May 2024

On May 15, the National Science and Technology Council (NSTC) Committee on STEM (CoSTEM) released three reports that highlight best practices and guidance for reducing barriers to participation in STEM. The reports are Federal Policies and Practices to Support STEM Researchers with Caregiving Responsibilities, Advancing Research Capacity at High Research Activity Historically Black Colleges and Universities, and Best Practices for Reducing Organizational, Cultural, and Institutional Barriers in STEM Research.

The first report, Federal Policies and Practices to Support STEM Researchers with Caregiving Responsibilities, responds to a provision in the CHIPS and Science Act calling for the White House Office of Science and Technology Policy (OSTP) to produce guidance to federal research agencies to establish policies for caregivers. The report includes an overview of existing federal policies and practices in four areas: flexibility in timing for the initiation of approved research awards; no-cost extensions of such research awards; award supplements, as appropriate, to research awards to sustain research activities conducted under such awards; and other appropriate accommodations at the discretion of agency directors.

The report also notes barriers that impact caregivers and potential practices for supporting caregivers who are STEM students and professionals, focusing on accessibility and flexibility for caregivers and actions that federal agencies can take. The OSTP guidance includes several actions that federal agencies can take to understand and assess opportunities for change. Building on these findings, the report includes recommendations for federal agencies in seven areas:

• Ensure that information on available caregiving flexibilities for grants is readily available and publicly accessible.
• Incorporate training and incentives for federally funded research institutions.
• Lead the way for broad cultural and institutional change.
• Incentivize mentoring and allowing for caregiver cohort support to be considered as a practice for mitigating barriers for STEM inclusion, especially for individuals from underrepresented groups.
• Allow for award time/funding cycle flexibility.
• Provide clear and upfront funding flexibility to account for unexpected and future needs.
• Provide gap funding for care providers.

The second report, Advancing Research Capacity at High Research Activity Historically Black Colleges and Universities, was developed by the Interagency Working Group for HBCU, TCU, and MSI STEM Achievement. The CHIPS and Science Act included a provision for OSTP to produce this report to Congress to (a) identify challenges and barriers to federal research and development awards for high research activity status (R2) Historically Black Colleges and Universities (HBCUs); and (b) make  recommendations for federal research agencies to sustainably boost the research capacity of R2 HBCUs through award-making authorities.

As context, the report highlighted data on the historic underfunding of HBCUs. The report identified several barriers that HBCUs face in seeking R&D grant awards: difficulty identifying funding across a diffuse and complex federal funding terrain, insufficient technical assistance, limited opportunities to build institutional capacity, limited clarity on how institutions build capacity, partnerships that are not mutually beneficial, bias in the review process, and limited post-award information that HBCUs can use to inform funding opportunity selection.

In response, the report included several recommendations for federal agencies to be able to address those barriers: strengthen outreach and engagement activities, provide comprehensive technical assistance and training, increase the flexibilities and expand the funding available to support institutional capacity, demystify the funding process and support clearly defined pathways for building research capacity, facilitate effective and equitable partnerships, combat biases during proposal review, and prioritize transparency.

The report also highlights current practices that federal agencies are taking that are aligned with the recommendations.

The last report, Best Practices for Reducing Organizational, Cultural, and Institutional Barriers in STEM Research, also responded to a provision in the CHIPS and Science Act calling for OSTP to produce guidance and best practices for federally funded institutions to conduct climate surveys and to provide educational opportunities for STEM professionals on effective practices for unbiased recruitment, evaluation, and promotion of undergraduate and graduate students and research personnel.

The report includes three steps for organizations to take to effectively use climate surveys to reduce barriers to STEM:

• Identify the organization’s needs and the climate survey’s purpose.
• Select measures that align with the identified purpose and provide accurate and useful information.
• Analyze climate survey results, including the use of benchmarking and disaggregated data, to provide a clear path forward for organizational improvement.

In addition, the report notes three overarching recommendations for organizations receiving federal research funding and for federal agencies to consider when updating existing guidance:

• Implement and expand existing best practices, particularly in the use of climate surveys, and educational and training opportunities to support organizational change.
• Implement and expand funding opportunities, resources, and policies to reduce organizational barriers and promote diversity, equity, inclusion, and accessibility (DEIA).
• Coordinate, standardize, and be transparent about organizational change and related DEIA initiatives across the organization, and identify and address gaps in the system where needed.

“We applaud OSTP for releasing these three significant and timely documents,” said AERA Executive Director Felice J. Levine. “The recommendations in these reports are especially important as federal agencies push forward on broadening participation activities while also encouraging institutions and PIs receiving federal research funding to take action to support faculty and students in STEM education and careers.”