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Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States POLICY IMPLICATIONS OF INTERNATIONAL GRADUATE STUDENTS AND POSTDOCTORAL SCHOLARS IN THE UNITED STATES Committee on Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States Committee on Science, Engineering, and Public Policy Board on Higher Education and Workforce Policy and Global Affairs THE NATIONAL ACADEMIES THE NATIONAL ACADEMIES PRESS WASHINGTON, D.C. www.nap.edu
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Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States THE NATIONAL ACADEMIES PRESS 500 Fifth Street NW Washington, DC 20001 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the Councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. Support for this project was provided by the National Science Foundation under grant number 0342159; the National Institutes of Health, under contract number 1-OD-4-2137 Task Order 137; and the National Academies. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the authors and do not necessarily reflect the views of the organizations or agencies that provided support for the project. International Standard Book Number 0-309-09613-8 Committee on Science, Engineering, and Public Policy, 500 Fifth Street NW, Washington, DC 20001; 202-334-2807; Internet, http://www.nationalacademies.org/cosepup. Additional copies of this report are available from the National Academies Press, 500 Fifth Street NW, Lockbox 285, Washington, DC 20055; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); Internet, http://www.nap.edu. Copyright 2005 by the National Academy of Sciences. All rights reserved. Printed in the United States of America
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Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States THE NATIONAL ACADEMIES Advisers to the Nation on Science, Engineering, and Medicine The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Wm. A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Wm. A. Wulf are chair and vice chair, respectively, of the National Research Council. www.national-academies.org
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Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States COMMITTEE ON POLICY IMPLICATIONS OF INTERNATIONAL GRADUATE STUDENTS AND POSTDOCTORAL SCHOLARS IN THE UNITED STATES PHILLIP A. GRIFFITHS (Chair), Professor of Mathematics, School of Mathematics, Institute of Advanced Study, Princeton, New Jersey WILLIAM G. AGNEW, Director of Programs and Plans (retired), General Motors, Washington, Michigan JOHN A. ARMSTRONG, Vice President for Science and Technology (retired), IBM Corporation, Amherst, Massachusetts RICHARD B. FREEMAN, Herbert Ascherman Chair in Economics, Harvard University; and Director, Labor Studies Program, National Bureau of Economic Research, Cambridge, Massachusetts ALICE P. GAST, Robert T. Haslam Professor, Department of Chemical Engineering, and Vice President for Research and Associate Provost, Massachusetts Institute of Technology, Cambridge, Massachusetts JOEL MOSES, Institute Professor, Professor of Computer Science and Engineering, and Professor of Engineering Systems, Massachusetts Institute of Technology, Cambridge, Massachusetts NORMAN NEUREITER, Director, Center for Science, Technology and Security Policy, American Association for the Advancement of Science, Washington, DC PREM PAUL, Vice Chancellor for Research and Dean of Graduate Studies, University of Nebraska-Lincoln, Lincoln, Nebraska SAMUEL H. PRESTON, Frederick J. Warren Professor of Demography, University of Pennsylvania, Philadelphia, Pennsylvania ELSA REICHMANIS, Director, Bell Laboratories Materials Research Department, Lucent Technologies, Murray Hill, New Jersey ROBERT C. RICHARDSON, Vice Provost for Research and Floyd Newman Professor of Physics, Cornell University, Ithaca, New York LEWIS SIEGEL, Vice Provost for Graduate Education, Dean of the Graduate School, and Professor of Biochemistry, Duke University; and Chair, Council of Graduate Schools, Durham, North Carolina PAULA STEPHAN, Professor, Department of Economics, Andrew Young School of Policy Studies, Georgia State University, Atlanta, Georgia MICHAEL TEITELBAUM, Program Director, Alfred P. Sloan Foundation, New York, New York MARVALEE WAKE, Professor, Department of Integrative Biology, University of California, Berkeley, California
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Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States Principal Project Staff LAUREL L. HAAK, Study Director PETER H. HENDERSON, Collaborating Board Director JAMES A. VOYTUK, Collaborating Senior Program Officer ALAN ANDERSON, Consultant and Senior Writer NORMAN GROSSBLATT, Senior Editor SHADEEQUA MILLER, Program Assistant JUDY GOSS, Senior Program Assistant SARAE BAUSCH, Christine Mirzayan Science & Technology Policy Graduate Fellow CHRISTINA TAT, Christine Mirzayan Science & Technology Policy Graduate Fellow ERIC ZIMMERMAN, Christine Mirzayan Science & Technology Policy Graduate Fellow M. CRINA FRINCU, Christine Mirzayan Science & Technology Policy Graduate Fellow RACHEL MACCOSS, Christine Mirzayan Science & Technology Policy Graduate Fellow RICHARD YEH, Christine Mirzayan Science & Technology Policy Graduate Fellow MAIKE C. RENTEL, Christine Mirzayan Science & Technology Policy Graduate Fellow
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Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States COMMITTEE ON SCIENCE, ENGINEERING, AND PUBLIC POLICY MAXINE F. SINGER (Chair), President Emerita, Carnegie Institution of Washington, Washington, DC BRUCE ALBERTS (Ex officio), President, The National Academies, Washington, DC UMA CHOWDHRY, Vice President, Central Research and Development, DuPont Company, Wilmington, Delaware JAMES COOK, Interim Dean, College of Agriculture and Home Economics, Washington State University, Pullman, Washington HAILE DEBAS, Executive Director, UCSF Global Health Sciences, Maurice Galante Distinguished Professor of Surgery, San Francisco, California HARVEY FINEBERG (Ex officio), President, Institute of Medicine, Washington, DC MARYE ANNE FOX (Ex officio), Chancellor, University of California, San Diego, California ELSA GARMIRE, Professor, School of Engineering, Dartmouth College, Hanover, New Hampshire M.R.C GREENWOOD (Ex officio), Provost and Senior Vice President for Academic Affairs, University of California, Oakland, California NANCY HOPKINS, Amgen Professor of Biology, Massachusetts Institute of Technology, Cambridge, Massachusetts WILLIAM H. JOYCE (Ex officio), Chairman and Chief Executive Officer, Nalco, Naperville, Illinois MARY-CLAIRE KING, American Cancer Society Professor of Medicine and Genetics, University of Washington, Seattle, Washington W. CARL LINEBERGER, Professor of Chemistry, Joint Institute for Laboratory Astrophysics, University of Colorado, Boulder, Colorado RICHARD A. MESERVE, President, Carnegie Institution of Washington, Washington, DC ROBERT M. NEREM, Parker H. Petit Professor and Director, Institute for Bioengineering and Bioscience, Georgia Institute of Technology, Atlanta, Georgia ANNE PETERSEN, Senior Vice President for Programs, W.K. Kellogg Foundation, Battle Creek, Michigan CECIL PICKETT, President, Schering-Plough Research Institute, Kenilworth, New Jersey EDWARD H. SHORTLIFFE, Professor and Chair, Department of Biomedical Informatics, Columbia University Medical Center, New York, New York
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Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States HUGO SONNENSCHEIN, Charles L. Hutchinson Distinguished Service Professor, Department of Economics, University of Chicago, Chicago, Illinois SHEILA E. WIDNALL, Abby Rockefeller Mauze Professor of Aeronautics, Massachusetts Institute of Technology, Cambridge, Massachusetts WM. A. WULF (Ex officio), President, National Academy of Engineering, Washington, DC MARY LOU ZOBACK, Senior Research Scientist, Earthquake Hazards Team, US Geological Survey, Menlo Park, California Staff RICHARD BISSELL, Executive Director DEBORAH D. STINE, Associate Director LAUREL L. HAAK, Program Officer MARION RAMSEY, Administrative Coordinator
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Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States BOARD ON HIGHER EDUCATION AND WORKFORCE RONALD G. EHRENBERG (Chair), Irving M. Ives Professor of Industrial and Labor Relations and Economics, Cornell University, and Director of the Cornell Higher Education Research Institute, Ithaca, New York BURT BARNOW, Associate Director, Institute for Policy Studies, Johns Hopkins University, Baltimore, Maryland DONALD L. BITZER, Distinguished University Research Professor, North Carolina State University, Raleigh, North Carolina NANCY CANTOR, Chancellor and President, Syracuse University, Syracuse, New York CARLOS G. GUTIERREZ, Professor of Chemistry and Biochemistry, California State University, Los Angeles, California DONALD L. JOHNSON, Vice President (Retired), Product and Process Technology, Grain Processing Corporation, Hertford, North Carolina CLAUDIA I. MITCHELL-KERNAN, Vice Chancellor for Academic Affairs, University of California, Los Angeles, California MICHAEL T. NETTLES, Vice President, Educational Testing Service, Princeton, New Jersey DEBRA W. STEWART, President, Council of Graduate Schools, Washington, DC TADATAKA YAMADA, Chairman, Research and Development, GlaxoSmithKline, King of Prussia, Pennsylvania Staff CHARLOTTE KUH, Deputy Executive Director, Division of Policy and Global Affairs PETER H. HENDERSON, Director, Board on Higher Education and Workforce GEORGE REINHART, Senior Program Officer JAMES A. VOYTUK, Senior Program Officer JOAN ESNAYRA, Program Officer JOHN SISLIN, Program Officer EVELYN SIMEON, Administrative Coordinator PATRICIA SANTOS, Senior Program Assistant ELIZABETH SCOTT, Project Assistant
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Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States Preface This report reflects the continuing interest of the Committee on Science, Engineering, and Public Policy (COSEPUP) in the education and training of scientists and engineers in the United States. COSEPUP’s 1993 report Science, Technology, and the Federal Government: National Goals for a New Era emphasized the importance of human resources to the research enterprise. A second report, Reshaping the Graduate Education of Scientists and Engineers (1995), urged institutions to offer graduate students expanded educational experiences and to equip them better to choose from among the broad range of careers now open to scientists and engineers. That concern was extended to postdoctoral scholars in 2000 with Enhancing the Postdoctoral Experience for Scientists and Engineers. Increasing the attractiveness of science and engineering (S&E) careers gained importance in the late 1990s as fewer US citizens enrolled in advanced training in S&E, a trend accompanied by a substantial rise in the proportion of international graduate students and postdoctoral scholars in US institutions. An unrelated but equally pressing trend that is likely to affect the quality of US S&E education is the recognition by nations around the world of the value of S&E to their economies and societies. From the advanced industrial societies of Europe and Japan to the newly emergent world powers of China and India, nations have launched efforts to compete for the most talented scientists and engineers worldwide. In an effort to address the complex conditions affecting the relative standing of US S&E, the National Academies charged COSEPUP to address the following questions:
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Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States What is known about the impact of international graduate students and postdoctoral scholars on the advancement of US science, US undergraduate and graduate educational institutions, the US and other national economies, and US national security and international relations? What is the impact of the US academic system on international graduate students’ and postdoctoral scholars’ intellectual development, careers, and perceptions of the United States? How does it differ if they stay in the United States or return to their home countries? What is known about the impact of international student enrollment on the recruitment of domestic S&E talent in the United States? What is the status of working conditions for international graduate students and postdoctoral scholars compared with their domestic counterparts? What are the impacts of various policies that reshape or reduce the flow of international students and postdoctoral scholars (for example, visas, immigration rules, and working conditions)? What findings and conclusions can be drawn from the answers to the preceding questions? What principles should guide national policy regarding international graduate students and postdoctoral scholars? In considering their charge, the committee encountered difficulties whose solution will require much more public discussion. A persistent hindrance is the lack of accurate and timely data about international graduate students and postdoctoral scholars, a difficulty that is addressed in Chapter 4. In addition, it became clear that the recruitment goals of many academic administrators are often in tension and sometimes contradictory. For example, one of the goals is to recruit the best students possible, regardless of national origin, to maximize research productivity and departmental quality. A second goal, not always in harmony, is to find economical ways to staff academic laboratories and classrooms. Similarly, a goal for many administrators, particularly at state-supported institutions, is to provide educational and research opportunities for students who are from that state and are likely to remain there and contribute to the state’s economy after graduation. A goal for policy makers at the national level is to attract larger numbers of US citizens into S&E, especially among women and underrepresented minority groups.1 The purpose of this study, therefore, was to recommend measures that would both address those diverse goals and maintain the quality of the nation’s S&E enterprise in the face of new trends. Implementing such mea- 1 See, for example, John Hennessey, Susan Hockfield, and Shirley Tilghman. 2005. “Women in science: The real issue.” The Boston Globe (February 12).
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Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States sures will be possible only with mutual understanding and cooperation between those who set national-security policies and those who educate and employ scientists and engineers. To carry out the work of the study, COSEPUP selected an ad hoc committee made up of people with special expertise in the demographic and personnel aspects of the S&E workforce and with wide research and educational experience in public and private universities, the private sector, professional societies, and government service. The committee heard from numerous experts and participants in diverse educational and research fields, from government agencies, and from persons who provided data on the recruitment, career paths, and motivations of international students. It also discussed in depth the recent effects of post-9/11 federal policy changes on the flow of foreign-born scientists and engineers and on the traditional perception of the United States as a welcoming destination for international students and scholars. In its attempt to address the diverse trends and conditions embraced by these topics, the committee focused its deliberations on three central questions: How can the United States best improve the openness and mobility that characterize scientific activity while addressing concerns about the economy and national security? To what extent does the United States depend on international graduate students and postdoctoral scholars to maintain the excellence of its research and development enterprise? How can the United States optimize the participation of domestic students and at the same time recruit the best international talent? The details of the committee’s findings and recommendations are found in Chapter 5. Their overall thrust is to provide a basis for clarifying priorities and, where necessary, reshaping the sometimes contradictory policies that govern the movement and activities of international scientists and engineers, particularly with respect to visa and immigration policy. The committee became convinced during the course of its work that such measures are essential to ensure the continued high quality of the US S&E enterprise in the years to come. In conclusion, I would like to add a personal note of thanks to the dedicated and responsive members of the ad hoc committee responsible for this report. They brought to this project, in addition to long experience and good judgment, an exemplary degree of promptness and thoroughness in
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Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States SUSAN GEARY, Deputy Director, Student and Exchange Visitor Program, US Immigration and Customs Enforcement, Department of Homeland Security SUSAN GERBI, George Eggleston Professor of Biochemistry and Chair, Department of Molecular Biology, Cell Biology and Biochemistry, Brown University RALPH GOMORY, President, Alfred P. Sloan Foundation JEFFREY GORSKY, Legal Advisory Opinion Section, Visa Office, Bureau of Consular Affairs, US Department of State DAN GUAGLIANONE, Senior Director, Recruiting and Staffing, Merck Research Laboratories GORDON HAMMES, University Distinguished Service Professor of Biochemistry, Duke University Medical Center CHRISTOPHER HARTMANN, Staff Officer, Representative Rush Holt’s Office DIANA HICKS, Chair, School of Public Policy, Georgia Institute of Technology RON HIRA, Assistant Professor of Public Policy, Rochester Institute of Technology ROSALYN HOBSON, Economic Growth Agriculture and Trade and Office of Education, US Agency for International Development JANICE JACOBS, Deputy Assistant Secretary of Visa Affairs, Department of State VICTOR JOHNSON, Director, Public Policy Department, National Association of Foreign Student Advisors: Association of International Educators DEVESH KAPUR, Frederick Danziger Associate Professor of Government, Harvard University MARY KAVANAGH, Counselor, Science, Technology, and Education, European Union, Delegation of the European Commission GEORGE LANGFORD, Professor, Ernest Everett Just Professor of Natural Sciences, Dartmouth College; Cochair, Workforce Committee, National Science Board JOHN LAWRENCE, Democratic Staff Director, Committee on Education and the Workforce, US House of Representatives CAROL MANAHAN, Executive Board Chair, National Postdoctoral Association R.A. MASHELKAR, Director, Council of Scientific Industrial Research and President, Indian Academy of Sciences KATHIE BAILEY MATHAE, Federal Relations Officer, Association of American Universities LORD ROBERT MAY, President, Royal Society of London DENIS MEARES, Senior Consultant, Planning and Research Branch, IDP Education Australia
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Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States PATRICK MULVEY, Technical Research Associate, Statistical Research Center, American Institute of Physics JOHN NORCINI, President and CEO, Foundation for Advancement of International Medical Education and Research PHILLIP OSDOBY, Chair, Career and Training Opportunities Committee, Federation of American Societies of Experimental Biology DAVID PAYNE, Executive Director, Graduate Record Examination Program, Educational Testing Service WILLIAM PULLEYBLANK, T.J. Watson Research Center, IBM Corporation MARK REGETS, Senior Analyst, Science Resources Statistics, National Science Foundation FAZAL RIZVI, Professor of Educational Policy Studies at the University of Illinois Urbana-Champagne and Former Pro Vice-Chancellor (International), Royal Melbourne Institute of Technology DEREK SCHOLES, Chair, International Postdoctoral Committee, National Postdoctoral Association ADRIENNE SPONBERG, Director of Public Policy, American Institute of Biological Sciences CRISTIN SPRINGET, Economic Growth Agriculture and Trade and Office of Education, US Agency for International Development DEBRA STEWART, President, Council of Graduate Schools C. STEWART VERDERY, Assistant Secretary, Border and Transportation Security Policy and Planning, Department of Homeland Security JULIA WARNER, Science Policy Fellow, Office of Legislative and Government Affairs, American Chemical Society JEFF WHEELER, Staffing Market Intelligence, Intel JIN XIAOMING, Minister, Science and Technology Office, Embassy of the People’s Republic of China in Washington, DC DOROTHY ZINBERG, Lecturer on Public Policy, Kennedy School of Government, Harvard University Next, we thank the reviewers of the report. This report has been reviewed in draft form by persons selected for their knowledge, expertise, and wide range of perspectives in accordance with the procedures approved by the National Research Council’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making the published report as sound as possible and to ensure that the report meets institutional standards of objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following for their participation in the review of this report:
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Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States PHILLIP ALTBACH, Director, Center for International Higher Education, Boston College FRANK BEAN, Professor of Sociology and Director of the Center for Research on Immigration, Population, and Public Policy, University of California, Irvine JAMES CARAFANO, Senior Fellow, Heritage Foundation JOSEPH CERNY, Professor of Chemistry, former Dean of the Graduate Division, Vice Chancellor for Research, and Provost, University of California, Berkeley JOAN FEIGENBAUM, Professor, Department of Computer Science, Yale University MICHAEL FINN, Senior Economist, Oak Ridge Institute for Science and Education JOHN GOLLAN, Dean, College of Medicine, University of Nebraska Medical Center CARL W. HALL, Engineer, Engineering Information Services DIANA HICKS, Professor and Chair, School of Public Policy, Georgia Institute of Technology NOEMIE B. KOLLER, Professor of Physics, Rutgers University IRVING A. LERCH, Director of International Affairs, American Physical Society B. LINDSDAY LOWELL, Director of Policy Studies, Institute for the Study of International Migration, Georgetown University CATHLEEN MORAWETZ, Professor Emeritus, Courant Institute of Mathematical Sciences, New York University WILLIAM Y. VELEZ, Professor of Mathematics, University of Arizona YIXIAN ZHENG, Assistant Investigator, Howard Hughes Medical Institute and Graduate Program Faculty, Department of Embryology, Carnegie Institution of Washington Although the reviewers had many constructive comments and suggestions about the report, they were not asked to endorse the report, the findings and recommendations of the report, nor did they see a final draft of the report before its release. The report review was overseen by Lester Hoel, L. A. Lacy Distinguished Professor of Engineering, University of Virginia, and Harold Shapiro, president emeritus and professor of economics and public affairs, the Woodrow Wilson School of Public and International Affairs, Princeton University, appointed by the Report Review Committee, who were responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the author committee and the institution.
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Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States In addition, we thank the guidance group that oversaw this project: SAMUEL PRESTON (Chair), Frederick J. Warren Professor of Demography, University of Pennsylvania BURT BARNOW, Associate Director, Institute for Policy Studies, Johns Hopkins University JAMES DUDERSTADT, President Emeritus, University of Michigan RONALD G. EHRENBERG, Irving M. Ives Professor, Industrial and Labor Relations and Economics, Cornell University DEBRA W. STEWART, President, Council of Graduate Schools SHEILA E. WIDNALL, Abby Rockefeller Mauze Professor of Aeronautics, Massachusetts Institute of Technology JOHN D. WILEY, Chancellor, University of Wisconsin-Madison Finally, we would like to thank the staff for this project, including Laurel Haak, program officer with COSEPUP and study director, who managed the project; Peter Hendersen, the collaborating board director from BHEW; James Voytuk, the collaborating senior program officer from BHEW who provided data analysis support; Alan Anderson, the science writer for this report; Shadeequa Miller and Judy Goss, who provided project support; Christine Mirzayan Science and Technology Graduate Policy Fellows Sarae Bausch, Christina Tat, Rachel MacCoss, and Richard Yeh who provided research and analytic support; S&T Graduate Fellow Eric Zimmerman for his help researching international mobility policies; S&T Graduate Fellow M. Crina Frincu for her work collecting, collating, and analyzing immigration data from the US Departments of State and Homeland Security; S&T Graduate Fellow Maike C. Rentel for her work translating documents and researching and writing report boxes; Alexander Gelber of Harvard University for his analysis and write-up of the Pew Global Attitudes survey; Charlotte Kuh, deputy executive director of Policy and Global Affairs; and Richard Bissell, executive director, and Deborah D. Stine, associate director, of COSEPUP.
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Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States Contents SUMMARY 1 INTRODUCTION 12 Attracting the Best and Brightest, 12 Open Borders, Secure Borders, 13 Signs of a Broader Trend, 14 Access to the Best Talent, 15 Definition of Terms, 15 1 INTERNATIONAL SCIENCE AND ENGINEERING GRADUATE STUDENTS AND POSTDOCTORAL SCHOLARS IN THE UNITED STATES 17 Trends in International Graduate-Student Enrollments and Postdoctoral Appointments, 20 Quality of International Graduate Students, 23 Recent Trends in International Graduate-Student Enrollments, 26 Decline in Students Taking Proficiency Exams, 32 International Postdoctoral Scholars, 34 The Changing Balance of International and Domestic Scientists and Engineers, 39 Economic Impact of International Graduate Students and Postdoctoral Scholars, 43 Direct Economic Impact, 44
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Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States Stay Rates of International Graduate Students, 49 A Positive Impact on Innovation, 53 An Impact Through “Exceptional” Contributions, 59 Impact on Industry, 60 Impact of International Graduate Students and Postdoctoral Scholars on National Security, 62 Impact on International Relations, 64 Conclusion, 65 2 SHAPING THE FLOW OF INTERNATIONAL GRADUATE STUDENTS AND POSTDOCTORAL SCHOLARS: VISA AND IMMIGRATION POLICY 66 Nonimmigrant Visa Policies and Procedures, 67 9-11 and Its Aftermath, 72 The Student Exchange Visitor Information System, 77 Visas Mantis and Condor, 79 Other Immigration Policies and Conditions, 80 Reciprocity Agreements, 81 Deemed Exports, 82 Section 214(b), 85 Recent Events, 85 Conclusion, 86 3 THE GLOBALIZATION OF SCIENCE AND ENGINEERING 88 Relative Position of the US Science and Engineering Enterprise, 89 Authorship Trends, 90 Rising Mobility and Brain Drain, 92 Rising Global Capacity for Higher Education, 95 Asia, 96 Europe, 99 Global Competition for Graduate Students and Postdoctoral Scholars, 101 How Can the United States Continue to Attract the Best Domestic and International Students and Scholars?, 102 Declining Domestic Student Interest in Science and Engineering, 105 Demographic Challenges, 108 Levels of Public Funding, 109 The Entrepreneurial Approach to Higher Education, 110 Integrating Science and Engineering Policy with Foreign Policy, 112 Conclusion, 113
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Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States 4 STRATEGIES FOR IMPROVING POLICY DECISIONS 114 Data Weaknesses, 115 Data-Collection Systems for Measuring International Student Mobility, 118 Analytic Weaknesses, 121 The Unknown Future, 122 Policy Scenarios, 124 Conclusion, 126 5 FINDINGS AND RECOMMENDATIONS 127 APPENDIXES A Committee and Staff Biographic Information 143 B Charge to the Committee 153 C US Travel and Attitudes toward the United States 154 D Bibliography 161
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Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States Figures, Tables, and Boxes FIGURES 1-1 Total Full-Time and First-Year S&E Graduate Enrollments, 1982-2002, 20 1-2 Enrollments by Field, Citizenship, and Institutional Type, 22 1-3 Academic Postdoctoral-Scholar Appointments in S&E, 1983-2002, 24 1-4 Enrollment of International Graduate Students by Institutional Type, 27 1-5 Top 30 Institutions for Enrollment of Temporary-Resident Engineering Graduate Students, 2002, 28 1-6 Top 30 Institutions for Enrollment of Temporary-Resident Science Graduate Students, 2002, 29 1-7 Graduate School Entrance Examinations, 33 1-8 Academic Postdoctoral-Scholar Appointments by Field, 1983-2002, 36 1-9 Where Postdoctoral Scholars Received Doctorates, 38 1-10 Postdoctoral-Scholar Citizenship, Field, and Country of Doctorate, 38 1-11 Satisfaction with Postdoctoral Experience in the United States, 39 1-12 Preparation for Independent Position, 40 1-13 Median 2001 Postdoctoral-Scholar Stipends by Citizenship and Field, for the 1999-2000 PhD Cohort, 40
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Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States 1-14 Primary Mechanisms of Support for Doctoral Candidates, 1982-2002, 48 1-15 Primary Mechanisms of Support for Postdoctoral Scholars, 1983-2002, 50 1-16 Mechanisms of Support for Postdoctoral Scholars by Field, 1998-2002, 50 1-17 High-Skill Workers in US S&E Labor Force, 52 1-18 US Census Estimates of Foreign-Born in US S&E Occupations by Field, 2000, 53 1-19 Plans to Stay in United States after Earning Doctorate, by Field of Study, 55 1-20 Changes in US Citizenship among US-Awarded Doctorates in S&E, 57 1-21 Plans of Postdoctoral Scholars to Stay in the United States, 2004, 59 1-22 Exceptional Contributions: US Nobel Laureates’ Place of Birth and Country of Graduate Education, 61 2-1 Schedule of Activities for F and J Non-Immigrant Visa (NIV) Applicants, 73 2-2 Top 11 Student- and Scholar-Sending Countries, FY 2003, 74 2-3 Visa Issuance Volumes by Region for F and J Classes, 1966-2003, 75 2-4 Visa Workloads and Refusals: Student and Exchange Visitors, 76 2-5 Visa Mantis Security Advisory Opinion (SAO) Workload, FY 2004, 80 2-6 Student and Exchange-Visitor Trips Per Year, 1997-2003, 82 2-7 Re-entry Issues for Nonresident Postdoctoral Scholars, 83 3-1 S&E Doctorate Production by Country, 1975-2001, 89 3-2 International Authorship Trends, 1988-2001, 91 3-3 Expenditure for Research and Development as a Percentage of Gross National Product, 1991-2001, 97 3-4 Percent Distribution of US R&D Funding, by Sector, 109 3-5 Federal Funding for Academic Research, 1974-2004, 110 3-6 Enrollment and State Tax Appropriations per Full Time Equivalent Student (FTE) in Constant 2003 Dollars, 111 4-1 Outcomes Model, 125 C-1 Opinions of the United States, 156 C-2 Opinions of the United States of People Who Have and Have Not Visited the United States, 156
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Policy Implications of International Graduate Students and Postdoctoral Scholars in the United States TABLES 1-1 Number of US S&E PhDs Awarded by Selected Country of Citizenship, 1966, 1976, 1986, 1996, and 2003, 18 1-2 Change in Applications, Admissions, and Enrollments for International Graduate Students, 2003-2004, 31 1-3 Annual Revenues and Costs of Graduate Education per Full-Time Doctoral Student, 2000-2001, 45 1-4 Public University Tuition Waiver Policies for International Graduate Students, 46 1-5 Number of Foreign-Born in US S&E Occupations, 2000, 54 2-1 Legislation Affecting Visas and Study Plans, 68 C-1 Effect of Visiting on Opinions of the United States, 158 C-2 Attitudes toward US Science and Technology, 159 BOXES 1-1 Data Sources on Graduate Enrollment and Postdoctoral Appointments, 21 1-2 Post 9-11 Graduate-Student Applications, Admissions, and Enrollments, 30 2-1 Immigration and Nationality Act Definitions of Student and Exchange-Scholar Visa Classes and the 214b Provision, 70 4-1 Improving Data Systems for Decision Making, 116 4-2 Collection of US Foreign Commerce and Trade Statistics, 119 4-3 Project Atlas, 119 4-4 International Tracking of Doctorates, 120