The Funding of Social Knowledge Production and Application: A Survey of Federal Agencies (1978)

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16 Department of State The Department of State is one of the smaller funders of social knowl- edge production and application among the 12 cabinet-level depart- ments. The department's social knowledge production and application activities are divided among 3 diverse organizations: the Agency for International Development (AID), the Bureau of Intelligence and Re- search, and the Bureau of Educational and Cultural Affairs. Approxi- mately 95 percent of the department's social knowledge production and application activities is obligated by AID. The dollar totals reported for "departmental activities" may be slightly misleading. While those figures include only the external con- tract obligations (along with the in-house dissemination activities) of the Bureau of Intelligence and Research's Office of External Research, substantial amounts of in-house research and analysis are performed by other components in the bureau. The bureau now has a budget of more than $8 million, employs more than 300 persons, and produces over 1,000 in-house research reports annually for use within the gov- ernment. It is estimated that at least an equal number of ad hoc, infor- mal responses are written each year. The State Department has histori- cally excluded these in-house activities from their R&D totals. As is the case with several other federal agencies, the line between in-house staff work and research in the bureau is often a thin one. Because the activities of the bureau seem much closer to day-to-day staff work and analysis, we have excluded the bulk of these activities and only re- ported the extramural research and intramural dissemination activities of the Office of External Research. 353

354 SURVEY OF FEDERAL AGENCIES SOCIAL KNOWLEDGE PRODUCTION AND APPLICATION ACTIVITIES Table 16-1 presents the distribution of the State Department's social knowledge production and application activities. As noted above, over 95 percent of those activities is funded by AID. The largest activity is research, accounting for almost 60 percent of departmental fiscal 1977 total obligations. It is significant to note that the second-largest cate- gory is dissemination. The State Department—that is, both AID and the Bureau for Intelligence and Research—has placed great emphasis on the importance of disseminating research findings and other mate- rials. ORGANIZATION OF THE DEPARTMENT Figure 16-1 presents an organizational chart for the State Department. As the figure shows, AID operates somewhat apart from the other components of the department. (While the Arms Control and Disar- mament Agency appears in the chart, that agency is discussed in Chap- ter 20.) Table 16-2 presents the Department of State agencies that support social knowledge production and application activities. As noted above, only three components of the department support social knowl- edge production and application activities. It is interesting to note that the audiences of these activities differ among the three organizations. For AID, the goal or audience is providing knowledge for third parties. Unlike domestic agencies, in this case the third parties are the less developed nations of the world. The importance of reaching this audi- ence partially explains the emphasis on dissemination of knowledge in AID. The audience for the Bureau of Intelligence and Research ac- tivities is primarily State Department policy makers. POLICY AREAS IN THE DEPARTMENT Table 16-3 presents the policy areas in the Department of State in which social knowledge production and application activities are sup- ported. Social knowledge production and application on health, the largest policy area, are funded by AID. The second-largest area is natu- ral resources and environment, also funded by AID, and focuses on improving agricultural management and economics in less developed nations. Knowledge production and application activities on interna-

Department of State 355 TABLE 16-1 Department of State Social Knowledge Production and Application Activities (Smillions) Activity Fiscal 1975 Fiscal 1976 Fiscal 1977 Knowledge production Research Policy formulation demonstrations Program evaluation General purpose statistics Total Knowledge application Policy implementation demonstrations Development of materials Dissemination Total TOTAL 12.1 (62.4) 1.8 (9.4) 1.0 (5.3) 5.0 (77.1) (0.8) 0.3 (1.6) 4.0 (20.5) 4.4 (22.9) 19.4 (100.0) 13.9 (58.1) 1.4 (5.8) 1.5 (6.3) 16.9 (70.2) 0.9 (3.9) 0.4 (1.5) 5.9 (24.4) 7.2 (29.8) 24.0 (100.0) 17.3 (59.7) 2.1 (7.4) 1.1 (3.7) 20.5 (70.7) 0.3 (1.0) 0.5 (1.7) 7.7 (26.6) 8.5 (29.3) 29.0 (100.0) TABLE 16-2 Department of State Agencies that Support Social Knowledge Production and Application: Profile (fiscal 1977, Smillions) Predominant Organizational Location of Total Social Social Social Knowledge Knowledge Knowledge Production Production Production and and and Application Application Application Primary Goal Agency Obligations Activity Activity or Audience" Agency for 27.2 Research Operating Knowledge for International program third parties Development Departmental activities 1.8 Research Policy-making Improvement of office federal policies TOTAL 29.0 "See Chapter 2 for a more detailed discussion. 'Includes the Bureau of Intelligence and Research and the Bureau of Educational and Cultural Affairs.

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358 SURVEY OF FEDERAL AGENCIES tional affairs are primarily conducted in the Bureau of Intelligence and Research. AGENCY FOR INTERNATIONAL DEVELOPMENT Social Knowledge Production and Application Obligations (Sthou sands) Knowledge Production Activities Knowledge Application Activities Policy Policy Formula- Program General Implemen- Develop- Fiscal Re- tion Dem- Evalu- Purpose tation Dem- ment of Dissem- Year search onstrations ation Statistics Total onstrations Materials ination Total TOTAL 1975 11.096 1.834 834 13.764 150 259 3.649 4.058 17.822 1976 12.856 1.404 1.329 15.589 930 300 5.542 6.772 22,161 1977 16.078 2.135 875 19.088 300 434 7.376 8.110 27.198 It is the policy of the United States to assist the people of less devel- oped countries in developing their human and economic resources, increasing their productive capacity, and improving the quality of human life in those countries. The Agency for International Develop- ment (AID) is charged with administering the U.S. foreign economic assistance program. The social knowledge production and application activities of AID are carried out in two locations: the Bureau of Population and Humanitarian Assistance and the Bureau for Technical Assistance. Both bureaus place great emphasis on the application as well as the production of knowledge in the less developed nations. It should also be noted that the Study Project's categorization includes not only the social science research activities of AID but also their demonstration and dissemination activities. Thus, the total for AID is larger than the figure reported to the National Science Foundation as social science research. An interesting feature of the research and development program of AID is its institutional grants program to universities. In 1966, Congress authorized AID to spend a maximum of $10 million annually for assist- ing universities in the United States to strengthen their capacity to develop and carry out programs concerned with the economic and social development of less developed countries. Since that time, AID has made a series of five-year awards (known as Section 21 l[d] grants) to universities to increase their responsive capabilities in a particular field or on a problem of mutual interest to AID and the university.

Department of State 359 Selections are made on the basis of the university's demonstrated competence in priority fields of activity and the degree of long-term commitment that it is willing to offer the program. While 21 l(d) grants are not singled out in the discussion to follow, many of the activities of the Bureau for Technical Assistance use funds from 211(d) grants. Institutional grants have been given on the following topics: interna- tional agricultural economics; health and population planning; law, de- velopment, and modernization; comparative legislative studies; eco- nomic, social, and political development and modernization; and edu- cational development. For further information on the Section 21 l(d) grants, see A Directory of Institutional Resources, U.S. Centers of Competence for Interna- tional Development, a publication of AID. For Further Information See Catalog of Selected AID Publications and AID Research and Development Abstracts, which are both publications of AID, or write Agency for International Development, 320 Twenty-first Street, N.W., Washington, D.C. 20523. BUREAU OF POPULATION AND HUMANITARIAN ASSISTANCE AID'S interregional population program is managed by the Bureau of Population and Humanitarian Assistance. The interregional population program focuses on six areas: education and information systems; manpower and institutional development; demographic and social data; population policy, dynamics, and fertility behavior; fertility con- trol techniques and operations research; and family planning delivery systems. Varying amounts of social research and related activities are conducted in each area; the bureau's fiscal 1977 total for social knowl- edge production and application was $16.0 million. Education and Information Services This program area supports a variety of dissemination activities, primarily support of conferences, training sessions, and technical as- sistance. The bureau supports several projects that train individuals from less developed countries in ways to disseminate family planning practices. A technical assistance program is also supported in which home economists from less developed countries are taught family planning practices as part of their professional duties. Seminars are

360 SURVEY OF FEDERAL AGENCIES supported to promote greater knowledge and awareness among Latin American policy makers and opinion leaders about population and fam- ily planning. This program area also supports the development of mate- rials that provide simple and clear explanations of family planning techniques. A major goal of the program is to develop and disseminate educational methods and materials on population and family planning. Manpower and Institutional Development The goal of this program area is to develop adequate manpower for population and family planning programs in the less developed nations. The program area supports several dissemination activities; the largest is a technical assistance program through which several universities are funded to help countries develop and implement problem-solving ac- tivities related to key population and family planning issues. Several projects provide technical assistance to resolve demographic, com- munication, service delivery, and institutional development problems that are inhibiting program implementation in less developed countries. In addition, seminars are funded to disseminate the latest information about family planning problems to influential leaders from less devel- oped nations. Demographic and Social Data The goal of this program area is to support research that will aid in understanding of the economic and social implications of rapid popula- tion growth and assist in the formulation of family planning policies and programs. Areas of research include: LABORATORIES FOR POPULATION STATISTICS ThJS prOJCCt JS developing and implementing demographic data systems and methodologies to provide an information base for social and economic developmental planning. MEASURE OF DEMOGRAPHIC CHANGE The purpose of this program is to generate continuous, current, and reliable fertility and mortality data in selected countries by improving systems of vital events registration and using the data generated by those systems and others to measure the demographic impact of family planning programs. BIRTH AND DEATH COLLECTION SYSTEMS This program focuses on the measurement of demographic change (fertility, mortality, and popula-

Department of State 361 tion growth rates) in developing countries with major family planning programs; its goal is to measure trends in countries that have in- adequate statistical systems for generating demographic data. Another activity of this program area is the evaluation of the effec- tiveness of family planning programs. Evaluations are conducted by supporting subnational fertility surveys in areas that have had substan- tial family planning activities. Existing fertility and program data are also analyzed. This program also includes demographic training pro- grams for individuals from less developed countries. While these train- ing activities may include a research component, they have been excluded from the Study Project survey. Population Policy, Population Dynamics, and Fertility Behavior This program area supports research activities aimed at developing a better understanding of the factors affecting population growth and distribution in a given society and the effects of population growth on society. All factors—biomedical, social, economic, religious, and legal—that influence people's desired and actual family size and use of family planning services are studied. Specific areas of inquiry include: o Analysis of Population/Economic Growth Issues. o Analysis of Cultural Factors in Population Programs. o Research on Fertility Determinants and Consequences supports social science research needed to develop stronger bases for the formu- lation of national population policies to reduce fertility. o Law and Population Program examines the impact of national laws on family planning programs. o Analysis of Evaluation of Population Dynamics. This program assists less developed countries in considering the impact of population dynamics on their own development and in helping design, implement, and improve population policies that will contribute to development goals. Fertility Control Techniques and Operational Research This program, largely biomedical in nature, seeks to develop inexpen- sive and simplified fertility control techniques suited to the needs of developing countries. However, some social knowledge production and application activities are supported in this program. Research is funded to study innovative, integrated family planning distribution sys-

362 SURVEY OF FEDERAL AGENCIES terns. A small policy implementation demonstration is funded to assess the effectiveness and feasibility of the concept of a household delivery system. This program area also supports a large dissemination compo- nent: an information retrieval system to gather, update, and dissemi- nate information relating to fertility control, family planning programs, and law and public policy. Family Planning Delivery Systems This program area focuses on the actual delivery of family planning programs in less developed nations. No social knowledge production or application activities were found in this program area. BUREAU FOR TECHNICAL ASSISTANCE The Bureau for Technical Assistance administers AID'S interregional technical assistance and research program. The bureau's programs produce, adapt, disseminate, and promote the use of knowledge to help solve the problems of the poor in developing countries. The goal of the program is to apply the latest technical and scientific knowledge in developing countries. The bureau concentrates its efforts in four major problem areas: food and nutrition, health, education and human re- sources, and selected development programs. Each area supports some social knowledge production and application activities; the bureau's fiscal 1977 total for social knowledge production and applica- tion was $11.2 million. Food and Nutrition While the greatest emphasis is placed on food production and agricul- tural research, social knowledge production and application activities are supported in three areas: agricultural management and support, agricultural economics and analysis, and national nutrition planning and motivation. The agricultural management and support program supports a vari- ety of dissemination activities. Technical assistance is provided to help developing countries assess, plan, organize, implement, and evaluate food and nutrition programs. An information retrieval system is also supported to provide information to developing countries. The agricultural economics and analysis program supports research to help developing countries improve their capacity to analyze agricul- tural sector problems with emphasis on production, employment, in-

Department of State 363 come distribution, trade and domestic markets, land reforms, resource use, the quality of life in rural areas, problems of small farmers, and rural development. The nutrition programs support research that focuses on ways of using mass media advertising techniques to educate people about good nutrition patterns. A variety of dissemination activities, including technical assistance and workshops, are supported in the area of nutri- tion education and child feeding. Health AID'S interregional health program attempts to assist developing coun- tries in improving health care delivery to the poor, with emphasis on maternal and child health, nutrition, family planning, improving the efficiency and equity of health care resource allocations, and improv- ing environmental health problems. A variety of social knowledge pro- duction and application activities are supported in this area. AID'S program on health delivery systems supports a series of policy formulation demonstrations on ways to extend the delivery of inte- grated health services to less developed countries at a cost affordable by those countries. Research activities are funded on ways to improve the health status and health planning capability of less developed coun- tries. Several studies have analyzed the cost effectiveness of alterna- tive health measures. Dissemination activities are supported to spread information concerning health delivery systems throughout the world. Technical assistance is provided to less developed countries to assist them in implementing health programs in their countries. Education and Human Resources The goal of this program area is to assist developing nations in identify- ing national learning needs and the development of cost-effective and equitable approaches to education. A limited number of policy formulation demonstrations and policy implementation demonstrations are supported in the education area. These demonstrations seek to test and promote ways in which develop- ing countries can provide relevant learning opportunities at a reason- able cost through the use of modern communication technologies and methods. For example, a demonstration using two-way radio com- munication for rural primary schools is being tested. Research studies have been funded to investigate the potential uses of communications technology in rural primary schools.

364 SURVEY OF FEDERAL AGENCIES This program also supports research in several other areas. Several projects are being funded on educational finance and measurement in developing countries. Other research studies are examining ways in which rural local organizations in developing countries can be used as vehicles for effective informal education programs. Selected Development Programs Social knowledge production and application activities are being funded in two areas: urban development and social and economic re- search. Research is funded on analyzing the potential impact of rapid urbanization in developing countries. Several projects are also being conducted on the role regional planning can play in the development of smaller cities, and information is being disseminated in this area. The Bureau for Technical Assistance also supports research aimed at devising appropriate economic policies and programs in developing countries. Studies are funded on ways in which alternative economic policies can contribute to increased employment and employment op- portunities, a broader distribution of development benefits, and more efficient and effective use of scarce human and financial resources. In the general area of selected development problems, AID supports a series of dissemination activities, which include: o international conferences and workshops; o publication of AID Research and Development Abstracts; o distribution and demonstration of new materials, models, and pro- totypes; o "outreach" programs of the international agricultural research centers; and o encouragement of regional and global agricultural information networks.

Department of State 365 DEPARTMENT OF STATE: OTHER AGENCIES Social Knowledge Production and Application Obligations (Sthousands) Knowledge Production Activities Knowledge Application Activities Policy Policy Formula- Program General Implemen- Develop- Fiscal Re- tion Dem- Evalu- Purpose tation Dem- ment of Dissem- Year search cnstrations ation Statistics Total onstrations Materials ination Total TOTAL 1975 1.010 190 1.200 56 331 387 1.587 1976 1.089 190 1.279 56 324 380 1.659 1977 1.234 190 1.424 56 327 383 1.807 In contrast to the Agency for International Development, the State Department itself supports a limited amount of social knowledge pro- duction and application activities. The department's social knowledge production and application is supported in the Bureau of Intelligence and Research and the Bureau of Educational and Cultural Affairs. BUREAU OF INTELLIGENCE AND RESEARCH The Bureau of Intelligence and Research coordinates programs of intel- ligence, research, and analysis for the department and other federal agencies. Its fiscal 1977 total for social knowledge production and ap- plication activities was $1.3 million. The bureau produces intelligence studies and current intelligence analyses essential to the formulation of U.S. foreign policy. As a supplement to its own intramural research and intelligence capabilities, the bureau supports a small program of extramural research, which is conducted by the Office of External Research. In addition to funding extramural research, the Office of External Research serves as an intellectual link between the State Department's operating agencies and planning and analytical offices on one hand, and academic institutions, individual scholars, and other foreign policy specialists on the other hand. The office has long used conferences as a major mechanism of dissemination, to enable governmental staff to interact with the academic community. The office also uses consultants to provide departmental analysts and offices with specialized knowl- edge or fresh ideas and insights into questions on foreign policy. The Office of External Research supports approximately 30 research projects and 35 conferences annually. These studies and conferences attempt to do the following: detect or clarify situations and trends in foreign affairs; anticipate international problems and opportunities; re-

366 SURVEY OF FEDERAL AGENCIES view, evaluate, and plan foreign policies and programs; illuminate and improve the management, organization, and conduct of U.S. foreign relations; and improve and advance theory, methods, and data in disci- plines and fields that bear on foreign affairs. Thus, the extramural research program enables the Department of State to gain social sci- ence knowledge and techniques that otherwise would not be available to the government. Some recent research projects funded by the bureau include: o The Dynamics of Inter-American Relations; o A Study of Foreign Policy; o Political Dynamics and International Relations of the Soviet Union; o Critical Problems of International Interdependence; o Venezuelan Foreign Policy; o Legal Aspects of International Terrorism; and o Patterns of Law Enforcement in the Oceans. In addition to using conferences as a dissemination mechanism, the Office of External Research supports the Foreign Affairs Research Documentation Center. The center collects and disseminates studies produced by the State Department and other government agencies as well as unpublished research papers contributed by individual schol- ars, universities, and research centers. The purpose of the center is to facilitate the exchange of information between the government and the academic community on completed research, thus increasing the use of research results and helping to avoid duplication. The office issues three series of publications: o Foreign Affairs Papers Available, a monthly accessions list of papers collected by the Foreign Affairs Documentation Center; o Foreign Affairs Research: Special Papers Available, an annual cumulative listing of research papers previously cited in monthly Pa- pers Available; and o Government-Supported Research on Foreign Affairs: Current Projects Information, an annual listing of research projects that were initiated, ongoing, and completed during the fiscal year. (Beginning with the fourth quarter of fiscal 1977, the document will be issued quarterly.) The Office of External Research frequently points out that the size of its contract research program is not an adequate measure of its interest

Department of State 367 in research. Equally important, in the eyes of the office, are its at- tempts to identify, monitor, and assimilate the vast amount of private research being conducted in foreign affairs. The office has used a vari- ety of ways to stretch its limited resources; frequently it contracts directly with individual scholars, arranges for joint funding of projects with other agencies, skims off research results from projects supported by others, and makes frequent use of consultants to supplement staff available in the department. For Further Information Write Office of External Research, Department of State, 2201 C Street, N.W., Washington, D.C. 20520. BUREAU OF EDUCATIONAL AND CULTURAL AFFAIRS The Bureau of Educational and Cultural Affairs is responsible for pro- grams designed to strengthen patterns of informal, two-way communi- cation designed to increase mutual understanding and cooperation be- tween the people of the United States and those of other nations. The bureau supports research activities on American studies at research centers in foreign nations. Grants are given to American and foreign scholars who specialize in U.S. or foreign studies. The aim of the research centers is to promote international understanding. A small amount of funds is devoted to program evaluation of the bureau's programs. In October 1977, the President proposed that the Bureau of Educa- tional and Cultural Affairs be consolidated with the U.S. Information Agency to form a new Agency for International Communications.