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DYNAMICS OF THE RELATIONSHIP BETWEEN THE ACADEMY COMPLEX AN D THE FEDERAL GOVERNMENT As with any long-standing relationship between seen to be somewhat parochial. Also, NRC staff institutions, a variety of factors influence the ini and committee members sometimes present tiation and execution of studies by the Academy themselves as too ready to respond, a natural ten complex and the ways in which the results of those dency of staff who are not tenured and committee studies enter into the decision-making processes of members who are eager to serve in the time-hon the federal government. The officers of the Acade ored NRC tradition. NRC leaders must weigh and mies, the National Research Council, and the In balance these factors as they monitor the work of stitute of Medicine must take these factors into the organization. account as they guide the work of their organiza tions. The factors discussed below are illustrative Imperfect Statement of Requests or Charges of the many forces, direct and indirect, that influ On occasion, requests from an executive agency or ence the relationship between the Academy com congressional committee are well intended but plex and the federal government. imperfectly stated. For instance, the initial request to the National Research Council or the Institute The Continuing Spread of Scientific and of Medicine might not have benefited from suffi Teclmiaal Decision Making Throughout the cient discussions by a scientific group, resulting in Government a charge that is overly ambitious in that it expects With the increased size of government since World results that are not verifiable on the basis of avail Warn and the growing influence of scientific and able evidence. In other instances, government technical factors in governmental decisions, a officials may attempt to predetermine or prejudice large number of technical judgments must now be the outcome of a study through the statement of made at all levels of government. The President, the charge. leaders of Congress, and Cabinet officials all re In many of these cases, the statement of the quest studies of the National Research Council. charge becomes the subject of careful negotiations. Public officials who direct major governmental Frequently there is a period of some sensitivity in bureaus also tum to the Academy complex for which the empaneled committee must renegotiate assistance. Requests from throughout the federal the original request to the National Research government have continued to increase, even Council or the Institute of Medicine. though there are other organizations, including official advisory units on science in both the execu Rapid Turnover of Officials in Congress and the tive and legislative branches, to which similar Executive Branch requests could be made. In fact, the constrained Historically, a continuity of tenure in political budget and staffing patterns associated with recent office existed within the legislative branch; many administrations may have heightened interest in elected officials served in key committee and sub using the advisory capabilities of the Academy committee assignments through a succession of complex. Congresses. That continuity has been dramati This proliferation of requests presents a chal cally altered by judicial decisions requiring more lenge: How can the Academy complex ensure that frequent realignment of political districts to reflect it continues to give priority to the most significant population distributions within the United States. work in the face of myriad requests? The National At the same time, the turnover of public officials Research Council generally responds affirmatively within the executive branch has accelerated con to requests from the executive branch or Congress. siderably, with many fewer professional civil ser 15 However, some governmental requests that seem vants and policy officials remaining at their posts important can, upon more objective evaluation, be over long periods.
I n short, the Washington public policy scene surrounding the problem by pointing to the ongo has become a constantly changing panorama. The ing study as a responsible process. To the extent constant flux requires a continuing process of that an NRC analysis can sharpen the areas of education, reeducation, discovery, and apprecia technical consensus associated with such an issue, tion of the role of science and technology in public it can be helpful in reaching policy resolution. But policy decision making. New public officials are NRC officials must avoid becoming "used" in such often unaware of the capability of the Academy a process. Matching science and technology policy complex for technical assistance. Academy offi analysis with political schedules is another of the cers must make concerted efforts to contact tasks of the organization's leadership. elected and appointed officials to acquaint them with science and technology policy issues and to Policy and Program Tensions Between the provide them with an understanding of the ways in Executive Branch and Congress which the institution can meet their needs for In recent years, a growing number of studies under professional, objective advice. taken by the National Research Council have been mandated by congressional legislation. In many Initiation of Studies in One Administration or cases, these requests are seen as desirable by both Congress and Submission of Results to a the Congress and the executive branch and they Successor Administration or Congress proceed with the effectiveness of dual sponsorship. Because NRC and 10M studies typically take one In some of these cases, however, a situation can to two years to complete, a certain number of them arise in which the Research Council is in effect are inevitably commissioned by one administra serving as a referee on issues where Congress is tion or Congress with their results being presented dissatisfied with a policy, program, or budgetary to a successor administration or Congress. Rapid direction being proposed by the President through succession of presidencies over the last 20 years the departments and agencies of the executive has exacerbated this phenomenon. branch. For example, after the Reagan administra The implications are several. Whatever the tion took office it dramatically altered the appro merits of a study, there may be no reception for its priation requests for the National Aeronautics and findings since new officials in government may Space Administration. The appropriation commit have no " ownership of the commissioned project. " tees of the House of Representatives and the Sen If there has been a change of political party from ate, acting through NASA's appropriation, di one administration to the next, the study may be rected that Congress would call from time to time viewed suspiciously. Congressional committees on the National Research Council to undertake often have similar propriety instincts. Academy reviews of administration proposals where it committees and staff that have devoted their con wanted independent program advice. A number of siderable talents and energy to a complex technical such studies have been requested . study can become discouraged if they receive indi Occasionally, the prospect of a legislative direc cations that their product will not be read and tive to an executive agency will prompt that taken seriously. agency to initiate a request, whi<4h can give it Conversely, it should be noted that occasion greater latitude in constructing the terms of refer ally an astute public official will seek the assis ence of a study than if those terms were mandated tance of the National Research Council in studying by legislation. Such was the case with the Institute 16 an intractable technical or public policy issue be of Medicine's review of the organizational struc fore or at the height of the political process, thereby ture of the National Institutes of Health, which removing or at least dampening the political debate was published in the report Responding to Health
Needs and Scientific Opportunities : The Organ Congress occasionally approach the National Re izational Structure of the National Institutes of search Council with an unrealistic hope of addi Health . The Department of Health and Human tional advocacy, believing that advice from the Services did not wish to have the study, but faced institution will strengthen their case. NRC offi with the prospect of legislation it entered into a cials must keep these expectations in mind, decid contract with the Institute. Sometimes, a differ ing when the organization should use its own funds ence of view between branches of government to initiate studies and how to respond objectively about commissioning an Academy study can also when an advocacy position is desired. lead to a delay in funding, placing the institution "between" the congressional sponsor wanting the Sole-Source Contracting Procedures results by a specified time and an agency that may The Academy complex enjoys a special relation neither desire the study nor have an appropriation ship with the U.S. government because of its con provided by Congress for the required contract. gressional charter and its long history of support to the government as a quasi-independent ally. The Issues Addressed or Not Addressed Because of institution is nevertheless a contractor in the sense the Political Agenda of an Administration that it receives funds from the government for Each administration has an agenda reflecting the work that it undertakes. Over the last two decades, mandate given to it by the electorate. In some revisions of government procurement policies instances, this agenda influences the admin have increasingly strained a previously unchal istration's perception of science and technology lenged sole-source relationship between govern policy and, in tum, its desire to use the National ment departments and agencies and the Academy Research Council. In the Reagan administration's complex. Today considerable pressure is being early years, for instance, the Environmental Pro applied through legislation, executive order, and tection Agency was reluctant to call on the Re administrative practice to require competitive search Council to continue the examination of the bidding for all procured governmental services and scientific and technical issues associated with products, including policy studies. Thus depart major environmental problems such as acid pre ments of government that want to draw on the cipitation. The Research Council then decided, Academy complex are being forced to undergo because of the importance of the issue, to proceed complicated administrative procedures, often by with a study of acid rain using its own funds. way of a request for proposals in which the Acad Ironically, the resulting study later became the emy, among others, could be a bidder. basis for a revised governmental policy when inter For its part, the National Research Council and national considerations, continued pressure from the Institute of Medicine have eschewed putting Congress, and a change of leadership at the Envi themselves into the position of being respondents ronmental Protection Agency led the administra to ·competitive procurement procedures. In most tion to take action in this area. instances, they will not respond to requests for Similarly, some public officials in the Carter proposals unless there is a specific indication that administration with a consumer or public safety an organization such as the National Research orientation were skeptical about using the Na Council or the Institute of Medicine would be tional Research Council to consider scientific is selected for the study. sues in public policy. Their concern was that the Several policies ameliorate this problem. The technical evidence would not support their admin Office of Management and Budget recognizes the 17 istrative or regulatory goals. National Research Council's unique role and has Officials in both the executive branch and advised agencies that it considers the Research
Council suitable for sole-source procurement be cussions and arrangements consistent with inter cause of its unique status. For over two decades the nal NRC procedures. National Science Foundation has had in force with the National Research Council several key master Policy Impedance Created by the Organizational contracts or basic ordering agreements to which Structure of Government additional tasks can be added as new requests for Some science and technology policy issues may policy studies arise. The Department of Defense not come into clear focus within the executive has a similar master agreement. Nonetheless, branch because of the organization of government procurement procedures complicate the relation itself. As government has grown, similar functions ship between the Academy complex and the gov have often been assigned to a number of widely ernment, often adding undesired weeks or months scattered agencies, with no single agency having a into the initiation of a project. clear leadership role. The result is policy fragmen tation. In the area of water science and technology Attempts to Alter NRC Procedures Through policy, for instance, at least a dozen federal agen Government Contracts cies have responsibility for various aspects of the Although public officials seek objectivity and inde policy. Major responsibility is centered on the pendence when they approach the National Re Environmental Protection Agency, the U.S. Army search Council for assistance, many remain un Corps of Engineers, the Department of the Interior, comfortable with the process because the recom research agencies such as the Geological Survey mendations of a study cannot be predicted. NRC and National Science Foundation, authorities such procedures that ensure objectivity include the sole as the Tennessee Valley Authority, and regulatory right by the Research Council to appoint commit entities such as the Federal Energy Regulatory tees, no release of findings and recommendations Commission (which allocates sites for hydro until the work has undergone internal NRC re power). Major issues of water supply and demand, view, conduct of deliberative work in executive water distribution, and water quality, which ac session, and so on. These procedures reduce the cording to many people will be critically important day-to-day oversight of NRC studies by the govern in future decades, are not always tractable within ment. the diffuse organizational structure of the govern Sometimes, contracting officials seek to modify ment. Many similar examples could be cited. NRC procedures through a government contract in In such instances of policy fragmentation, such a way as to increase an agency's input and National Research Council committees and staff monitoring of an activity. Changes in procedure sometimes have difficulty gaining consensus requested by government contracting officials can among government agencies on an agenda of tech appear subtle or innocuous. Moreover, negotiation nical or policy studies. Occasionally, the Research of a contract generally follows agreement on the Council succeeds in facilitating communication substantive elements of a study by NRC and among the agencies to initiate policy work that is agency staff, which often creates a momentum or in their collective interest. Such situations can pressure to push forward with a project. NRC also require National Research Council commit officials must guard against the erosion of internal tees to obtain core funds through many small procedures through alterations proposed in con contracts. Either outcome can present problems tract negotiations. At the same time, they must for NRC committees, staff, and management; the 18 seek to understand an agency's unease about the desire to provide technical or policy assistance independence and objectivity of NRC studies and must be tempered by pragmatism concerning the seek to accommodate such concern through dis- actual role being served.
Conflicts Between Quality and Timeliness tional scientific exchanges and other international Most matters of science and technology policy programs are an example. As appropriations tight require the study and formulation of conclusions ened during the late 1 970s and 1 980s, funding for over periods of time that are inconsistent with international exchange operations and interna political schedules, which tend to be driven by tional policy studies was frequently questioned. annual appropriations, elections in the legislative The Academy's exchange programs and activities bodies, the presidential term of office, and so on. in the International Council of Scientific Unions Thus a principal challenge for the Academy com are among the efforts that have been affected by plex is to find ways to deliver its advice in a timely these pressures. fashion. Analysts contend that these problems are due in Within the framework of scholarship, Academy part to the character of the programs, in that they projects are driven by adherence to scientific and no longer attract the best scientists. Nonetheless, technical completeness; committees want to re waning governmental support and annual uncer spond in a comprehensive and scientifically accu tainty as to the level of that support create tension rate way. There is a strong desire for quality even between spons�ring agencies and the NRC's inter if it means devoting additional time and human national offices. NRC officials must be alert to and financial resources to the analysis. Many fluctuations in governmental interest, and they government policy issues involving science or must devise ways to reshape and sometimes curtail technology, on the other hand, require decisions efforts or seek independent funding if they are to be mandated by legislative or administrative cycles, continued. even if the available evidence and analyses are Conflicting Interests in Longer-Range Forecasts incomplete. Some of these deadlines are estab lished by statute. Therefore, many requests to the of Science and Technology National Research Council or the Institute of Many officials within the executive branch and Medicine will be effective only if the resulting Congress have recognized a need for longer-range studies are completed by the date at which a deci technical and scientific forecasting. They point sion must be made by a public official. If a report out that science should be better able to describe or arrives late, even if it is a more comprehensive or give warning about impending crises and that technically accurate document, it will have no national leaders should be better prepared to ex usefulness in that decision. Academy officials ploit scientific advances. Congress has taken a must therefore balance the relationship between number of steps to encourage such longer-range timeliness and completeness to ensure that quality forecasting. For example, it has required agencies is not compromised while meeting the deadlines of such as the National Science Foundation and the decision makers. National Aeronautics and Space Administration to prepare scientific outlooks or perspectives periodi Changing Priorities of Financial or cally on emerging opportunities and problems. Political Support Many of these longer-range forecasts entail contri With the passage of time, federal financial support butions by the Academy complex, as in for some activities undertaken by the National COSEPUP's preparation of the research briefings. Research Council has waned even though that Most public officials and legislators agree that activity continues to have many supporters within these longer-range forecasts are commendable. government and the scientific community. These However, day-to-day crises within government, 19 changes may be ascribed to altered political condi tensions between the political leadership in the tions or to changing financial priorities. Interna- executive branch and Congress, the political cycles
of government, and other operational problems and engineers. Policy assessments, either longer tend to cause this longer-range advice to lie fallow term reviews or focused shorter-term studies, and go unused. demand the diversion of time and energy from Because of the disparity between shorter-term other pursuits, including the research of individual and longer-term governmental objectives and their committee members. NRC officials are reluctant policy needs, the National Research Council is to call committees together for studies that go often in a dilemma as to the appropriate level of unread and unused. Nonetheless, few organiza institutional commitment to request for long-term tions are so well equipped to provide perspective on forecasts. The problem centers on the organ emerging issues and scientific and engineering ization's system of voluntary service by scientists opportunities. 20
