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Emergence of Research and Innovation Activities in the Chemical Industry at the Beginning of the Twentieth Century: the Case of Ig Farben and Du Pont

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Emergence of Research and Innovation Activities in the Chemical Industry at the Beginning of the Twentieth Century: the Case of Ig Farben and Du Pont EMERGENCE OF RESEARCH AND INNOVATION ACTIVITIES IN THE CHEMICAL INDUSTRY AT THE BEGINNING OF THE TWENTIETH CENTURY: THE CASE OF IG FARBEN AND DU PONT A THESIS SUBMITTED TO THE GRADUATE SCHOOL OF SOCIAL SCIENCES OF MIDDLE EAST TECHNICAL UNIVERSITY BY MUHSİN DOĞAN IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF PHILOSOPHY IN THE DEPARTMENT OF SCIENCE AND TECHNOLOGY POLICY STUDIES APRIL 2018 PLAGIARISM I hereby declare that all information in this document has been obtained and presented in accordance with academic rules and ethical conduct. I also declare that, as required by these rules and conduct, I have fully cited and referenced all material and results that are not original to this work. Name, Last name: Muhsin Doğan Signature: iii ABSTRACT EMERGENCE OF RESEARCH AND INNOVATION ACTIVITIES IN THE CHEMICAL INDUSTRY AT THE BEGINNING OF THE TWENTIETH CENTURY: THE CASE OF IG FARBEN AND DU PONT Doğan, Muhsin Ph.D., Department of Science and Technology Policy Studies Supervisor: Assoc. Prof. Dr. İbrahim Semih Akçomak April 2018, 243 pages In the 19th Century, after constant investments by governments and private sector to Chemical industry, Germany and the USA rised in terms of technological leadership, technological infrastructure and human capital for a long period. In these countries, there had been their own unique National Systems of Innovation. Thanks to this process, two giant chemical firms – IG Farben in Germany and DuPont in the US have come to existence. Each of these firms had successful innovation paths throughout their history. Their innovation performance in synthetic chemicals clearly demonstrates the vital importance of a sound, solid National Innovation System. However, coming to the 1940s, it is striking to see how these two giant technology firms entered into the service of political/bureaucratic authorities and how science and technology were affected by these circumstances. Therefore, the dissertation argues that two cases are different in three main aspects: research design of companies (centralized iv vs. decentralized decision making), policy differences (applied vs. fundamental research), and driving forces of research (market-driven vs. science-driven research). The principal purpose of the dissertation is to clarify these points. The first aim is to understand and then describe similarities and differences via analyzing innovation and learning process in IG Farben and DuPont between 1925 and 1945. The second aim is to explain the patterns of innovation and learning for innovation and technology studies with the help of comparative historical case study. Therefore, the dissertation predominantly focuses on pre-war and war periods to shed light on the effects of authoritive figures on chemical sector during the war period. Innovation activities of both firms during the war period will be examined in detail with the assistance of archival data and historical documents. Keywords: History of innovation; emergence of chemistry; innovation systems; chemical industry; World War II. v ÖZ YİRMİNCİ YÜZYIL BAŞLARINDA KİMYA ENDÜSTRİSİNDE ARAŞTIRMA VE YENİLİK FAALİYETLERİNİN ORTAYA ÇIKIŞI: IG FARBEN VE DU PONT VAKA İNCELEMESİ Doğan, Muhsin Doktora, Bilim ve Teknoloji Politikası Çalışmaları Tez Danışmanı: Doç. Dr. İbrahim Semih Akçomak Nisan 2018, 243 sayfa 19. Yüzyılda, hükümetlerin ve özel sektörün yardımıyla, Kimya sektörüne yapılan sürekli yatırımların etkisinde Almanya ve ABD, teknolojik liderlik, teknolojik altyapı ve insan sermayesi açısından uzun bir süre boyunca bu sektörde liderlik konumuna sahip olmuştur. Bu ülkelerin kendine özgü Ulusal Yenilik Sistemleri sayesinde, iki dev kimya firması ortaya çıkmıştır - Almanya’da IG Farben ve ABD’de DuPont. Her iki firma, tarih boyunca başarılı bir inovasyon örüntüsüne sahiptiler. Bu firmaların sentetik kimyasallardaki inovasyon performansları, sağlam bir Ulusal İnovasyon Sistemine sahip olmanın önemini açıkça göstermektedir. Ancak 1940’lı yıllara gelindiğinde, bu iki dev teknoloji firmasının nasıl siyasal / bürokratik otoritelerin hizmetine girdiklerini ve bilim ve teknolojinin bu durumdan nasıl etkilendiği görmek çarpıcıdır. Bu nedenle, bu doktora tezi, bu iki firmanın üç temel açıdan farklı olduğunu öne sürmektedir. Bunlar: şirketlerin araştırma tasarımları (merkezi ve merkezi olmayan karar verme), politika farklılıkları (uygulamalı ve/veya vi temel araştırmalara yönelik seçimleri) ve araştırmalarının odağı (pazar odaklı veya bilim odaklı). Tezin ana amacı, bu iki vakada temel farklılıkları ve benzerilikleri açıklığa kavuşturmaktır. Buradan hareketle ilk olarak, 1925 ve 1945 yılları arasında IG Farben ve DuPont firmalarındaki inovasyon ve öğrenme sürecini analiz ederek benzerlikleri ve farklılıkları anlamak ve tanımlamak amaçlanmıştır. İkinci olarak ise, tarihsel karşılaştırmalı vaka incelemesi yöntemiyle firmaların inovasyon ve öğrenme örüntülerini açıklamak amaçlanmıştır. Bu nedenle, bu çalışma ağırlıklı olarak savaş dönemi boyunca kimya sektörü üzerinde söz sahibi olmuş yetkililerin etkilerine ışık tutmak için savaş öncesi ve savaş dönemine odaklanmaktadır. Savaş döneminde firmaların inovasyon faaliyetleri, arşiv verilerinin ve tarihsel belgelerin yardımıyla ayrıntılı olarak incelenecektir. Anahtar kelimeler: İnovasyon tarihi; kimyanın ortaya çıkışı; inovasyon sistemleri; kimya endüstrisi; İknci Dünya Savaşı. vii To Servet, my lovely cat & to the stars that I haven’t explored yet… viii ACKNOWLEDGEMENTS When I first read Carl Sagan’s book,Cosmos: A Personal Voyage, I was mesmerized by the scientific advancements. I have always tried to keep my curiosity about the universe alive. This dissertation is a product of that book basically. It was a very challenging and complicated process. However, Sagan’s lines are the best part of the writing process of the dissertation. In this part, I have to mention and show my appreciation to some people who helped, directed and inspired me during the dissertation process. First and foremost, I would like to thank my advisor Assoc. Prof. Dr. İbrahim Semih AKÇOMAK for his supervision and support. He has always supported me and my ideas during the process. Moreover, his motivation and discipline (I call it Dutch discipline) inspires me to make new things. In addition, I would like to thank for his valuable supports, contributions and guidance during my six years as a research assistant at METU, as well. This dissertation would not come out without his supervision. I would like to express my gratitude for his accessibility, enthusiasm, and encouragement all the time. I would like to express my gratitude to the committee members, Prof. Dr. Erkan ERDİL, Assoc. Prof. Dr. Seven AĞIR, Assist. Prof. Dr. Derya FINDIK, and Assist. Prof. Dr., Erkan GÜRPINAR for their time, support, understanding and insightful comments and contributions to improve my dissertation. In this paragraph, I would like to express myself in Turkish for my family. Annem, Nezahat, babam Cemal Kasım, teyzem Nezaket, abim Ozan, kuzenim Damla ve kardeşim Doğancan DOĞAN’a onlardan çaldığım zamanlarda bana anlayış gösterdikleri için teşekkür ederim. Ayrıca Pazar günleri aile yemeklerine katılamayıp bu tez ile uğraştığım sürede beni her yönden anlayışla karşıladıkları için onlara müteşekkir olduğumu berlitmek istiyorum. Babannem ve anneannemin, onları ziyaret edemediğim zamanlarda bu tez ile uğraştığımı bilmelerini isterim. Ne yazık ki bu satırları anneannem ve dedeme okuyamayacağım ama beni anladıklarından şüphem yok. Benim bu aşamaya gelmemdeki emekleriniz için çok ama çok teşekkür ederim. ix If the process of writing a dissertation is like climbing the mount Everest, one needs to make many camps, face with obstacles, and overcome challenges in order to reach the summit. Without a team, it would be very hard. I am lucky because my office mates have always given the necessary encouragement, psychological support and power to climb up my own Everest. Thanks to them, I could reach the summit. The TEKPOL team, Maryat COŞKUN, Cansu DURUKAN and Gülsevim EVSEL. They have also become my climbing team during the process. I am happy to know you guys. I am appreciated. Moreover, I should mention, from TEKPOL team, Dr. Arsev Umur AYDINOĞLU. His positive attitude and valuable comments shed light on my way. I am gratitude for it I would like to thank Ezgi ÇELİK for her patience and tolerance during the studying, examining, and writing process of the dissertation. She has witnessed the whole process from the beginning to the end. Moreover, she made many corrections in the dissertation. Whole text was read by her in detail. Maybe, she hasn’t known that her advices and support were very vital to me for improving my work. Therefore, I would like to present my deepest appreciation to her. Your endless patience made the process possible to me. I am thankful to a person who is more than a friend. Büşra AKÇABOZAN KAYABOL, you have been the closest person to me especially during the writing process. On the other hand, your guidance about climbing, cycling and camping has always inspired me to achieve the impossible. Lastly, your positive attitude towards human relations has been crucial for me to understand other people in my social and professional life. I am appreciated with your friendship. I hope that we will get in touch until our 80s. I would like to mention staff at METU library, BAP, Technoart (Murat Akkaya) and TEKPOL for their financial and physical supports. Many thanks to their support, I could realize this dissertation. Moreover, I wish to express my thanks
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