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Suggested Citation:"THE SCOPE OF THE FEDERAL INVESTMENT." National Research Council. 1978. The Funding of Social Knowledge Production and Application: A Survey of Federal Agencies. Washington, DC: The National Academies Press. doi: 10.17226/19889.
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Suggested Citation:"THE SCOPE OF THE FEDERAL INVESTMENT." National Research Council. 1978. The Funding of Social Knowledge Production and Application: A Survey of Federal Agencies. Washington, DC: The National Academies Press. doi: 10.17226/19889.
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Page 30
Suggested Citation:"THE SCOPE OF THE FEDERAL INVESTMENT." National Research Council. 1978. The Funding of Social Knowledge Production and Application: A Survey of Federal Agencies. Washington, DC: The National Academies Press. doi: 10.17226/19889.
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Page 31
Suggested Citation:"THE SCOPE OF THE FEDERAL INVESTMENT." National Research Council. 1978. The Funding of Social Knowledge Production and Application: A Survey of Federal Agencies. Washington, DC: The National Academies Press. doi: 10.17226/19889.
×
Page 32
Suggested Citation:"THE SCOPE OF THE FEDERAL INVESTMENT." National Research Council. 1978. The Funding of Social Knowledge Production and Application: A Survey of Federal Agencies. Washington, DC: The National Academies Press. doi: 10.17226/19889.
×
Page 33
Suggested Citation:"THE SCOPE OF THE FEDERAL INVESTMENT." National Research Council. 1978. The Funding of Social Knowledge Production and Application: A Survey of Federal Agencies. Washington, DC: The National Academies Press. doi: 10.17226/19889.
×
Page 34
Suggested Citation:"THE SCOPE OF THE FEDERAL INVESTMENT." National Research Council. 1978. The Funding of Social Knowledge Production and Application: A Survey of Federal Agencies. Washington, DC: The National Academies Press. doi: 10.17226/19889.
×
Page 35
Suggested Citation:"THE SCOPE OF THE FEDERAL INVESTMENT." National Research Council. 1978. The Funding of Social Knowledge Production and Application: A Survey of Federal Agencies. Washington, DC: The National Academies Press. doi: 10.17226/19889.
×
Page 36
Suggested Citation:"THE SCOPE OF THE FEDERAL INVESTMENT." National Research Council. 1978. The Funding of Social Knowledge Production and Application: A Survey of Federal Agencies. Washington, DC: The National Academies Press. doi: 10.17226/19889.
×
Page 37
Suggested Citation:"THE SCOPE OF THE FEDERAL INVESTMENT." National Research Council. 1978. The Funding of Social Knowledge Production and Application: A Survey of Federal Agencies. Washington, DC: The National Academies Press. doi: 10.17226/19889.
×
Page 38
Suggested Citation:"THE SCOPE OF THE FEDERAL INVESTMENT." National Research Council. 1978. The Funding of Social Knowledge Production and Application: A Survey of Federal Agencies. Washington, DC: The National Academies Press. doi: 10.17226/19889.
×
Page 39
Suggested Citation:"THE SCOPE OF THE FEDERAL INVESTMENT." National Research Council. 1978. The Funding of Social Knowledge Production and Application: A Survey of Federal Agencies. Washington, DC: The National Academies Press. doi: 10.17226/19889.
×
Page 40

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3 The Scope of the Federal Investment KNOWLEDGE PRODUCTION AND APPLICATION CATEGORIES In fiscal 1977, federal obligations for the seven categories of social knowledge production and application totaled $1.8 billion. Table 3-1 presents the totals and distribution of the categories for three fiscal years. Federal funds for social knowledge production and application increased 10 percent between fiscal 1975 and fiscal 1976; the increase between fiscal 1976 and fiscal 1977 was 4 percent. Caution should be used in interpreting fiscal 1977 figures, as they were based on the President's fiscal 1977 budget request and do not represent subsequent changes that occurred due to congressional actions or agency repro- gramming. The largest single category of knowledge production and application is research (basic, applied, and policy research), which accounted for over $700 million, 37 percent of total federal obligations for social knowledge production and application in fiscal 1977. While research accounts for more than one-third of the total funds, it does not domi- nate knowledge production and application obligations as one might expect from the emphasis that research activities have traditionally received in reports on the social sciences. By enlarging the knowledge production framework to include activities other than research—one type of demonstration, program evaluation, and general purpose statistics—the total for knowledge production becomes $1.2 billion, or 67 percent of the fiscal 1977 social knowledge production and applica- tion total—almost double the research total. 29

30 SCOPE OF THE SURVEY TABLE 3-1 Distribution of Social Knowledge Production and Appli- cation Activities (Smillions) Activity Fiscal 1975 Fiscal 1976 Fiscal 1977 Knowledge production Research Policy formulation demonstrations Program evaluation General purpose statistics Total Knowledge application Numbers may not total due to rounding. "Numbers in parentheses are column percentages. 585.6 655.3 701.0 (35.6)° (36.2) (37.1) 209.7 204.0 199.4 (12.7) (11.2) (10.5) 52.5 61.7 63.6 (3.2) (3.4) (3.4) 239.3 293.6 313.7 (14.5) (16.2) (16.6) 1.087.1 1.241.6 1.277.7 (66.0) (67.0) (67.6) Policy implementation demonstrations 152.4 183.2 178.9 (9.3) (10.1) (9.5) Development of materials 121.2 121.4 114.4 (7.4) (6.7) (6.1) Dissemination 286.1 293.5 317.7 (17.3) (16.2) (16.8) Total 559.7 598.1 611.1 (34.0) (33.0) (32.4) TOTAL 1.646.8 1.812.7 1 .888.8 (100.0) (100.0) (100.0) The survey found that the two demonstration categories accounted for nearly 20 percent of the total knowledge production and application funds. Funds for demonstrations were almost equally divided between policy formulation demonstrations (knowledge production) and policy implementation demonstrations (knowledge application). The role of demonstrations as a means of gaining new knowledge or applying exist- ing knowledge had received little, if any, attention in the previous social science studies. The inclusion of demonstrations in the framework represents a major departure from previous studies and surveys. Data on social, nontechnological demonstrations have been difficult to obtain in the past. Just as the Study Project felt that there are many ways to gain

Scope of the Federal Investment 31 knowledge, it felt that there are several different ways in which knowl- edge can be applied. Traditionally, these activities—with the excep- tion of the development of materials—have been excluded from R&D figures. The survey found that over $600 million was spent on knowledge application activities in fiscal 1977—nearly 33 percent of the total obli- gations for social knowledge production and application for that year. The 2:1 ratio of knowledge production to knowledge application re- mained fairly steady from fiscal 1975 to fiscal 1977. The small percent- age decrease in knowledge application for fiscal 1977 is explained by a decline in federal support for the development of curriculum materials. The overall ratio for the federal government of 2:1, knowledge pro- duction to knowledge application, is distorted by two agencies—the Office of Education and the Agricultural Extension Service. These two agencies combined obligated $288 million for knowledge application activities in fiscal 1977, over 45 percent of the government's total. Without the large total for knowledge application of those two agen- cies, the overall ratio of knowledge production to knowledge applica- tion for the federal government would be closer to 4:1. POLICY AREAS Table 3-2 presents the distribution of obligations for social knowledge production and application by policy area.' The largest policy area is health, accounting for over $440 million in fiscal 1977, nearly one- fourth of the total. The second largest category was education, ac- counting for almost $400 million, or 20 percent of the social knowledge production and application total.2 The four policy areas under human 'A more detailed discussion of the policy areas used by the Study Project is found in Chapter 2 of the final report of the Study Project, The Federal Investment in Knowledge of Social Problems. 'The education policy area is discussed in detail in three publications of the National Institute of Education R&D System Support Division: Technical Report No. 1. 1975 Federal Funding for Education Knowledge Production and Utilization: A Composite Estimate, by Agency, Using Four Data Bases Technical Report No. 2, Federal Funding for Education Knowledge Production and Utilization: KPU Function, by Agency Technical Report No. 3.1975 Federal Funding for Education Knowledge Production and Utilization: Project Content and Performer, by Agency The data presented in the first two studies are based on the Study Project survey, but the National Institute of Education recombined several categories to develop a knowledge production and utilization framework. The three reports can be obtained from R&D System Support Division of the National Institute of Education, 1200 19th Street, N.W., Washington, D.C. 20036.

32 SCOPE OF THE SURVEY TABLE 3-2 Distribution of Social Knowledge Production and Application Obligations by Policy Area (Smillions) Policy Area Fiscal 1975 Fiscal 1976 Fiscal 1977 Human resources Health 427.5 435.9 437.3 (25.9V (24.0) (23.1) Education 361.6 393.6 395.1 (22.0) (21.7) (20.9) Employment and training 118.9 138.7 162.3 (7.2) (7.7) (8.6) Income security and 98.5 112.4 109.4 social services (6.0) (6.2) (5.8) Total 1.006.6 1 .080.6 1.104.1 Community resources (61.1) (59.6) (58.4) Economic growth 183.2 206.2 223.6 (11. 1) (11.4) (M.8) Housing and community 87.4 106.1 110.9 development (5.3) (5.9) (5.9) Transportation and 94.4 113.6 122.9 communication (5.7) (6.3) (6.5) Law enforcement and justice 48.2 65.2 61.2 (2.9) (3.6) (3.2) International affairs 20.4 22.9 24.7 (1.2) (1.3) (1.3) Total 433.6 514.1 543.4 Natural resources (26.3) (28.4) (28.7) Natural resources and environment 100.4 114.3 118.7 (6.1) (6.3) (6.3) Energy development and 10.4 29.5 39.4 conservation (0.6) (1.6) (2.1) Total 110.8 143.8 158.1 (6.7) (7.8) (8.4) Science and technology base • 95.8 74.1 83.3 (5.8) (4.1) (4.4) TOTAL 1.646.7 1.812.7 1 .888.8 (100.0) (100.0) (100.0) Numbers may not total due to rounding. "Numbers in parentheses are column percentages

Scope of the Federal Investment 33 resources account for nearly 60 percent of the total. The large size of the economic growth policy area, the third-largest category, is ex- plained by the inclusion of the social statistics of the Bureau of the Census in that category. Spending on social knowledge production and application in each of the policy areas was relatively stable over the three-year period. Nine of the twelve policy areas showed dollar increases, although these increases were usually small. Only three policy areas (law enforcement and justice, science and technology base, and social services and in- come security) showed dollar decreases over the three-year period. The decrease in the science and technology base policy area is due largely to severe cuts in the curriculum development activities of NSF. The energy policy area had the largest percentage increase, more than 200 percent. The small figure in fiscal 1975 is due in part to the fact that figures were not available for the Energy Research and Develop- ment Administration (ERDA) for that year; ERDA was created in mid- fiscal 1975. The survey was also unable to obtain figures for that year for the Atomic Energy Commission. Other policy areas that showed much growth between fiscal 1975 and fiscal 1977 are employment and training (36 percent) and transportation (30 percent). The increase in the employment area occurs primarily in the Bureau of Labor Statistics and the Department of Defense's em- ployment and training activities. The increase in transportation is ac- counted for by an increase in the social knowledge production and application activities of the Department of Transportation. MAJOR AGENCY FUNDERS OF SOCIAL KNOWLEDGE PRODUCTION AND APPLICATION Table 3-3, which presents the ranking of cabinet departments and inde- pendent agencies by their fiscal 1977 obligations, provides a sense of the degree of concentration of social knowledge production and appli- cation. The 5 largest departmental funders—the Departments of Health, Education, and Welfare; Agriculture; Commerce; Labor; and Transportation—account for more than 70 percent of the govern- ment's total obligations for social knowledge production and applica- tion. The remaining 30 percent is spread over the other 7 cabinet de- partments and 42 independent agencies. Table 3-4 presents the 25 largest agency funders of social knowledge production and application. Nine of the 25 agencies are in the Depart-

34 SCOPE OF THE SURVEY TABLE 3-3 Ranking of Cabinet Departments and Independent Agen- cies by Social Knowledge Production and Application Obligations (fis- cal 1977, $millions) Department or Agency Social Knowledge Production and Application Obligations Cabinet departments 1. Health, Education, and Welfare 2. Agriculture 3. Commerce 4. Labor 5. Transportation 6. Defense 7. Housing and Urban Development 8. Justice 9. Energy" 10. State 11. Treasury 12. Interior Independent agencies 1. National Science Foundation 2. Energy Research and Development Administration* 3. National Foundation for the Arts and Humanities 4. Environmental Protection Agency 5. Smithsonian Institution 6. Appalachian Regional Commission 7. Federal Reserve System 8. Commission on Civil Rights 9. Veterans Administration 10. Federal Energy Administration' 717.9 285.7 129.6 128.8 109.8 70.8 68.4 60.9 29.6 29.0 25.9 13.3 99.9 21.7 16.4 12.8 12.4 11.5 10.1 8.2 5.8 5.3 "The Department of Energy was not surveyed by the Study Project. Figure represents the social knowledge production and application obligations of the Energy Research and Development Adminis- tration, the Federal Energy Administration, and the Federal Power Commission. All three agencies were consolidated in the Department of Energy. 'Agencies consolidated into the Department of Energy. ment of Health, Education, and Welfare, as might be expected due to its large obligations for social knowledge production and application. Four of the top 25 agencies are in the Department of Agriculture. This table also demonstrates the concentration of social knowledge produc- tion and application: the 25 largest agencies account for nearly 80 per- cent of the government's total knowledge production and application.

Scope of the Federal Investment 35 TABLE 3-4 Largest Agency Funders of Social Knowledge Production and Application (fiscal 1977, $millions) Agency Department Social Knowledge Production and Application Obligations Predominant Social Knowledge Production and Application Activity 1. Office of Education HEW 202.3 Demonstrations 2. Extension Service Agriculture 161.0 Dissemination 3. National Science Independent 99.9 Research Foundation agency 4. National Institute HEW 95 J» Research/ of Education demonstrations S. Bureau of the Census Commerce 79.6 Statistics 6. Alcohol. Dnig Abuse, HEW 79.5 Research and Mental Health Administration 7. Office of Policy HUD AS.4 Demonstrations/ Development and Research research g. Nalional Institutes HEW W.I Research of Health 9. Office of Human HEW 65.2 Research Development Services 10. Bureau of Labor Labor 62.7 Statistics Stalistics 11. Health Resources HEW 62.5 Research Administration 12. Law Enforcement Assist- Justice 50.9 Research ance Administration 13. Health Services HEW A5A Demonstrations Administration 14. Occupational Safety Labor 38.3 Demonstrations and Health Administration 15. Urban Mass Trans- Transportalion 36.1 Demonstrations portation Administration 16. Office of the Assistant HEW 34.6 Demonstrations Secretary for Planning and Evaluation 17. Statistical Reporting Agriculture W.I.I Statistics Service I*. Economic Research Service Agriculture 31.9 Research 19. Social Security HEW 27.6 Research Administration 20. National Highway Traffic Transportation 27.4 Research Safety Administration 21. Agency for International Stale 27.2 Research Development 22. Cooperative Stale Agriculture 27.2 Research Research Service 23. Department of the Army Defense 25.1 Research 24. Energy Research and De- Independent 21.7 Research velopment Administration" agency 25. Office of the Secretary Transportation 20.0 Research "Consolidated into the Department of Energy.

36 SCOPE OF THE SURVEY The 25 largest social knowledge production and application agencies represent the spectrum of agency types and agency missions. The 10 largest social knowledge production and application agencies include 4 operating agencies, 3 R&D agencies, 2 statistical agencies, and 1 office that is predominately policy-making in nature. FUNDING PATTERNS3 Table 3-5, which presents aggregate totals by organizational location, shows the dominance of operating agencies in the funding of social knowledge production and application activities. Nearly 50 percent of all obligations for social knowledge production and application is made by operating agencies; the mission focus of social knowledge produc- tion and application is clearly seen. R&D agencies fund only 28 percent of the government's total social knowledge production and application. Examples of each type of agency are presented throughout this vol- ume. Table 3-6, which presents aggregate totals by agency goal or audi- ence, shows the dominance of "third parties" as the major audience of federal social knowledge production and application activities. Over 50 percent of the government's social knowledge production and applica- tion obligations is aimed at nonfederal users—third parties, such as state and local government officials, school administrators, teachers, social workers, police officers, etc. The organizational location of so- cial knowledge production and application activities might have led one to think that the bulk of federal spending is aimed at improving federal programs. The survey found, however, that much of the activity of operating agencies (such as the Office of Education and the Urban Mass Transportation Administration) and some R&D agencies (such as the National Institute of Education and the National Institute of Law Enforcement and Criminal Justice) is aimed at providing information to nonfederal users. '•I'm a fuller discussion of the agency funding patterns, see Chapter 2 of the final report of the Study Project, The Federal Investment in Knowledge of Social Problems.

Scope of the Federal Investment 37 TABLE 3-5 Funding Patterns of Social Knowledge Production and Application by Organizational Location (fiscal 1977, Smillions) Organizational Location of Social Knowledge Production and Application Activity Social Knowledge Production and Application Obligations $ re- Associated with an operating program Associated with a policy-making office Associated with an agency whose primary mission is R&D funding Associated with an agency whose primary mission is the collection and/or analysis of statistics TOTAL 939.6 184.4 526.5 49.7 9.7 27.9 238.3 12.6 1.888.8 99.9 TABLE 3-6 Funding Patterns by Agency Goal or Audience (fiscal 1977, Smillions) Social Knowledge Production and Agency Goal or Audience Application Obligations Improvement of federal programs Improvement of federal policies Provision of knowledge for third parties Advancement of knowledge Collection and analysis of statistical data TOTAL 267.4 191.1 964.8 210.7 254.8 1.888.8 14.1 10.1 51.1 11.1 13.5 99.9

II SURVEY OF FEDERAL AGENCIES

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