[Federal Register Volume 70, Number 220 (Wednesday, November 16, 2005)]
[Notices]
[Pages 69563-69565]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-22744]


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OFFICE OF SCIENCE AND TECHNOLOGY POLICY


Proposed Principles for Federal Support of Graduate and 
Postdoctoral Education and Training in Science and Engineering

AGENCY: Executive Office of the President, Office of Science and 
Technology Policy (OSTP).

ACTION: Notice of proposed issuance of principles for Federal programs 
that provide support for post-baccalaureate education and training in 
science and engineering.

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SUMMARY: The proposed principles are intended to increase collaboration 
and consistency within the Federal agencies in support of graduate and 
postdoctoral education and training in science and engineering. 
Principles are:
     Federal Support of Graduate and Postdoctoral Education and 
Training Is a Critical Investment in the Future;
     The Federal Investment Portfolio Must Broadly Support 
Science and Engineering Disciplines;
     Graduate Students and Postdoctoral Scholars Must Receive 
Quality Education and Training;
     Federal Contributions toward Graduate and Postdoctoral 
Education and Training are Provided in Partnership with Academic and 
Other Non-Federal Institutions;
     Graduate Students and Postdoctoral Scholars Should Be 
Adequately Supported to Encourage Their Pursuit of Science and 
Engineering Careers; and
     Federal Agencies Should Collaborate in Areas of Common 
Interest.

DATES AND ADDRESSES: Comments must be received by January 16, 2006. 
Electronic comments may be submitted to: [email protected]. Please 
include in the subject line the words ``National Science and Technology 
Council (NSTC) Education and Workforce Development Comments.'' Please 
put the full body of your comments in the text of the electronic 
message and as an attachment. Be certain to include your name, title, 
organization, postal address, telephone number, and e-mail address in 
the text of the message. A return message will acknowledge receipt of 
your comments.

FOR FURTHER INFORMATION CONTACT: For information regarding this Notice, 
please call Mark Weiss, Office of Science and Technology Policy, (202) 
456-6129; e-mail [email protected] or fax (202) 456-6027.

SUPPLEMENTARY INFORMATION:

I. Background Information

    The Federal Government supported approximately 60,000 graduate 
students and 30,000 postdoctoral scholars in science and engineering in 
2001. About 44,000 (or 73%) of the graduate students and 24,000 (or 
80%) of the postdoctoral scholars received their support as research 
assistants or associates on Federal grants and contracts. Most of the 
remaining 27% of the graduate students and 20% of the postdoctoral 
scholars received support through Federal agencies' fellowships or 
traineeships.\1\
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    \1\ In this document the term ``science and engineering'' 
includes, but is not limited to, agricultural, behavioral, 
biological, computer, engineering, environmental, mathematical, 
medical/clinical, physical, psychology, social, and veterinary 
sciences.
    The data are taken from the 2002 Survey of Graduate Students and 
Postdoctorates in Science and Engineering (National Science 
Foundation/Division of Science Resources Statistics).
    Research assistants or associates refer to graduate students or 
postdoctoral scholars funded through Federal research grants or 
contracts. The assistants or associates are not selected by the 
Federal agency, and the host institution determines their level of 
support. The principle purpose of their employment is the conduct of 
research, and any limitations imposed by their citizenship status 
are determined by the policies of the host institution.
    Graduate students or postdoctoral scholars supported on 
Traineeships are usually not selected by the Federal agency, but the 
Federal agency determines their level of support (although in some 
cases the level of support-may be supplemented by other sources). 
The principle purpose of their traineeship support is their 
education and training, and they must be U.S citizens, permanent 
residents, or meet other policies of the Federal agency.
    Graduate students or postdoctoral scholars supported on 
Fellowships are selected by the Federal agency, and the Federal 
agency determines their level of support (although in some cases 
their level of support may be supplemented by other sources). The 
principle purpose of their fellowship support is their education and 
training, and they must be U.S citizens or permanent residents or 
meet other policies of the Federal agency.
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    The Research Business Models Subcommittee of the Committee on 
Science, a committee of the National Science and Technology Council, 
conducted regional meetings in 2003 and issued a Federal Register 
notice asking for comments on ways to improve business practices of 
Federal research programs. Concern was raised about the lack of 
consistency among Federal agencies' support for graduate students and 
postdoctoral scholars in the nation's universities and other research 
organizations. In particular, universities administering Federal 
support for graduate students and postdoctoral scholars cited 
difficulties created by agency-to-agency variations in fellowship and 
traineeship stipends and allowances for educational and other costs.
    The Committee on Science is proposing the six principles in Section

[[Page 69564]]

II of this Supplementary Information Section as part of an effort to 
address these concerns. The principles are developed to help guide 
agencies in planning and designing, budgeting, and conducting 
extramural fellowship and traineeship programs (i.e., Federal 
fellowship and traineeship programs for which the graduate students and 
postdoctoral scholars are receiving their education and training in 
non-Federal institutions). Similarly, these principles should help 
guide Federal support of graduate students and postdoctoral scholars 
through other mechanisms, such as research assistantships supported by 
research grants or contracts, or through intramural programs.
    The Committee on Science is also considering the establishment of 
the interagency process described in Section III of this Supplementary 
Information Section. This process is intended to support the agencies' 
use of the six principles on a continuing basis, in order to increase 
collaboration and consistency within the Federal government for 
supporting graduate and postdoctoral education and training in science 
and engineering.

II. Proposed Principles for Federal Support of Graduate and 
Postdoctoral Education and Training in Science and Engineering

     Federal Support of Graduate and Postdoctoral Education and 
Training Is a Critical Investment in the Future. Federal Government 
support for educating and training graduate and postdoctoral scientists 
and engineers is an essential investment in the future health, 
security, and quality of life of our Nation's citizens. To ensure 
continued access to the human resources that lie at the foundation of a 
preeminent research and development enterprise, we must provide 
encouragement and opportunities for students with the aptitude and 
desire to pursue advanced degrees in science and engineering. 
Increasing the participation of underrepresented minorities, women, and 
persons with disabilities in graduate and postdoctoral education and 
training is a critical aspect in realizing the full potential of the 
Nation's human resources in science and engineering. Federal Government 
support is critical because: timeframes for realizing the benefits of 
the education and training are beyond the investment horizons of most 
corporations; the magnitude of the required support exceeds the 
collective capacity of foundations and other private sponsors; and the 
resulting reservoir of talent is a national resource upon which all 
public and private sector employers of scientists and engineers 
ultimately draw.
     The Federal Investment Portfolio Must Broadly Support 
Science and Engineering Disciplines. The Federal Government-wide 
investment strategy should support graduate and postdoctoral education 
and training across a broad spectrum of science and engineering 
disciplines. It is increasingly the case that advances in knowledge and 
understanding arise from research in multiple disciplines. Similarly, 
follow-on development often requires teams of individuals from varying 
science and engineering fields. A workforce with strengths across 
disciplines therefore is imperative if experts from differing 
backgrounds are to be able to bring complementary perspectives to bear 
on complex problems. Another factor underlying the importance of the 
disciplinary breadth of the workforce is our inability to predict the 
areas that will contribute to any given advancement in the future. Even 
a problem initially raised in the context of a single discipline often 
is solved due to unanticipated contributions from other disciplines.
     Graduate Students and Postdoctoral Scholars Must Receive 
Quality Education and Training. Graduate students and postdoctoral 
scholars must receive an experience that combines both a high quality 
education and robust research training to secure the Nation's future 
scientific and engineering enterprise. Attention to their intellectual 
growth during these critical years requires an environment that 
includes effective mentoring to promote their career development. 
Federal agencies should encourage the earliest possible completion of 
graduate and postdoctoral education and training, as well as efforts 
that foster the transition to the next step in the graduate student or 
postdoctoral scholar's career. As is the case for research programs, 
making award decisions through the use of merit review based on 
objective, expert advice promotes excellence in education and training 
through fellowship and traineeship programs.
     Federal Contributions Toward Graduate and Postdoctoral 
Education and Training are Provided in Partnership With Academic and 
Other Non-Federal Institutions. Graduate or postdoctoral education and 
training require a significant investment that includes financial 
support for the individual graduate student or postdoctoral scholar, 
and the investment needed for institutions to provide the education and 
training. Generally, a Federal fellowship or traineeship program 
provides only a portion of this investment, with the balance provided 
by funds from other sources including, for example, the host 
institution, other Federal programs, States, private sector 
organizations, and individual contributions. Consequently, the Federal 
contribution toward this investment is made in partnership with 
academic and other institutions or parties. Federal agencies, 
therefore, should consider the impact on, and consult as appropriate, 
its partners when designing and conducting fellowship and traineeship 
programs. Federal agencies should have, and be able to articulate, a 
rational basis for the level of the Federal program's contribution 
toward the education and training of the fellows or trainees.
     Graduate Students and Postdoctoral Scholars Should Be 
Adequately Supported To Encourage Their Pursuit of Science and 
Engineering Careers. The level of support, including health and other 
benefits, provided to foster the education and training of graduate 
students and postdoctoral scholars is an important factor in attracting 
and retaining talented individuals to pursue careers in science and 
engineering. Levels of support provided by agencies should be 
reasonable and commensurate with the level of education and experience 
of the recipient. Agencies should consider annual adjustments in levels 
of support to address increases in the cost-of-living. Variances in 
support levels provided by Federal agencies may, for example, depend on 
program purpose, program budget constraints, or demand for individuals 
in critical areas; however, such variations should have clear, rational 
bases.
     Federal Agencies Should Collaborate in Areas of Common 
Interest. It is important for Federal agencies to coordinate their 
efforts to support education and training in science and engineering 
areas of common interest. Efforts among agencies should be synergistic 
and provide enhanced opportunities for graduate students and 
postdoctoral scholars. Agencies should collaborate to share data 
regarding these programs; to exchange information regarding effective 
practices; and to coordinate the design and conduct of programs, as 
appropriate.

III. Proposed Process for Interagency Coordination

    The Committee on Science (CoS) is also considering a proposal from 
its Education and Workforce Development (EWD) Subcommittee to establish 
a

[[Page 69565]]

standing working group with two purposes that promote implementation of 
the principles cited in Section II above. The first purpose of the 
working group is to serve as a forum for agencies to exchange 
information and collaborate with each other on their support of 
graduate and postdoctoral education and training. The second purpose of 
the working group is to report through the EWD Subcommittee to the CoS 
on levels of support provided by Federal extramural fellowship and 
traineeship programs.

IV. Invitation To Comment

    Input on any aspect of the proposed principles or the proposed 
process for interagency coordination is encouraged. The following 
questions indicate particular areas for comment:
    (a) Are there topics or issues not addressed in the principles that 
should be? If so, please explain.
    (b) Are there additional approaches or strategies to achieve the 
objectives and promote interagency collaboration? If so, please 
explain.

M. David Hodge,
Acting Assistant Director for Budget and Administration.
[FR Doc. 05-22744 Filed 11-15-05; 8:45 am]
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