clearly vital to the future of the nation."69 First, research universities must work to increase the success of women in STEM by examining ways to increase their success as faculty.
From page 164...
... Importantly, and in response to the kinds of audits recommended in Beyond Bias and Barriers, some research universities have made progress in hiring and advancing women. Gender Differences, through surveys of departments and faculty of research universities, found that women who applied for STEM faculty positions were at least as likely as men to be hired.
From page 165...
... The National Academies' Expanding Underrepresented Minority Participation argues that underrepresentation of this magnitude is due to increasing underproduction of underrepresented minority scientists and engineers at every level. This report notes that in 2007, as shown in Figure 5-9.3, "underrepresented minorities comprised 38.8 percent of K–12 public enrollment, 33.2 percent of the U.S college age population, 26.2
From page 166...
... In graduate school, underrepresented minorities comprise 17.7 percent of overall enrollment, but are awarded just 14.6 percent of S&E master's degrees and a miniscule 5.4 percent of S&E doctorates."72 Expanding Underrepresented Minority Participation examines how students become scientists and engineers and the problems of underrepresentation across the entire educational pathway from preschool to graduate school. Based on this assessment, the report outlined six principles for action: 73 1.
From page 167...
... College 33.2 66.8 0 Age Population K–12 Public 38.8 61.2 0 Enrollment 0% 20% 40% 60% 80% 100% URM non-URM Temporary Residents FIGURE 5-9.3  Enrollment and degrees, by educational level, race/ethnicity, and citizenship, 2007. Figure2.1.eps Sources: U.S Department of Education, National Center for Education Statistics, Digest of Education Statistics, 2008, Table 41; National Science Foundation, National Center for Science and Engineering Statistics, Women, Minorities, and Persons with Disabilities, Tables A-2, C-6, E-3, and F-11; National Science Foundation, National Center for Science and Engineering Statistics, Science and Engineering Degrees, 1966-2006, Table 3.
From page 168...
... As a priority for the short term, the report recommended the nation BOX 5-9.2 Broad Recommendations Across STEM Educational Pathways Outlined in Expanding Underrepresented Minority Participation 1. Pre-School through Grade 3 Education: Prepare America's children for school through pre-school and early education programs that develop reading readiness, provide early mathematics skills, and introduce concepts of creativity and discovery.
From page 169...
... Citing new data from the Higher Education Research Institute at UCLA, displayed in Figure 5-9.4, the report argues that the nation needs to take action to address significantly lower 4- and 5-year completion rates in STEM of underrepresented minorities relative to those of whites and Asian Americans. Since underrepresented minorities who matriculate at 4-year institutions aspire to a STEM degree as their peers, these lower completion rates represent both a challenge and an opportunity if we can implement actions that we know from experience work in sustaining the persistence and completion of underrepresented students.
From page 170...
... ; and proven, intensive interventions for underrepresented minorities in STEM (summer programs, research experiences, professional development activities, academic support and social integration, and mentoring)
From page 171...
... • Federal government: Engage in the proactive recruitment of international students and scholars. Budget Implications There is no additional cost.
From page 172...
... doctoral students and researchers is still a relative strength of American research universities. As seen in Figure 5-10.1, temporary residents earn a significant percentage of doctorates from U.S.
From page 173...
... The United States should make enhancements to immigration policy that would encourage talented international graduates from programs in science and engineering to remain in the United States and allow the country to benefit from the investment in their graduate education. Rising Above the Gathering Storm addressed this issue head-on by arguing for improvements in visa processing for international students and scholars; providing a 1-year automatic visa extension to international students who receive doctorates or the equivalent in science, technology, engineering, mathematics, or other fields of national need at qualified U.S.
From page 174...
... bitmap Source: Council of Graduate Schools, Findings from the 2011 CGS International Graduate Admissions Survey, Phases III: Final Offers of Admission and Enrollment, November 2011. Available at: http://www.cgsnet.org/ckfinder/userfiles/ files/R_IntlEnrl11_III.pdf (accessed April 22, 2012)
From page 175...
... • Restrictions on what research may be undertaken by foreign students and scholars in the United States affect both decisions to come to the United States and decisions whether to stay -- this has improved since publication of Rising Above the Gathering Storm, but restrictions remain. • Foreign researchers are sometimes excluded from a research activity due to rules, or uncertainty about the rules, that pertain to sensitive areas, restricted exports, or the terms of a specific research grant.
From page 176...
... 2007. Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future.
From page 177...
... . Third, we must, as a priority, be more proactive, both by recruiting students, postdoctorates, and scholars and by following the practice of other nations such as Canada in encouraging the immigration of international students by attaching a Green Card to every doctorate in science and engineering.


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