Managing "R elevance"
in S o c ia l S cience F u n d in g *
The N a tio n a l S cien ce Found atio n (USA) and th e S o c ia l S cien ce Research Counci1/ESCR (UK)
1965 t o 1985
by
C y r il S . Sm ith (L o n d o n )**
O tto N. Larsen ( S e a t t l e ) * * *
A r t ic le published in : Minerva.A Review o f Science, Learning and P o lic y , V o l. XXVII, Number 4, Winter 1989, p. 461-483
*The authors express t h e ir g ra titu d e to the Wissenschaftszentrum, B e rlin , and in p a r tic u la r to Dr. Georg Thurn, fo r p ro vid in g support fo r th is c o lla b o ra tiv e e f f o r t .
^ S e c re ta ry o f the ESRC/SCCR, 1975-1985.
* * * D ire c to r o f the D iv is io n o f Social and Economic Science, 1980-83 and Senior Associate fo r Social and Behavioral Science, 1983-1986,
N ational Science Foundation.
This paper t r ie s to e xp la in why two science funding agencies c r i t i c a l to the support o f so c ia l science in the US and UK, each w ith strong
re p re se n ta tio n from the science community in t h e ir management, d i f f e r considerably in t h e ir commitment to relevance.
Five possible lin e s o f explanation are examined and o f these three seem to have explanatory power. F ir s t , the s c ie n tis ts in charge o f each agency d i f f e r in th e ir p r io r i t i e s between p o lit ic a l and s c ie n t if ic commitments.
Second, the whole funding system fo r science in each country va rie s in i t s c l a r i t y w ith which i t separated basic funding from a p p lie d . T h ird , the weakness o f ap plied research in government in the UK drew the SSRC/ESRC in to a more p o lic y -re le v a n t ro le .
The other two explanations o ffe re d must remain more p ro b le m a tic. In the
case o f p o lit ic a l pressure fo r relevance, the h is to r y o f p o lit ic a l change
in both co u n trie s is so s im ila r th a t i t h a rd ly can be taken as a reason fo r
the d if f e r in g commitments to relevance. In the case o f s tra te g ie s designed
to maximise the share o f resources, the opinions are d iv id e d . This study
also r e fle c ts on what might cause a change o f d ir e c tio n .
Das Paper versucht zu e rk lä re n , warum zwei Forschungsförderungs
in s t it u t io n e n in G roßbritannien und den USA, die e in e r Unterstützung der S ozialw issenschaften eher k r it is c h gegenüberstehen und beide eine starke Vertretung der W issenschaftlergem einschaft in ih r e r Verwaltung haben, d e ra rt in ih r e r V e rp flich tu n g auf Relevanz d if f e r ie r e n .
Während fü n f mögliche Erklärungsm uster untersucht werden, scheinen nur drei einen Erklärungsw ert zu b e sitze n . Erstens unterscheiden sich d ie Wissen
s c h a ftle r , entsprechend ih r e r in s t it u t io n e lle n Einbindung, in ihren P rio ritä te n se tzu n g e n zwischen p o litis c h e n und w isse n sch a ftlich en V erp flich tu n gen . Zweitens unterscheidet sich das ganze Forschungs
förderungssystem beider Länder in dem Grad an K la r h e it , m it der es die Förderung der Grundlagenforschung von der der angewandten Forschung
u n terscheid et. D ritte n s t r ie b d ie Schwäche der angewandten Forschung in der b ritis c h e n Regierung das SSRC/ESRC in eine mehr p o lic y - o r ie n t ie r t e R o lle . Die anderen beiden sich anbietenden Erklärungen bleiben weitaus
problem atischer. Was den p o litis c h e n Druck in Richtung auf Relevanz
b e t r i f f t , so i s t die Geschichte des p o litis c h e n Wandels in beiden Ländern so ä h n lic h , daß es schwer f ä l l t , dies a ls einen Grund fü r die
u n te rsch ied lich e n Verpflichtungen auf Relevanz zu id e n t if iz ie r e n . Im F a ll der S tra te g ie n , d ie darauf zugeschnitten sin d , den A n te il an den Ressourcen zu maximieren, unterscheiden sich verstä n d lich e rw e ise d ie A nsichten. Diese Studie r e f le k t ie r t auch darüber, was einen Richtungswechsel bewirken
könnte.
I n t r o d u c t i o n
The s o c i a l s c ie n c e s a re n o t c u r r e n t l y b a s k in g i n a s t a t e o f h ig h p r o s p e r i t y . H ow ever, t h i s o b s e r v a t io n s h o u ld n o t be a llo w e d t o o b s c u re th e f a c t t h a t m ost m odern d e m o c r a tic g ove rn m e n ts c o n tin u e t o a p p r o p r ia t e c o n s id e r a b le sums o f money f o r s o c i a l s c ie n c e r e s e a r c h . I n so d o in g th e y make d i s t i n c t i o n s b e tw e e n b a s ic and a p p lie d re s e a r c h and o f t e n e x p re s s t h i s d i s t i n c t i o n i n th e ty p e s o f i n s t i t u t i o n s w h ic h a l l o c a t e re s e a r c h fu n d s . I n th e USA th e o r g a n is a t io n w i t h th e p rim e r e s p o n s i b i l i t y f o r f u n d in g b a s ic re s e a r c h i s c a l l e d th e N a t io n a l S c ie n c e F o u n d a tio n and i n th e UK i t i s c a l l e d a R e se arch C o u n c il. T h e ir fu n d in g o f b a s ic re s e a r c h i s s t r o n g l y l i n k e d t o th e u n i v e r s i t i e s and i s g u id e d th r o u g h a system o f p e e r r e v ie w a c c o r d in g to c r i t e r i a o f w h a t h o ld s m o st p ro m is e f o r
in c r e a s in g s c i e n t i f i c k n o w le d g e .
D e s p ite th e c o n tin u e d e x is te n c e o f su ch s e p a ra te f u n d in g b o d ie s f o r b a s ic s c ie n c e i t i s a common e x p e rie n c e t h a t su ch o r g a n is a t io n s h a ve been u n d e r p re s s u r e fro m t h e i r g o ve rn m e n ts t o p ro v e th e m s e lv e s u s e f u l -- o r i n th e o f f i c i a l la n g u a g e - - " r e l e v a n t t o n a t i o n a l n e e d s ."
M o s t o f t e n su ch needs a re d e f in e d i n te rm s o f im p r o v in g th e c o m p e t it iv e p e rfo rm a n c e o f th e n a t i o n a l economy b u t o t h e r c o n t r i b u t i o n s such as im p r o v in g th e n a t i o n 's h e a lt h may a ls o be re g a rd e d as r e le v a n t . The p o l i t i c a l p ro c e s s has s t i r r e d th e d e v e lo p m e n t o f a r i c h v o c a b u la r y a ro u n d d i r e c t i n g r e s e a r c h fu n d s to w a rd r e le v a n c e . Among te rm s w h ic h can be fo u n d a re m is s io n o r ie n t e d r e s e a r c h , s o l i c i t e d g r a n t s p r o j e c t s ,
1 We s h a l l use S c ie n c e F u n d in g A g e n c ie s as th e g e n e r ic te rm i n th e t e x t .
2 T h is does n o t e x c lu d e i n t e r n a t i o n a l r e s e a r c h b u t i n p r a c t i c e i t te n d e d t o be dow ngraded.
r e s e a r c h i n i t i a t i v e s , d e m o n s tra tio n g r a n t s , a c t i o n r e s e a r c h , c u s to m e r d e f in e d p r i o r i t i e s , s p e c ia l s e t a s id e s and p ro b le m s o lv in g .
I n th e i n t e r a c t i o n betw e e n g o v e rn m e n ts , f u n d in g a g e n c ie s , and th e r e c i p i e n t s o f g r a n t s , d i s t i n c t i o n s a re a ls o made b e tw e e n s h o r t and lo n g te rm a p p l i c a t i o n s , b e tw e e n s t r a t e g i c and a p p lie d , and betw e e n s p e c i f i c and c o n t e x t u a l r e s e a r c h . C e r t a in d i s c i p l i n e s a re th o u g h t to be a p p lie d and c e r t a i n f i e l d s a re d e f in e d i n te rm s o f a p p l i c a t i o n . W hatever th e t h r u s t , be i t a p p lie d o r b a s ic , m u l t i d i s c i p l i n a r y re s e a r c h i s th o u g h t t o be e s p e c i a l l y d e s i r a b le .
No m a t t e r w h a t l a b e l o r c a te g o r y i s a tt a c h e d t o re s e a r c h , th e c o n t e n t o f w h a t i s deemed r e le v a n t changes o v e r tim e w i t h s h i f t i n g p o l i t i c a l c u r r e n t s , a l t e r a t i o n s i n th e u n d e r s ta n d in g o f s c ie n c e , and r e v i s i o n s i n p r i o r i t i e s a b o u t n a t io n a l n e e d s. F u rth e rm o r e , w h a te v e r th e i n t e n t o f th e r e s e a r c h e r o r th e i m p r i n t o f th e f u n d in g a ge n cy, much o f s o c i a l s c ie n c e r e s e a r c h b e in g u n d e rta k e n i n th e n o rm a l c o u rs e o f
academ ic w o rk i n u n i v e r s i t i e s i s bound, e i t h e r d i r e c t l y o r i n d i r e c t l y , t o h ave some r e le v a n c e t o is s u e s o f p o l i c y . F o r e x a m p le , i n q u i r i e s b y e c o n o m is ts as t o how th e economy f u n c t io n s i n e v i t a b l y c o n c e rn th e way d i f f e r e n t g ove rn m e n ts manage th e economy. When e c o n o m is ts a p p ly f o r fu n d s t o advance t h e i r academ ic w o rk t h i s u s u a l l y e n t a i l s e i t h e r m odels a b o u t o r th e c o l l e c t i o n o f d a ta a b o u t th e r e a l w o r ld . And c o n c e rn s a b o u t th e " r e a l w o r ld " m ount c o n s ta n t p re s s u r e s on fu n d in g a g e n c ie s t o s u p p o rt r e s e a r c h t h a t has some a s s u ra n c e o f b e in g r e l e v a n t t o th e p ro b le m s o f t h a t w o r ld .
T h e re i s , h o w e v e r, a s i g n i f i c a n t change i n th e s i t u a t i o n when somebody e ls e o th e r th a n s c i e n t i s t s b e g in t o d e f in e w h ic h p ro b le m s s h o u ld be s t u d ie d and o f f e r s re s o u rc e s to e n c o u ra g e a s h i f t o f i n t e r e s t .
We a re th e n i n a s i t u a t i o n w h e re a s c ie n c e fu n d in g age n cy i s c o m p e lle d t o i n t e n s i f y e f f o r t s t o "manage r e le v a n c e . " A f u r t h e r p ro b le m a r is e s when th e m is s io n i s n o t c l e a r l y d e fin e d b y a c u s to m e r su ch as a n o th e r g o v e rn m e n t d e p a rtm e n t ( w h ic h h a s a c l e a r r e s p o n s i b i l i t y f o r a p p ly in g p o l i c y ) b u t b y a s c ie n c e fu n d in g agency whose r e s p o n s i b i l i t y i s t o lo o k a f t e r s c ie n c e . Thus th e em ergence o f p re s s u r e s and e x p e c t a t io n s a ro u n d r e le v a n c e o f t e n r e f l e c t s h a rp d if f e r e n c e s a b o u t w hat s h o u ld be th e r e l a t i o n s h i p o f s c ie n c e t o g o v e rn m e n t and a b o u t w h a t k in d o f s c ie n c e p ro d u c e s kn ow led g e f o r w h a t p u rp o s e s . 3
T h is p a p e r p r e s e n ts a c o m p a ris o n o f th e e x p e rie n c e o f tw o s c ie n c e fu n d in g o r g a n is a t io n s i n m a n ag in g th e p re s s u re s f o r " r e l e v a n c e . " I n th e p e r io d fro m 1965 t o 1985 th e N a t io n a l S c ie n c e F o u n d a tio n i n th e US and th e R e s e a rc h C o u n c ils o f th e UK made d i s t i n c t i v e e f f o r t s t o be r e le v a n t . As i t p e r t a in s to s o c i a l s c ie n c e , th e s t r i k i n g d if f e r e n c e b e tw e e n t h e i r e x p e r ie n c e i n m anaging p r e s s u r e s f o r re le v a n c e i s t h a t th e e f f o r t t o be u s e f u l w e n t f u r t h e r i n th e UK and c o n tin u e d lo n g e r . The m a in p u rp o s e o f
t h i s p a p e r i s t o seek an e x p la n a t io n o f why t h i s happened.
A s t r a i g h t c o m p a ris o n o f p ro m in e n t s c ie n c e f u n d in g a g e n c ie s i n th e U n it e d S ta te s and G re a t B r i t a i n i s c o m p lic a te d b y a num ber o f
c o n s i d e r a t io n s . F i r s t , as w i l l be o u t l i n e d b e lo w , each n a t i o n a l agency i s embedded i n a d i f f e r e n t o r g a n is a t io n a l s t r u c t u r e w i t h r e s p e c t to th e t o t a l i t y o f s u p p o r t f o r a l l s c ie n c e . Second, th e r e s o u r c e s w h ic h each
3 See, f o r e xa m p le , A. B. C h e rn s , R. S i n c l a i r and W. I . J e n k in s ( e d s . ) , S o c ia l S c ie n c e and G o v e rn m e n t. London: T a v is t o c k , 1 97 2 ; M a r t in B u lm e r ( e d . ) , S o c ia l S c ie n c e and G o ve rn m e n t. London: C am bridge
U n i v e r s i t y P re s s , 1987; I r v i n g L o u is H o ro w itz ( e d . ) , The Use and Abuse o f S o c ia l S c ie n c e . New B ru n s w ic k : T r a n s a c tio n B ooks, 2nd e d . , 1975; and, S. Z . K la u s n e r and V. M. L in d z ( e d s . ) , The N a t i o n a l i z a t i o n o f th e S o c ia l S c ie n c e s . P h ila d e lp h ia : U n i v e r s i t y o f P e n n s y lv a n ia P re s s , 1986.
commands do n o t r e p r e s e n t th e w h o le o f th e g o v e rn m e n ta l s u p p o r t base f o r s o c i a l s c ie n c e i n t h e i r r e s p e c t iv e c o u n t r ie s . Thus th e " p a r e n t " a g e n c ie s ( t h e A d v is o r y B o a rd f o r R e se arch C o u n c ils and th e N a t io n a l S c ie n c e
F o u n d a tio n ) f o r th e s o c i a l s c ie n c e u n i t s we w is h t o c o m p a re ,^ w h ile s i g n i f i c a n t i n scope and s t a t u s a re o n ly p a r t o f each n a t i o n 's s c ie n c e p i c t u r e . F u r th e r m o r e , o u r c o m p a ris o n u n i t s a re o n ly m i n o r i t y
" s h a r e h o ld e r s " b o th i n th e t o t a l g o v e rn m e n ta l s u p p o r t f o r s o c i a l s c ie n c e and i n th e p a r e n t o r g a n is a t io n s . G iv e n th e c o m p le x ity o f t h i s c o n t e x t , a s e p a r a te s k e tc h o f th e e v o l u t io n o f th e s e tw o fu n d in g a g e n c ie s , w i t h p a r t i c u l a r r e f e r e n c e t o t h e i r s o c i a l s c ie n c e e le m e n ts , i s e s s e n t i a l .
S o c ia l S c ie n c e i n th e N a t io n a l S c ie n c e F o u n d a tio n (USA)
The NSF, e s t a b lis h e d i n 1950 as an in d e p e n d e n t agency i n th e E x e c u tiv e b ra n c h o f g o v e rn m e n t, i s u n iq u e among A m e ric a n f e d e r a l
a g e n c ie s i n i t s s i n g u l a r s t a t u t o r y r e s p o n s i b i l i t y f o r s t r e n g t h e n in g a l l f i e l d s o f s c ie n c e . I t s s t a t e d aim i s " to ' p ro m o te and advance s c i e n t i f i c p r o g r e s s i n th e U n it e d S t a t e s . I t f u l f i l l s t h i s m andate p r i m a r i l y b y f u n d in g re s e a r c h p r o j e c t s a t c o lle g e s and u n i v e r s i t i e s th r o u g h o u t th e c o u n t r y . 6 i t s D i r e c t o r and i t s 24 member p o l i c y b o d y , th e N a t io n a l S c ie n c e B o a rd , a re a p p o in te d f o r s i x y e a r te rm s b y th e P r e s id e n t w i t h th e a d v ic e and c o n s e n t o f th e US S e n a te .
F o r B r i t a i n : S o c ia l S c ie n c e R e s e a rc h C o u n c il (SSRC) l a t e r named E conom ic and S o c ia l R e se arch C o u n c il (ESR C ). F o r th e U n ite d S ta te s : D i v i s i o n o f S o c ia l and Econom ic S c ie n c e (SES) and th e D i v i s i o n o f B e h a v io r a l and N e u r a l S c ie n c e (BNS) i n th e N a t io n a l S c ie n c e F o u n d a tio n (N S F ).
"A b o u t th e N a t io n a l S c ie n c e F o u n d a t io n , " N a t io n a l S c ie n c e F o u n d a tio n A n n u a l R e p o r t, 1988, p . I .
6 NSF r e c e iv e s more th a n 3 7 ,5 0 0 p r o p o s a ls each y e a r and makes more th a n 1 6 ,0 0 0 a w a rd s . I b i d .
S in c e th e ra id -1 9 5 0 's th e t o t a l NSF b u d g e t has in c r e a s e d more th a n a h u n d re d f o l d t o re a c h $ 1 ,8 2 6 m i l l i o n i n 1 9 8 9 .? T h ro u g h s e v e r a l
a d m i n i s t r a t i o n s , b u t p a r t i c u l a r l y d u r in g th e Reagan e r a , NSF has been one o f th e fa v o r e d f e d e r a l a g e n c ie s i n t h a t o v e r a l l i t e x p e rie n c e d
f a i r l y s te a d y b u d g e ta r y g ro w th . T h a t, h o w e v e r, has n o t been th e case f o r th e s o c i a l s c ie n c e s w i t h i n NSF. The p r o p o r t io n a l l o c a t e d t o th e s o c ia l s c ie n c e s ro s e fro m a mere 1% i n 1957 t o h ig h p o i n t o f 7.4% i n 1962 and th e n d e c lin e d t o 3.1% i n 1975 and s t i l l f u r t h e r t o 2.2% i n 1985 w h i l s t w a v e r in g a ro u n d 3% s in c e th e n . o By 1986, th e NSF a c c o u n te d f o r 6.3% o f a l l f e d e r a l f u n d in g f o r th e s o c i a l and b e h a v io u r a l s c ie n c e s ; i t was n e a r l y t w ic e t h a t p r o p o r t io n (1 2 .5 % ) i n 1975. M o re o v e r, th e t o t a l f e d e r a l in v e s tm e n t i n s o c i a l s c ie n c e , b a s ic and a p p lie d , i n c o n s ta n t (1 9 7 2 ) d o l l a r s d e c lin e d fro m $358 m i l l i o n i n 1975 t o $328 m i l l i o n i n 1985.
To sum u p , s o c i a l s c ie n c e s i n th e NSF w ere le s s im p o r ta n t i n th e n a t i o n a l p i c t u r e o f f u n d in g f o r s o c i a l s c ie n c e s i n 1985 th a n th e y had b e e n a decade e a r l i e r , and w ere le s s im p o r ta n t w i t h i n th e f u n d in g o f a l l th e s c ie n c e s i n th e NSF. H ow ever, su ch f a c t s a lo n e c a n n o t co n ve y th e e s s e n t i a l s e t t i n g f o r t h i s c o m p a r a tiv e a n a ly s is . T h a t e x e r c is e r e q u ir e s a b r i e f h i s t o r i c a l e x c u r s io n .
D e s p ite i t s p r e s e n t fa v o u r e d s t a t u s , th e NSF d id n o t emerge w it h o u t a s t r u g g le . I t to o k more th a n f i v e y e a rs o f l e g i s l a t i v e
7 N a t io n a l S c ie n c e F o u n d a tio n , F e d e ra l Funds f o r R e se arch and D e v e lo p m e n t. V o l. X X X V II, NSF 8 9 -3 0 4 , 1989.
o B u t NSF, w h ile p o t e n t as a d e f i n i n g a g e n t, i s n o t th e s o le s o u rc e o f f e d e r a l s u p p o r t f o r s o c i a l s c ie n c e . See, Susan D. Q u a rle s
( e d . ) , G uide t o F e d e ra l F u n d in g f o r S o c ia l S c i e n t i s t s . New Y o rk : R u s s e ll Sage F o u n d a tio n , 1986, 382 p p .
w r a n g lin g b e fo r e th e P r e s id e n t and th e C ongress c o u ld a g re e on th e m andate t o e s t a b lis h th e NSF i n 1950. One o f th e k n o t t y is s u e s was w h e th e r o r n o t th e s o c i a l s c ie n c e s s h o u ld be in c lu d e d . D u r in g th e
d e b a te s tw o d i s t i n c t v ie w s w ere e x p re s s e d . One w o u ld e x c lu d e th e s o c ia l s c ie n c e s because th e y w ere n o t c o n s id e r e d t o be " h a r d " s c ie n c e s . The o t h e r w o u ld in c lu d e them beca u se o f t h e i r h ig h s o c i a l u t i l i t y . N e it h e r v ie w p r e v a il e d . A com prom ise was a d o p te d w h ic h p e r m it t e d NSF t o p ro c e e d a t i s own pace i n d e v e lo p in g s u p p o r t f o r th e s o c i a l s c ie n c e s . The
e x p l o r a t o r y g a i t was s lo w . The NSF le a d e r s h ip was m in d f u l o f
c o n g r e s s io n a l s u s p ic io n to w a rd s p r o j e c t s i n th e s o c i a l s c ie n c e s and p a r t i c u l a r l y to w a rd s m a tte r s t h a t w ere p o l i t i c a l l y t in g e d o r
c o n t r o v e r s i a l . A c c o r d in g ly , NSF fo u n d i t p ru d e n t t o d e fe n d i t s e n la r g in g r o l e f o r s o c i a l s c ie n c e i n te rm s o f i t s m andate f o r b a s ic re s e a r c h , n o t c la im in g much im m e d ia te s o c i e t a l r e le v a n c e f o r th e w o rk i t s u p p o rte d . By s u p p o r t in g p r o je c t s c o n v e rg e n t w i t h th e i n t e r e s t s and p h ilo s o p h y o f p h y s i c a l s c ie n c e , s o c i a l s c ie n c e g r a d u a lly g a in e d r e s p e c t i n s id e th e F o u n d a tio n and b y 1960 i t was a c c o rd e d an o r g a n is a t io n a l s t a t u s e q u a l t o a l l o t h e r f i e l d s . A D i v i s i o n o f S o c ia l S c ie n c e came i n t o b e in g i n t h a t y e a r .
By th e m id - 60s th e g ro u n d s f o r s u p p o r tin g s c ie n c e i n g e n e r a l began t o s h i f t . R e le v a n c e became a s a l i e n t m easure f o r p o l i t i c a l s u p p o r t.
C ongress began to a s k w h a t can s c ie n c e do f o r us n o t m e r e ly w h a t can we do f o r s c ie n c e . T h is g rew o u t o f a c o n t e x t i n w h ic h th e c i v i l r i g h t s and a n t i- w a r movements had g a th e r e d momentum and th e " G r e a t S o c ie t y "
p r e s id e n c y had la u n c h e d i t s w a r on p o v e r t y .
I n 1965 th e c o m m itte e w i t h th e p r im a r y r e s p o n s i b i l i t y f o r th e C o n g re s s io n a l o v e r s ig h t o f NSF p ro p o s e d l e g i s l a t i o n ( u l t i m a t e l y e n a c te d
i n 1968) t h a t s i g n i f i c a n t l y a l t e r e d th e c h a r a c t e r o f th e F o u n d a tio n b y b ro a d e n in g i t s a u t h o r i t y t o c o n d u c t a p p lie d as w e l l as b a s ic r e s e a r c h . S im u lta n e o u s ly , th e s o c i a l s c ie n c e s w e re , f o r th e f i r s t tim e , e x p l i c i t l y in c lu d e d i n th e m andate o f th e NSF. The lin k a g e seemed n a t u r a l t o th e s u p p o r te r s o f s o c i a l s c ie n c e i n th e C o n g re s s . The p o l i t i c a l co nsensus o f th e 6 0 's was t h a t s o c i a l s c ie n c e in v o lv e d a p p lie d d i s c i p l i n e s t h a t
s h o u ld be i n th e f o r e f r o n t f o r s o lv in g s o c i a l p ro b le m s . An h i s t o r i c moment i n th e r e l a t i o n s h i p b e tw e e n th e US g ov e rn m e n t and s o c ia l s c ie n c e h a d b ee n f o r g e d . E ig h te e n y e a r s a f t e r th e NSF was fo u n d e d , s o c i a l
s c ie n c e , h a v in g g a in e d a t l e a s t th e t r a p p in g s o f s c i e n t i f i c le g it im a c y th r o u g h th e c o n c e n t r a t io n on b a s ic r e s e a r c h , was t o g a in le g a l
c e r t i f i c a t i o n th r o u g h p o l i t i c a l p ro c e s s e s t h a t w ere shaped b y s o c i e t a l c o n c e rn s f o r r e le v a n t re s e a r c h .
I t was n o t lo n g b e fo r e th e new l e g i s l a t i v e a u t h o r i t y f o r a p p lie d r e s e a r c h was t r a n s l a t e d i n t o a c t i o n . The a g e n c y , p re s s e d b y
c o n g r e s s io n a l c o n c e rn s o v e r s o c i a l and econ o m ic c o n d it io n s , and te m p te d b y th e o p p o r t u n i t y t o expand i t s b u d g e t, somewhat r e l u c t a n t l y made a m a jo r move to w a rd re le v a n c e w i t h a program m e c a l l e d IRRPOS
( I n t e r d i s c i p l i n a r y R e se a rch R e le v a n t t o th e P ro b le m s o f S o c i e t y ) . The s iz e o f t h i s i n i t i a l programme i n 1970 was m odest ( o n ly $6 m i l l i o n o u t o f th e $275 m i l l i o n NSF r e s e a r c h b u d g e t) b u t i t was soon to g a in
momentum and e v e n t u a ll y t o become RANN (R e s e a rc h A p p lie d to N a t io n a l N e e d s ). The d o o r had been opened t o "m anaged r e le v a n c e . " New programm es w ere c r e a te d and th e i n i t i a t i v e mode to o k i t s p la c e a lo n g s id e th e
t r a d i t i o n a l r e s p o n s iv e mode. C o n tr a c ts and RFPs ( r e q u e s ts f o r p r o p o s a ls ) became p a r t o f th e o p e r a t in g p r o c e d u re s . T e n s io n s m ounted b etw e e n th e new le a d e r s h ip s t y l e b r o u g h t i n b y th e e n g in e e rs who managed t h i s
programm e and th e c o n v e n tio n a l academ ic a p p ro a c h to b a s ic r e s e a r c h embedded i n th e r e s p o n s iv e mode.
I n th e US o f th e e a r l y 1970s one o f th e im m e d ia te n a t i o n a l needs was t o overcom e a r e c e s s io n . The N ix o n a d m in i s t r a t io n had b e e n s t r e s s in g a u s t e r i t y i n g o v e rn m e n t s p e n d in g . B u t th e r e was a s h i f t i n p o l i c y
to w a rd s s t i m u l a t i n g th e economy th r o u g h an in c r e a s e i n F e d e r a l s p e n d in g . NSF was t o p la y i t s p a r t b y s t e p p in g up e x p e n d itu r e th r o u g h RANN. The
$ 4 1 .9 m i l l i o n a l l o c a t e d t o RANN i n 1972 was th e l a r g e s t s in g l e in c r e a s e e v e r a p p ro v e d f o r a g iv e n NSF r e s e a r c h e f f o r t i n a s in g le y e a r . Funds w ere e a rm a rk e d f o r w o rk b y p h y s ic a l s c i e n t i s t s , e n g in e e r s , e t c . f o r re s e a r c h on c o n g r e s s io n a l and agency s e le c te d s o c i a l , e n v ir o n m e n ta l, and econom ic p ro b le m a r e a s . The im p e tu s f o r re le v a n c e c o n tin u e d when N ix o n 's 1973 b u d g e t r e q u e s t in c lu d e d a b o u t $80 m i l l i o n f o r RANN. q I n th e e a r ly s ta g e s th e s o c i a l s c ie n c e s w ere a m in o r p a r t o f th e program m e. However b y 1975 th e s o c i a l s c ie n c e e x p e n d itu r e o f RANN began t o a p p ro a c h t h a t o f
th e t o t a l b u d g e t f o r th e D i v i s i o n o f S o c ia l S c ie n c e a t NSF ($ 2 0 m i l l i o n com pared w i t h $27 m i l l i o n ) .
The p ro m in e n c e o f RANN was s h o r t - l i v e d . By 1977, RANN was d i s c r e d i t e d b o th i n te rm s o f i t s p e r c e iv e d la c k o f s u c c e s s i n m e e tin g n a t i o n a l needs and i t s p e rfo rm a n c e qua s c ie n c e . RANN's a c t i v i t i e s w ere t h e r e a f t e r p ha se d o u t a f t e r b e in g d is p e r s e d b a c k i n t o th e t r a d i t i o n a l NSF o r g a n is a t io n . N S F 's m a jo r m u l t i d i s c i p l i n a r y re s p o n s e t o re le v a n c e l a s t e d le s s th a n a decade w i t h s i g n i f i c a n t e x p e n d itu r e s i n o n ly f i v e y e a r s .
q R o b e rt G i l l e t t e , e t a l . , ” 1973 B u d g e t: A d m in is t r a t io n B e ts on A p p lie d S c ie n c e ," S c ie n c e . 75, J a n u a ry 28, 1972, p p . 3 8 9 -3 9 2 .
I t d i d n o t ta k e NSF lo n g t o r e g a in i t s t r a d i t i o n a l fo c u s . The c h a lle n g e was t o p e rs u a d e C ongress t h a t b a s ic r e s e a r c h i s th e s u re ro a d t o r e le v a n c e beca u se i n th e lo n g - r u n i t i s e s s e n t i a l f o r th e p r o d u c t io n o f p r a c t i c a l r e s u l t s . Thus th e D ir e c t o r is s u e d a b u l l e t i n d e s c r ib in g 26 exam ples fro m a c ro s s t h r e e decades o f NSF s u p p o rte d re s e a r c h s e le c te d
"b e c a u s e t h e i r v a lu a b le a p p lic a t io n s w ere n o t a n t i c i p a t e d a t th e tim e th e re s e a r c h b e g a n - - b u t t h e i r end r e s u l t s a re a lr e a d y b e n e f i t t i n g th e N a t io n 's economy and o u r d a i l y l i v e s . " 10
G iv e n th e n a t u r a l c o n g r e s s io n a l d i s p o s i t i o n t o fa v o u r p r o je c t s w i t h i d e n t i f i a b l e and im m e d ia te b e n e f i t s i t was n o t e a s y to g a in and s u s t a in an i n s t i t u t i o n a l i z e d u n d e r s ta n d in g o f th e b e n e f i t s o f b a s ic r e s e a r c h . The b a t t l e f o r b a s ic a t NSF i s n e v e r f i n a l l y won. When NSF b eg a n d is m a n t lin g a p p lie d programm es i n th e e a r l y 8 0 ’ s, c o n g r e s s io n a l c o m m itte e s e x p re s s e d c o n c e rn t h a t p ro m p te d NSF t o is s u e p ro c e d u re s f o r s t a f f t o code a l l p r o j e c t s e i t h e r as a p p lie d o r as b a s ic r e s e a r c h . H P re s u m a b ly su ch s t a t i s t i c a l m o n it o r in g w o u ld g iv e a s s u ra n c e t h a t
r e le v a n c e was b e in g s e rv e d th r o u g h some com m itm ent t o a p p lie d r e s e a r c h . H ow ever, i t w a s n 't lo n g b e fo r e more th a n 95% o f th e i n v e s t i g a t o r
T h re e s o c i a l s c ie n c e s t u d ie s w ere r e p o r t e d as h a v in g p ro d u c e d new u n d e r s ta n d in g s b e a r in g on a s ig n la n g u a g e f o r th e d e a f, an econom ic d e v e lo p m e n t p o l i c y f o r E a s t A f r i c a , and th e p e r c e p t io n o f c o lo r
b r ig h t n e s s a f f e c t i n g s p e c i f i c a t i o n s f o r e v e r y th in g fro m p h o to g ra p h y and c o m m u n ic a tio n system s t o h ig h w a y s and a i r p o r t ru n w a y v i s i b i l i t y .
R ic h a r d C. A t k in s o n , The U n a n t ic ip a t e d B e n e f it s fr o m B a s ic R e s e a rc h . NSF, F e b r u a ry , 1980, 37 p p .
H B o th b a s ic and a p p lie d w ere d e fin e d as in v o l v i n g " s y s te m a tic s t u d y " b u t w i t h d i f f e r e n t o b j e c t iv e s . The o b j e c t iv e o f b a s ic re s e a r c h
" i s t o g a in f u l l e r u n d e r s ta n d in g o f th e fu n d a m e n ta l a s p e c ts w it h o u t s p e c i f i c a p p l i c a t i o n s to w a rd p r o d u c ts o r p ro c e s s e s i n m in d ." The o b j e c t i v e o f a p p lie d r e s e a r c h " i s t o g a in kn o w le d g e o r u n d e r s ta n d in g n e c e s s a ry f o r d e te r m in in g th e means by w h ic h a re c o g n iz e d and s p e c i f i c n ee d may be m e t . " NSF B u l l e t i n 8 1-33 and AAEO B u l l e t i n 8 3 - 0 4 .
i n i t i a t e d p r o j e c t s s u p p o rte d b y NSF f e l l i n t o th e b a s ic c a te g o r y .
T h ro u g h m o s t o f th e 1 9 8 0 's t h i s d i d n o t ease th e t a s k f o r s o c i a l s c ie n c e b e ca u se th e Reagan a d m in i s t r a t io n f u e le d o ld d o u b ts a b o u t th e c a p a c it y o f s o c i a l s c ie n c e t o be r e le v a n t u n d e r any d e f i n i t i o n . 12
The S o c ia l S c ie n c e R e search C o u n c il (UK)
(From 1982 th e E conom ic and S o c ia l R e s e a rc h C o u n c il ) * 1
The B r i t i s h R e se arch C o u n c il s y s te m , o f w h ic h th e SSRC/ESRC i s a p a r t , h a s grow n b i t b y b i t o v e r a p e r io d o f n e a r ly f i f t y y e a r s u n t i l r e a c h in g i t s p r e s e n t fo rm i n 1965. The e a r l i e s t o f th e f i v e r e s e a r c h c o u n c ils w h ic h make up th e s y s te m , th e M e d ic a l R e se arch C o u n c il,
r e c e iv e d i t s c h a r t e r i n 1920. A l l f i v e c o u n c ils r e p o r t t o th e D e p a rtm e n t o f E d u c a tio n and S c ie n c e , th e n e a r e s t a p p r o x im a tio n t o a M i n i s t r y o f S c ie n c e i n B r i t a i n , and t h e i r b u d g e ts fo rm p a r t o f th e S c ie n c e B ud g et f o r t h a t d e p a rtm e n t. T h ere i s an o v e r a l l c o o r d in a t in g b o d y , th e A d v is o r y B o a rd f o r R e s e a rc h C o u n c ils (ABRC), w h ic h a d v is e s th e M i n i s t e r on th e d i s t r i b u t i o n o f th e S c ie n c e B u d g e t b e tw e e n th e f i v e c o u n c ils . The ABRC i s c h a ir e d b y a s c i e n t i s t and has t h r e e k in d s o f members: th e Heads o f th e f i v e c o u n c ils ; C h ie f S c i e n t i s t s fro m g ove rn m e n t d e p a rtm e n ts ; and in d e p e n d e n ts ( m o s tly fro m in d u s t r y and some o f th e s e a re s c i e n t i s t s ) .
The S c ie n c e B u d g e t in c r e a s e d i n c a sh te rm s fro m f2 9 6 m i l l i o n i n 1 9 7 8 -7 9 t o f6 2 0 m i l l i o n i n 1 986-87 and was p la n n e d t o in c r e a s e t o f6 6 1 .7 m i l l i o n i n 1 9 8 7 -8 8 . H ow ever, g iv e n th e in c r e a s in g c o s ts o f s c i e n t i f i c
1 9 See, e . g . , P h i l i p H i l t z , "W h ite House Uses S o c ia l S c ie n c e s b u t C u ts F u n d in g f o r R e s e a rc h , W a s h in g to n P o s t, June 29, 1981, p p . 1, A 8-A 9 . 1 3 The SSRC/ESRC has been e x a m in e d i n d e p th as an o r g a n is a t io n i n tw o s t u d ie s : L o rd R o t h s c h ild , E n q u ir y . London: Cmnd 8554 HMSO, 1982;
a n d , Edmond L i s l e , H. M a c h tin , and S. Y a s in , T r a v e r s in g th e C r i s e s . L o n d o n : ESRC, 1984.
r e s e a r c h , th e t r a n s i t i o n a l c o s ts o f r e s t r u c t u r i n g c e r t a i n a re a s o f s c ie n c e , and th e d is c r e p a n c y b e tw e e n s a la r y in c r e a s e s and cash l i m i t s , th e s c ie n c e b u d g e t has p r o b a b ly shown l i t t l e i f any g ro w th s in c e 1979.
The Econom ic and S o c ia l R e s e a rc h C o u n c il r e c e iv e d o n ly 3.7% o f th e 1987- 88 t o t a l as a g a in s t n e a r ly 7% i n 1 9 7 7 -7 8 . An e s tim a te made i n 1977 o f th e s h a re o f t o t a l c e n t r a l g ove rn m e n t r e s e a r c h fu n d in g p r o v id e d b y th e SSRC s u g g e s te d t h a t i t was le s s th a n o n e - f i f t h o f th e t o t a l (1 8 .5 % ). I f , h o w e v e r, th e re s e a r c h e le m e n t d e r iv e d fro m th e g e n e r a l s u p p o r t o f th e u n i v e r s i t i e s i s added th e s h a re o f th e SSRC f e l l t o o n ly 10%.
F o u n d a tio n s p r o v id e d a n e g l i g i b l e amount o f f u n d in g - - le s s th a n f i v e p e r c e n t - - a n d t h i s i s c o m p a ra b le w i t h th e s i t u a t i o n i n th e USA i n 1980.
(H ow ever, th e f i g u r e i n b o th c o u n t r ie s was s u b s t a n t i a l l y h ig h e r b e fo r e th e m a jo r e x p a n s io n o f g o v e rn m e n t s o c i a l s c ie n c e fu n d in g i n th e
196 0 s) . I- G overnm ent f u n d in g b o th th r o u g h th e ESRC and d i r e c t fro m g o v e rn m e n t d e p a rtm e n ts has bee n c u t s h a r p ly and b y th e m id 8 0 's was a b o u t 40% le s s i n r e a l te rm s th a n i t was i n 1979.
A lth o u g h th e p r o g r e s s o f th e s o c i a l s c ie n c e s i n th e UK has a lw a y s f o llo w e d t h a t o f th e USA, th e e s ta b lis h m e n t o f th e SSRC i n 1965 was n o t lo n g a f t e r th e f o u n d a t io n o f a s e p a ra te d i v i s i o n f o r th e s o c ia l s c ie n c e s i n s id e th e NSF ( i n 1 9 6 0 ). As i n th e US, th e s c i e n t i f i c s t a t u s o f th e s o c i a l s c ie n c e s had b e e n a m a t t e r o f lo n g s im m e rin g d e b a te b e fo r e t h i s s te p was ta k e n . The g o v e rn m e n t Clapham C o m m itte e , s e t up b y th e w a rtim e
I t i s e s tim a te d t h a t p r i v a t e f o u n d a tio n s g e n e r a lly p r o v id e a b o u t 5% o f th e t o t a l s o c i a l s c ie n c e r e s e a r c h b u d g e t i n th e UK. I n th e US, f o u n d a tio n s p r o v id e d 16.1% o f a l l s o c i a l s c ie n c e r e s e a r c h fu n d s i n 1964. T h is s h a re d e c lin e d i n 1972 t o 8.1% and b y 1980 t o 4.7% . See, M a r s h a ll R o b in s o n , "R e s e a rc h S u p p o rt and I n t e l l e c t u a l Advances i n th e
S o c ia l S c ie n c e s : The R o le o f th e P r iv a t e F o u n d a tio n s ," SSRC It e m s . 37, S ep te m be r, 1983, p p . 3 5 -3 9 .
c o a l i t i o n g ov e rn m e n t t o c o n s id e r th e need f o r a s o c i a l s c ie n c e re s e a r c h c o u n c i l , r e p o r t e d a g a in s t th e id e a i n 1947. They saw "a d a n g e r o f
p re m a tu re c r y s t a l l i s a t i o n o f s p u r io u s o r t h o d o x ie s . " I t to o k a lm o s t tw e n ty y e a r s b e fo r e t h i s v ie w was r e je c t e d b y th e H e y w o rth C om m ittee i n 1965. The L a b o u r G overnm ent a g re e d t o t h e i r re c o m m e nd a tion t h a t th e SSRC s h o u ld be e s t a b lis h e d .
The l i f e o f th e SSRC f a l l s i n t o tw o d i s t i n c t p e r io d s , each w it h i t s own c h a r a c t e r : th e f i r s t decade fro m 1965 to 1975, was a p e r io d when s o c i a l s c i e n t i s t s , e s p e c i a l l y th e e c o n o m is ts , had th e a lm o s t c o m p le te c o n fid e n c e o f m in is t e r s and th e c i v i l s e r v ic e ; w here th e r e was an a lm o s t u n b ro k e n in c r e a s e i n th e b u d g e t; and when s c i e n t i s t s w ere g iv e n
c o n s id e r a b le fre e d o m o f a c t i o n . T h e re was, h o w e ve r, one im p o r t a n t e x c e p t io n . M a rg a re t T h a tc h e r , as S e c r e ta r y o f S ta te f o r E d u c a tio n and S c ie n c e fro m 1 9 7 0 -7 4 , had r e s p o n s i b i l i t y f o r th e S c ie n c e B u d g e t, and t h e r e f o r e th e b u d g e t o f th e SSRC. A c c o r d in g t o Andrew S h o n f ie ld , who was C h a irm a n o f th e SSRC f o r p a r t o f t h i s p e r io d , she "was no f r i e n d o f th e s o c i a l s c ie n c e s . . .The d e c is io n w h ic h em erged fro m th e new g o v e rn m e n t's r e v ie w o f e x p e n d itu r e s on s c ie n c e i n 1 970-71 im p lie d t h a t th e re s e a r c h b u d g e t o f th e SSRC was n o t , f o r th e fo r e s e e a b le f u t u r e , t o be a llo w e d to e xcee d 2% o f th e t o t a l s c ie n c e b u d g e t . i n f a c t th e b u d g e t o f th e SSRC c o n tin u e d t o grow d u r in g t h i s p e r io d and i n th e y e a r 197 4 -7 5 when a L a b o u r g ov e rn m e n t was r e t u r n e d t o pow er i t grew 13,4% i n r e a l te rm s . I n th e se con d decade ( fr o m 1975 t o 1 9 8 5 ), th e c r e d i b i l i t y o f th e s o c ia l s c ie n c e s was s e v e r e ly s h a ke n , b u d g e ts w ere s u b s t a n t i a l l y c u t , and autonom y o f a c t i o n was g r e a t l y re d u c e d .
15 A ndrew S h o n f ie ld , "The S o c ia l S c ie n c e s i n th e G re a t D ebate on S c ie n c e P o l i c y , " M in e r v a . 1972.
D u r in g t h i s tw e n ty y e a r p e r io d th e r e was no fo r m a l change i n th e s y s te m b u t th e r e l a t i o n s h i p o f th e m ain a c to r s was a l t e r e d d r a m a t i c a ll y . The d r i v e f o r change came fro m th e p o l i t i c a l e n v ir o n m e n t - - in p a r t i c u l a r fro m th e v ie w s w h ic h th e g ove rn m e n t h e ld on th e management o f th e
economy and th e c o n t r o l o f p u b l i c e x p e n d itu r e (v ie w s w h ic h w ere i n m a rke d c o n t r a s t t o th o s e h e ld b y th e s o c i a l s c ie n c e e s t a b lis h m e n t ) .
The c o n t e x t f o r th e s e s h i f t s d e s e rv e s in s p e c t io n . The p e r io d fro m 1965 t o 1975 in c lu d e d th r e e L a b o u r and one C o n s e r v a tiv e g o v e rn m e n t. A l l o f th e s e s h a re d a K e y n s ia n a p p ro a c h to th e management o f th e economy and a com m itm ent t o f u l l e m p loym en t. F u rth e rm o re , each g o ve rn m e n t
c o n t r i b u t e d t o th e s u b s t a n t i a l in c re a s e i n s p e n d in g on th e w e lf a r e s t a t e , th e e x p a n s io n o f h ig h e r e d u c a tio n , and th e g ro w th o f th e N a t io n a l H e a lt h S e r v ic e .
Much o f t h i s co n se n su s fo u n d i t s o r i g i n s i n th e in f lu e n c e o f id e a s co m in g fro m s o c i a l s c i e n t i s t s i n th e u n i v e r s i t i e s : Keynes a t C a m b rid g e , B e v e rid g e a t O x fo r d and th e LSE, b u t a ls o fro m th e lo n g e s t a b lis h e d F a b ia n in f lu e n c e i n B r i t i s h p o l i t i c a l l i f e . P o l i t i c i a n s , c i v i l s e r v a n t s , and a cad e m ics s h a re d a common v ie w o f th e w o r ld , and i t was t h i s co nsensus w h ic h p r o v id e d th e c o n t e x t f o r th e c r e a t i o n o f th e
SSRC.
V e r y e a r l y on i n th e l i f e o f th e SSRC i t was c l e a r t h a t d e s p it e i t s K e y n s ia n and F a b ia n o r i g i n s th e a cadem ics w ere i n c h a rg e o f th e o r g a n is a t io n . A lth o u g h th e f i r s t C hairm an was n o t a c o n v e n tio n a l a c a d e m ic , m ost o f h i s C o u n c il and a lm o s t a l l o f th e c o m m itte e members w e re u n i v e r s i t y te a c h e r s . M o st o f th e b u d g e t was s p e n t on re s e a r c h g r a n t s aw arded as a r e s u l t o f academ ic p e e r r e v ie w f o l l o w i n g an a p p l i c a t i o n fro m a u n i v e r s i t y te a c h e r , o r on p o s t- g r a d u a te t r a i n i n g .
V e ry l i t t l e was s p e n t on programmes o f p o l i c y r e le v a n c e . The b u re a u c ra c y m a in ly c o n f in e d i t s w o rk to s e r v ic in g th e aw ard o f re s e a r c h g r a n ts and s t u d e n t s h ip s . I t was n o t s u r p r i s i n g t h a t th e p o r t f o l i o o f fu n d in g r e p r e s e n te d a w id e ra n g e o f som etim es i d i o s y n c r a t i c v ie w s o f th e w o r ld w h ic h i n th e m a in came c lo s e r t o c u r r e n t a cad e m ic d e b a te s th a n to w h a t was o f i n t e r e s t t o W h it e h a ll o r W e s tm in s te r.
H o w e ver, p r e s s u r e s f o r r e le v a n c e em erged and w ere b e g in n in g t o be f e l t i n s c ie n c e f u n d in g g e n e r a lly f o l l o w i n g th e p u b l i c a t i o n o f th e
r e p o r t b y L o r d R o t h s c h ild i n 1972, "A Fram ew ork f o r G overnm ent R esearch and D e v e lo p m e n t." T h is r e p o r t in tr o d u c e d th e c u s to m e r - c o n t r a c to r
p r i n c i p l e i n t o g o ve rn m e n t fu n d in g : th e c u s to m e r s h o u ld say w h a t he w a n ts and th e c o n t r a c t o r s h o u ld p r o v id e i t . I t a ls o p ro p o s e d s h i f t i n g a
s u b s t a n t i a l s l i c e o f R e se arch C o u n c il fu n d s b a c k i n t o th e n e a r e s t r e le v a n t g o v e rn m e n t d e p a rtm e n t w h ic h s h o u ld th e n be u sed t o co m m ission r e s e a r c h fr o m th e r e s e a r c h c o u n c ils .
A lth o u g h th e s o c i a l s c ie n c e s w ere e x c lu d e d fro m t h i s R o t h s c h ild R eview th e a p p l i c a t i o n o f th e s e new p r i n c i p l e s was soon e x te n d e d t o th e s o c i a l s c ie n c e s . S h o n f ie ld has g iv e n h i s own a c c o u n t o f th e re a s o n s why.
" . . . o n c e i t became c l e a r t h a t . . . t h e 'p r o d u c e r ' d e p a rtm e n t i n te rm s o f r e s e a r c h - - t h a t i s th e D e p a rtm e n t o f E d u c a tio n and S c ie n c e --w a s n o t w i l l i n g t o s a fe g u a r d th e s u b s t a n t ia l g ro w th o f th e c o u n t r y 's s o c ia l s c ie n c e r e s e a r c h c a p a c it y , i t was i n e v i t a b l e t h a t th e re s e a r c h c o u n c il w o u ld t u r n t o th e 'u s e r ' d e p a rtm e n ts o f g o v e r n m e n t . " ^ T h is i s ,
h o w e v e r, le s s th a n c o n v in c in g s in c e a p a r t fro m one m a jo r c o n t r a c t w i t h
16 I b i d .
th e D e p a rtm e n t o f H e a lth and S o c ia l S e c u r it y , th e s h i f t to w a rd s r e le v a n t r e s e a r c h was fu n d e d w i t h th e SSRC's own fu n d s .
The SSRC's f i r s t re s p o n s e t o th e s e p re s s u r e s was t o s e t up a R e s e a rc h I n i t i a t i v e s B oard i n 1974 w h ic h w o u ld e n a b le th e C o u n c il to d e c id e p r i o r i t y t o p ic s f o r r e s e a r c h fu n d in g . I n i t s f i r s t y e a r , B oard i n i t i a t i v e s a c c o u n te d f o r o n ly 5% o f th e SSRC b u d g e t b u t b y 1 984-85 t h i s f i g u r e had re a c h e d 50%. P o s tg ra d u a te s tu d e n ts h ip s w h ic h had ta k e n one- h a l f o f th e t o t a l b u d g e t i n 1 97 5 -7 6 f e l l t o o n e - t h i r d . The c r i t e r i o n o f r e le v a n c e became v i s i b l e i n y e t a n o th e r im p o r ta n t way. The c o m m itte e s t r u c t u r e w h ic h had been o r g a n is e d a ro u n d th e d i s c i p l i n e s i n 1965 was changed i n 1982 t o a s t r u c t u r e w h ic h r e l a t e d t o a re a s o f p o l i c y
c o n c e rn s . T h e re has i n l i n e w i t h t h i s em phasis on p o l i c y r e le v a n c e been much g r e a t e r a t t e n t i o n p a id t o th e d is s e m in a t io n o f th e r e s u l t s o f r e s e a r c h t o p o l i c y a u d ie n c e s .
S in c e a s c ie n c e f u n d in g age n cy i s b y i t s n a tu r e n o t d e s ig n e d to c o m m is s io n p o l i c y r e le v a n t r e s e a r c h i t may be u s e f u l t o sa y how i t was d o n e . How w ere p a r t i c u l a r t o p ic s ch ose n and how w ere p o l i c y is s u e s c o n v e r te d i n t o r e s e a r c h a b le program m es deemed r e le v a n t ?
T h ere w ere th r e e m a in s o u rc e s o f id e a s f o r r e s e a r c h i n i t i a t i v e s : SSRC o f f i c e r s , members o f th e c o m m itte e s o r C o u n c il B o a rd s , and s o u rc e s o u t s id e SSRC. By f a r th e l a r g e s t num ber came fro m th e o f f i c e r s and th e n e x t la r g e s t num ber w ere th e r e s u l t o f a pp ro a che s fro m o t h e r a g e n c ie s . V e r y fe w em anated fro m th e a cadem ic m em bership o f c o m m itte e s . I n f a c t , b y and la r g e th e c o m m itte e s ( e s p e c i a l l y when th e y w ere d i s c i p l i n a r y b a s e d ) w ere r e s i s t a n t to th e id e a o f r e s e a r c h i n i t i a t i v e s - - t h e m ost r e s i s t a n t b e in g th e E conom ics C o m m itte e , b u t th e P o l i t i c a l S c ie n c e and th e A n th r o p o lo g y C o m m itte e s w ere a ls o r e s i s t a n t i n th e e a r l y s ta g e s o f
managed r e s e a r c h . The m ost i n t e r e s t was shown b y th e c o m m itte e s
d i r e c t i n g Management and I n d u s t r i a l R e la t io n s , E d u c a tio n , and S o c io lo g y and S o c i a l A d m in is t r a t io n .
The re a s o n why some c o m m itte e s w ere more r e s p o n s iv e to n o t io n s o f r e le v a n c e th a n o th e r s i s n o t s t r a i g h t f o r w a r d . The p r o - a c t i v e a t t i t u d e s o f o f f i c e r s s e r v in g some o f th e c o m m itte e s was a f a c t o r . Some c o m m itte e c h a irm e n w e re p a r t i c u l a r l y keen t o see C o u n c il p o l i c y a p p lie d
s u c c e s s f u l l y . I n o th e r cases i t was deemed o p p o r t u n i s t i c to s u p p o r t managed r e le v a n c e s in c e i t o f f e r e d th e p o s s i b i l i t y o f more f u n d in g . I n t e r e s t i n g l y enough, i n th e e a r l y y e a r s o f R e se arch I n i t i a t i v e s th e b u d g e t was c o n s i s t e n t l y u n d e rs p e n t.
I t i s a ls o an i n t e r e s t i n g q u e s t io n as t o why p a r t i c u l a r p o l i c y t o p i c s w e re ch ose n r a t h e r th a n o t h e r s . The g r e a t a t t r a c t i o n o f t o p ic s p ro p o s e d fro m o u t s id e was t h a t th e y u s u a l l y o f f e r e d th e p o s s i b i l i t y o f j o i n t f u n d in g w h ic h , i n t u r n , o f t e n enhanced th e p o s s i b i l i t y o f fo r m in g a l l i a n c e s w h ic h d e m o n s tra te d t h a t th e SSRC/ESRC was seen to have v a lu e t o p e o p le i n th e r e a l w o r ld .
On th e o t h e r h a n d , th o s e t o p ic s g e n e ra te d in s id e b y C o u n c il o r i t s o f f i c e r s te n d e d t o be o f th e ty p e t h a t p re s u m a b ly w o u ld a p p e a l t o th e ABRC, th e b o d y t h a t e f f e c t i v e l y c o n t r o l l e d th e C o u n c il's b u d g e t.
H ow e ver, i t has to be s a id t h a t th e ABRC n e v e r gave any g u id a n c e , f o r m a l l y o r i n f o r m a l l y , a b o u t th e p o l i c y t o p ic s w h ic h w o u ld be lo o k e d upo n w i t h f a v o u r . I t i s p e rh a p s a t r i f l e odd, g iv e n B r i t a i n ' s n a t i o n a l needs and a s s e ts , t h a t fro m 197 5 -8 5 v e r y fe w i n i t i a t i v e s w ere fu n d e d i n e c o n o m ic s w h ile more th a n h a l f o f th o s e fu n d e d w ere fro m s o c i a l p o l i c y f i e l d s .
The t o p ic s t h a t came fro m th e d i s c i p l i n e base d c o m m itte e s were p r e d i c t a b l y fo c u s s e d on s p e c i a li z e d s u b s t a n t iv e , m e th o d o lo g ic a l and t h e o r e t i c a l c o n c e rn s o f i n t e r e s t p r i m a r i l y t o t h a t d i s c i p l i n e . J o i n t e f f o r t s b y d i s c i p l i n a r y c o m m itte e s w ere uncommon. I t was l e f t to th e R e s e a rc h I n i t i a t i v e s B o a rd t o b r in g th e d i s c i p l i n e s t o g e t h e r . Once a t o p i c was th o u g h t t o be o f i n t e r e s t , an E x p lo r a t o r y P a n e l o f m ix e d d i s c i p l i n e s was s e t up t o exam ine th e p ro b le m and r e p o r t b a c k t o th e B o a rd w i t h p r o p o s a ls f o r a re s e a r c h program m e. I f th e B o a rd a p p ro v e d th e p r o p o s a ls , an E x e c u tiv e P a n e l was fo rm e d t o c o m m is s io n th e r e s e a r c h . The a p p r o p r ia t e g o v e rn m e n t d e p a rtm e n ts w ere a lw a y s r e p r e s e n te d on th e s e p a n e ls .
A lth o u g h th e r e was a d e te rm in e d a tte m p t b y M i n is t e r s i n 1981 to d is b a n d th e SSRC, t h i s was n o t s u c c e s s f u l. H e n c e fo r th m i n i s t e r i a l
in f lu e n c e h a d t o be e x e r c is e d th r o u g h changes o f k e y p e r s o n n e l, such as th e C h a irm a n , and b y th e d i s c i p l i n e o f b u d g e ta r y c u t s . The s y s te m , i n f o r m a l te r m s , re m a in s unchanged b u t th e jo b s and th e r e l a t i o n s h i p o f th e m a in a c t o r s h ave ch anged s u b s t a n t i a l l y . P o l i t i c a l in f lu e n c e i s now
t a n g i b l e and v i s i b l e . P erm anent g ove rn m e n t o f f i c i a l s h ave s tr e n g th e n e d t h e i r p o s i t i o n . The r o l e o f th e academ ic p a r t i c i p a n t s has much
d im in is h e d .
A n a ly s is
I t i s c l e a r fro m th e above a c c o u n ts t h a t th e b a s ic s c ie n c e fu n d in g a g e n c ie s i n th e US and th e UK have r e g is t e r e d d i f f e r e n t s e n s i t i v i t i e s to p r e s s u r e s t o fu n d re s e a r c h m arked as r e le v a n t b y th e p o l i t i c a l p ro c e s s . W h ile th e NSF c o n tin u e s t o use a rg um en ts a b o u t r e le v a n c e i n i t s b u d g e t r e q u e s ts fro m C o n g re s s , i t was n e v e r as d e e p ly o r as s y s t e m a t i c a l l y
engaged as th e SSRC i n f u n d in g s o c i a l s c ie n c e re s e a r c h deemed r e le v a n t . Why d id th e SSRC go f o r " r e le v a n c e " ( i n 1974) and why d id i t s ta y
c o m m itte d t o i t w hereas NSF s o c i a l s c ie n c e w e n t f o r "c o n v e rg e n c e " w it h b a s ic s c ie n c e e x c e p t f o r a b r i e f i n t e r l u d e o f RANN? I n th e f o l lo w in g a n a ly s is we s h a l l exam ine f i v e p o s s ib le e x p la n a tio n s f o r t h i s
d iv e r g e n c e .
1. External Political Pressures
Were p o l i t i c a l p r e s s u r e s e x e r te d on th e SSRC/ESRC to be r e le v a n t w h ic h w ere n o t e x e r te d on th e NSF?
To e x p lo r e th e e f f e c t o f p o l i t i c a l p r e s s u r e s on th e d i r e c t i o n o f s o c i a l s c ie n c e fu n d in g i t i s n e c e s s a ry t o n o te some d if f e r e n c e s i n th e p o l i t i c a l i n s t i t u t i o n s o f th e tw o c o u n t r ie s . One p o s s ib le s o u rc e o f c o n f u s io n l i e s i n th e use o f su ch te rm s as g o v e rn m e n t and
a d m i n i s t r a t i o n . I n th e US th e g ove rn m e n t i s u s u a l l y c a l l e d th e
A d m in is t r a t io n w hereas i n th e UK th e a d m i n i s t r a t i o n i s th e C i v i l S e r v ic e w h ic h i n some r e s p e c ts s ta n d s a p a r t fro m th e G overnm ent o f th e day a lth o u g h i t i s p a r t o f th e g o v e rn m e n t. A n o th e r d i f f e r e n c e i s th e f a c t t h a t th e US s y s te m has a s e p a r a t io n o f pow ers w i t h ch e cks and b a la n c e s b e tw e e n th e e x e c u t iv e , th e l e g i s l a t i v e and th e j u d i c i a l b ra n c h e s . Thus th e US g o v e rn m e n t has many fa c e s and speaks w i t h many v o ic e s a b o u t
n a t i o n a l needs t o w h ic h s c ie n c e m ig h t be r e l e v a n t . The B r i t i s h system i s b y c o n t r a s t a u n i t a r y one w here th e p a r t y i n p ow er chooses th e le a d e r who when i n o f f i c e chooses th e C a b in e t w h ic h g o v e rn s th e c o u n tr y .
The tw o system s a re o f t e n c o n t r a s t e d i n te rm s o f th e openness o f t h e i r d e c is io n m a kin g p ro c e s s e s , and t h i s m ig h t b e a r on th e
re s p o n s iv e n e s s o f g ove rn m e n t a g e n c ie s t o th e p o p u la r w i l l . I t m ig h t be th o u g h t t h a t th e in f lu e n c e and pow er e x e r te d b y C ongress o v e r th e b u d g e t
o f th e NSF w o u ld le a d i t t o a m ore p o p u l i s t s ta n c e w i t h r e g a r d t o
s c ie n c e f u n d in g , and i t i s w o r th e x a m in in g th e b u d g e ta ry p ro c e s s i n th e tw o c o u n t r ie s to see w h e th e r i t s v i s i b i l i t y does have any e f f e c t on th e o u tc o m e .
The e a r l y s ta g e s o f th e b u d g e ta r y p ro c e s s a re q u i t e s i m i l a r i n th e tw o c o u n t r ie s . The ESRC and th e NSF ( D i v i s i o n o f S o c ia l and Econom ic S c ie n c e ) p r e p a re t h e i r b u d g e t b i d and th e s u p p o r tin g c a s e . I n th e UK t h i s m eant p r e p a r in g th e F o rw a rd L o o k now r e c a s t t o become th e C o rp o r a te P la n . S in c e th e m id -7 0 s a l l R e s e a rc h C o u n c ils have had t o j u s t i f y each b u d g e t b i d i n te rm s o f n a t i o n a l needs as w e l l as s c i e n t i f i c i n t e r e s t s . The NSF, on th e o th e r h an d , c o n tin u e s t o o p e ra te p r i n c i p a l l y t o
accommodate p r o p o s a ls i n i t i a t e d b y s c i e n t i s t s i n th e f i e l d . T h is r e s p o n s iv e mode te n d s t o y i e l d b u d g e t b id s t h a t em phasizes s c i e n t i f i c n e e d s , p a s t a c h ie v e m e n ts and f u t u r e re s e a r c h o p p o r t u n it ie s .
A p ro c e s s o f n e g o t i a t i o n f o l l o w s i n b o th c o u n t r ie s . T h is in v o lv e s c o n s i d e r a t io n o f th e s o c i a l s c ie n c e c la im s a g a in s t th e c la im s o f a l l o t h e r s c ie n c e s and, more p o i n t e d l y , p r i o r i t i e s f o r s c ie n c e i n a c o n t e x t o f c o n c e rn s a b o u t t o t a l p u b l i c e x p e n d itu r e s g iv e n th e s t a t e o f th e econom y. A t t h i s p o i n t a s i g n i f i c a n t d if f e r e n c e i n th e n a t i o n a l b u d g e ta r y p ro c e s s o c c u r s . I n th e US th e b i d f o r th e s o c i a l s c ie n c e s becomes p u b l i c know led g e w h e rea s i n th e UK i t i s s t i l l s c re e n e d fro m p u b l i c v ie w .
I n th e UK when th e ABRC has d ig e s t e d th e c o m p e tin g c la im s o f th e r e s e a r c h c o u n c ils i t makes a c o n f i d e n t i a l p r o p o s a l to th e M i n i s t e r who i n t u r n has to d e c id e w h a t t o b i d f o r s c ie n c e i n C a b in e t d is c u s s io n s on p u b l i c e x p e n d itu r e . Once a l e v e l o f s p e n d in g has been a g re e d i n C a b in e t t h i s i s e f f e c t i v e l y th e f i n a l w o rd , a lth o u g h i t i s n o t f o r m a l l y r a t i f i e d
b y P a r lia m e n t u n t i l much l a t e r . The G overnm ent can r e l y on i t s m a j o r i t y t o g e t th e F in a n c e B i l l th r o u g h th e House. The P u b lic E x p e n d itu r e W h ite P a p e r i n November e f f e c t i v e l y d e te rm in e s th e b u d g e t f o r th e f o l l o w i n g y e a r b e g in n in g i n A p r i l , b u t t h i s W h ite P ap e r does n o t i n d ic a t e how much money w i l l go t o th e s o c i a l s c ie n c e s . The ESRC w i l l , h o w e v e r, be t o l d i n c o n fid e n c e how much i t i s l i k e l y to g e t .
By c o n t r a s t , th e p ro c e s s i n th e US has one more s ta g e to r u n , and t h i s i s i n th e p u b lic e y e . The A d m i n i s t r a t i o n 's b u d g e t p r o p o s a l f o r th e NSF b e g in s a lo n g r o u te th ro u g h C ongress w i t h in s p e c t io n s by
a u t h o r i z a t i o n and a p p r o p r ia t io n c o m m itte e s i n b o th h o u s e s . C om m ittee members ca n see w h a t i s p ro p o s e d n o t o n ly f o r th e s o c i a l s c ie n c e s as a w h o le b u t a ls o w h a t i s hoped f o r i n each o f th e programmes su ch as e c o n o m ic s , c o g n i t i v e s c ie n c e , s o c io lo g y , e t c . P ro p o s a ls f o r a l t e r i n g am ounts u pw ard s o r downwards can th u s be p in p o in t e d t o s p e c i f i c a r e a s . H i s t o r i c a l l y t h i s has p r o v id e d many o p p o r t u n i t i e s f o r i n d i v i d u a l members o f C o n gre ss t o v o ic e t h e i r own p r e d i l e c t i o n s f o r w h a te v e r th e y deemed as r e l e v a n t r e s e a r c h .
The D i r e c t o r o f th e NSF and th e C h a irm a n o f th e N a t io n a l S c ie n c e B o a rd make th e g e n e r a l j u s t i f i c a t i o n s f o r th e NSF b u d g e t i n open
h e a r in g s b e f o r e each o f th e c o m m itte e s . E x p e r t w itn e s s e s fro m o u t s id e th e NSF a re h e a r d , and j o u r n a l i s t s a re p r e s e n t . So to o a re le a d e r s fro m p r o f e s s i o n a l a s s o c ia t io n s and s c i e n t i f i c s o c i e t i e s . U l t i m a t e l y a f t e r d e b a te s , co m p ro m ise s, v o te s and th e P r e s i d e n t i a l s ig n a t u r e , a b u d g e t i s re a c h e d and NSF has money t o spend i n th e new f i s c a l y e a r s t a r t i n g i n O c to b e r .
C l e a r l y , th e A m e ric a n b u d g e ta r y s y s te m a f f o r d s g r e a t e r o p p o r t u n it y f o r p o l i t i c a l r e p r e s e n t a t io n e i t h e r t o damn s o c i a l s c ie n c e o r to
e n co u ra g e i t . H i s t o r i c a l l y when s o c i a l s c ie n c e has been e n co u ra g e d i t has te n d e d t o be because i t was th o u g h t t o be u s e f u l . I t i s a ls o c le a r t h a t th e k in d o f cam paign o r g a n is e d b y s o c i a l s c i e n t i s t s i n th e US th r o u g h th e C o n s o rtiu m o f S o c ia l S c ie n c e A s s o c ia t io n s (COSSA) a g a in s t th e c u ts p ro p o s e d i n th e Stockm an b u d g e t o f 1 9 8 1 ,^ 7 s to o d much more chance o f s u c c e s s th a n a s i m i l a r lo b b y w o u ld have done i n th e UK.
H ow ever, t o see w h e th e r id e o lo g y was more im p o r t a n t th a n p o l i t i c a l i n s t i t u t i o n s r e q u ir e s some r e f l e c t i o n on th e n a tu r e o f th e p o l i t i c a l re g im e s i n th e p e r io d u n d e r e x a m in a tio n .
I n th e US, u n d e r th e D e m o c ra tic K en n e d y-Jo h n so n a d m in is t r a t io n s (1 9 6 0 -6 8 ) th e d i r e c t f u n d in g o f th e s o c i a l s c ie n c e s b y a l l d e p a rtm e n ts o f th e f e d e r a l g o v e rn m e n t more th a n d o u b le d i n r e a l te r m s . D u rin g th e N ix o n - F o r d a d m in i s t r a t io n s (1 9 6 9 -7 6 ) th e r e was a c u tb a c k i n some
d e p a rtm e n ts , an o v e r a l l d ip i n s u p p o r t f o r a fe w y e a r s a f t e r 1972, b u t b y th e end o f t h i s R e p u b lic a n p e r io d s p e n d in g f o r th e s o c i a l s c ie n c e s i n r e a l te rm s was h ig h e r th a n a t th e end o f th e Jo hn so n a d m in i s t r a t io n . A g a in s t th e r u n o f e x p e c t a t io n s , th e C a r te r a d m i n i s t r a t i o n (1 9 7 7 -8 0 ) w h ile s t a r t i n g a t a h ig h e r l e v e l d e c re a s e d th e o v e r a l l f u n d in g f o r s o c i a l s c ie n c e e v e r y y e a r t h e r e a f t e r . W ith R e a g a n 's a r r i v a l (1 9 8 1 -8 8 ), th e f e d e r a l t o t a l f o r s o c i a l s c ie n c e d ro p p e d s h a r p ly fro m $ 3 6 1 .7 m i l l i o n t o $ 2 8 8 .7 m i l l i o n i n 1982. A lth o u g h th e r e w ere f l u c t u a t i o n s i n th e y e a rs t h a t f o llo w e d , th e t o t a l i n 1986 was l i t t l e d i f f e r e n t fro m 1982 i n cash te rm s , b u t t h i s r e p r e s e n te d a r e d u c t io n i n r e a l te rm s f o r s o c i a l
s c ie n c e .
R u s s e ll R. D ynes, "T he I n s t i t u t i o n a l i z a t i o n o f COSSA: An
I n n o v a t iv e Response t o C r is e s b y A m e ric a n S o c ia l S c ie n c e ," S o c io lo g ic a l I n q u i r y . 54, S p r in g , 1984, p p . 2 1 1 -2 2 9 .
Embedded i n t h i s t o t a l f e d e r a l p i c t u r e was a s i g n i f i c a n t f a c t a b o u t r e s o u r c e s f o r s o c i a l s c ie n c e a t th e NSF. S o c ia l s c ie n c e i n th e f o u n d a t io n d id r e l a t i v e l y w e l l d u r in g th e p e r io d o f th e N ix o n - F o r d a d m i n i s t r a t i o n s , r e a c h in g a p e a k , i n te rm s o f th e s o c i a l s c ie n c e s h a re o f t o t a l NSF re s e a r c h fu n d s , h ig h e r th a n any a d m in i s t r a t io n b e f o r e o r s in c e . T h is c o in c id e d w i t h th e p e r io d when s o c i a l s c ie n c e s w ere d o in g w e l l i n g o v e rn m e n t d e p a rtm e n ts b u t a ls o w i t h th e p e r io d when NSF was s t i l l c o m m itte d to RANN.
T h e re i s some d a n g e r i n t a l k i n g o f s o c i a l s c ie n c e i n th e US as th o u g h i t was a s t a b le e n t i t y o v e r th e p e r io d i n q u e s tio n . I t i s w e l l to rem em ber t h a t a re a s o f p o l i c y i n t e r e s t changed w i t h th e p o l i c y agenda o f d i f f e r e n t a d m in i s t r a t io n s , and m o re o v e r, when com pared w it h th e UK
c e r t a i n a re a s o f p o l i c y su ch as D efen ce and A g r i c u l t u r e c o n tin u e d to be p r o m in e n t i n s u p p o r t o f A m e ric a n s o c i a l s c ie n c e .
These p o i n t s a re u n d e rs c o re d b y n o t in g how th e s u p p o r t f o r d i s c i p l i n e s a ls o changed w i t h th e p o l i c y c h a n g e s - -p s y c h o lo g y d e c lin e d fro m i t s p r e m ie r p o s i t i o n i n 1962 (47% o f f e d e r a l fu n d in g f o r s o c i a l s c ie n c e ) t o th e lo w p o i n t o f a 26% s h a re i n 1976, b u t s in c e th e n has r e c o v e r e d i t s d o m in a n t r o l e u n d e r Reagan b ecause o f i t s w id e s p re a d use i n th e D e fe n ce program m e. E conom ics has v a r i e d o v e r th e tw e n ty y e a r s w i t h i n a ban d o f 17% t o 27% o f th e t o t a l . S o c io lo g y ro s e fro m 5% i n 1962
t o 28% i n 1972 b u t f e l l b a c k t o 9% i n 1986. A l a s t c o n s id e r a t io n i s th e im p o r t a n t s h i f t i n w here b a s ic r e s e a r c h was a c t u a l l y c a r r i e d o u t , 61% o f a l l f e d e r a l l y fu n d e d b a s ic re s e a r c h i n th e s o c i a l s c ie n c e s was c a r r i e d o u t i n th e u n i v e r s i t i e s i n 1974 b u t t h i s has n o t exceeded 41% i n th e Reagan y e a r s .
