CLASSCLASS TWO:TWO: INNOVATIONINNOVATION ATAT THETHE INSTITUTIONALINSTITUTIONAL LEVELLEVEL –– THETHE ORGANIZATIONORGANIZATION OFOF FEDERALFEDERAL SCIENCESCIENCE SUPPORTSUPPORT

WilliamWilliam B.B. BonvillianBonvillian Director,Director, MITMIT WashingtonWashington OfficeOffice SeminarSeminar FUNDAMENTALSFUNDAMENTALS OFOF SCIENCESCIENCE ANDAND TECHNOLOGYTECHNOLOGY PUBLICPUBLIC POLICYPOLICY MAKINGMAKING1 QuickQuick SummarySummary ofof ClassClass 1:1: ¾ CLASSCLASS ONE:ONE: GROWTHGROWTH THEORYTHEORY z Intro.Intro. toto GrowthGrowth economicseconomics –– z SolowSolow:: ““TechnologyTechnology andand RelatedRelated InnovationInnovation”” isis thethe keykey factorfactor inin economiceconomic growthgrowth –– notnot capitalcapital supply,supply, notnot laborlabor supplysupply z RomerRomer:: TheThe driverdriver behindbehind technologicaltechnological innovationinnovation isis ““HumanHuman CapitalCapital EngagedEngaged inin ResearchResearch”” z DirectDirect InnovationInnovation Factors:Factors: R&DR&D andand TalentTalent ¾ THETHE INNOVATIONINNOVATION SYSTEMSYSTEM ANDAND ITSITS ACTORSACTORS z NelsonNelson –– therethere areare ““nationalnational systemssystems ofof innovationinnovation”” –– reviewsreviews thethe effectivenesseffectiveness ofof aa ““nationnation’’ss innovationinnovation actorsactors”” z IndirectIndirect InnovationInnovation FactorsFactors -- publicpublic andand privateprivate sectorsector ¾ BRANSCOMBBRANSCOMB ANDAND AUERSWALDAUERSWALD 2 z TheThe ValleyValley ofof DeathDeath betweenbetween R&DR&D PARTPART ONE:ONE: Org.Org. HistoryHistory ofof USUS R&DR&D InnovationInnovation Actors:Actors:

¾¾USUS SCIENCESCIENCE ORG.ORG. ININ WORLDWORLD WARWAR 22 ANDAND THETHE EARLYEARLY POSTPOST WARWAR PERIOD:PERIOD:

3 DavidDavid M.M. Hart,Hart, ForgedForged ConcensusConcensus-- Science,Science, TechnologyTechnology andand EconomicEconomic PolicyPolicy inin thethe U.S.,U.S., 19211921--19531953 (Princeton(Princeton Univ.Univ. PressPress 1998)1998) ¾ 55 VisionsVisions ofof thethe LiberalLiberal statestate andand GovernanceGovernance ofof TechnologicalTechnological Innovation,Innovation, 19211921--5353 ¾ 1)1) CONSERVATISM:CONSERVATISM:

z SawSaw needneed forfor statestate toto provideprovide forfor defense,defense, includingincluding militarymilitary technologicaltechnological innovationinnovation

z Goal:Goal: keepkeep thisthis spheresphere isolatedisolated fromfrom domesticdomestic economyeconomy

z MovementMovement waswas reactionreaction toto thethe ““excessesexcesses”” ofof WilsonWilson’’ss WW1WW1 mobilizationmobilization –– industrialindustrial controlscontrols 4 DavidDavid Hart,Hart, ForgedForged Concensus,Concensus, ConCon’’t:t: ¾¾ 1)1) CONSERVATISM,CONSERVATISM, concon’’t:t:

z FrankFrank JewettJewett –– anan exponentexponent ofof thisthis directiondirection–– Pres.Pres. ofof BellBell Labs,Labs, headhead ofof NatNat’’ll Academy,Academy, ’’3838 • Felt federal meddling with R&D and patents laws would slow growth of science advance • But: supported WW2 gov’t role in science • Postwar – supported retrenchment of gov’t role

z Sen.Sen. RobertRobert TaftTaft –– postpost--WW2WW2 –– militarymilitary strategystrategy waswas toto controlcontrol costcost throughthrough limitslimits onon forceforce size,size, thereforetherefore dependantdependant onon tech.tech. innovationinnovation andand nuclearnuclear arsenalarsenal

z SummarySummary –– govgov’’tt’’ss defensedefense sciencescience rolerole andand needsneeds shouldshould bebe isolatedisolated fromfrom domesticdomestic economyeconomy 5 DavidDavid Hart,Hart, ForgedForged Concensus,Concensus, ConCon’’t:t: ¾¾ 2)2) ASSOCIATIONALISM:ASSOCIATIONALISM:

z Exponent:Exponent: HerbertHerbert HooverHoover –– engineer,engineer, warwar reliefrelief organizer,organizer, CommerceCommerce Sec.,Sec., PresidentPresident

z SawSaw thethe powerpower ofof statestate actionaction

z FeltFelt unlimitedunlimited economiceconomic competitioncompetition inhibitedinhibited tech.tech. innovationinnovation –– priceprice competitioncompetition preventedprevented riskrisk ofof innovationinnovation –– competitioncompetition blockedblocked largelarge scalescale R&DR&D becausebecause itit fragmentedfragmented industryindustry

z AssociationalismAssociationalism originatedoriginated inin WW1WW1 warwar mobilizationmobilization

z FDRFDR adoptsadopts HooverHoover’’ss associationalassociational ideaidea –– butbut hishis NRANRA isis anan organizationalorganizational disasterdisaster –– thenthen VannevarVannevar BushBush adoptsadopts thisthis modelmodel forfor WW2WW2

sciencescience andand warwar mobilizationmobilization 6 DavidDavid Hart,Hart, ForgedForged Concensus,Concensus, ConCon’’t:t: ¾ 3)3) ASSOCIATIONALISMASSOCIATIONALISM, con’t:

z The government’s role: • Disseminate best practices to rationalize industry continuously • Foster industry-wide R&D facilities run by trade association supported by gov’t • Or: gov’t service agencies run these R&D facilities • Must be close ties between industry R&D managers and bench scientists • Basic idea: gov’t industry cooperation, pool resources together, avoid duplication • Example: Hoover’s Dept. of Commerce – the Bureau of Standards:

z to reorganize ‘sick” industries with new technology

z Build industry collaborative R&D

z Tear down barriers that limit high growth industry 7 DavidDavid Hart.Hart. ForgedForged Concensus,Concensus, ConCon’’tt

¾ 3)3) REFORMREFORM LIBERALISM:LIBERALISM:

z Espoused after NRA failure in 1935 (exponent -Henry Wallace – Commerce Sec.)

z Basic theory: reestablish markets by gov’t regulation (ex., antitrust )

z Saw gov’t as an economic actor

z Sought end of suppression of tech. innovation by cartels, monopolies

z State could develop and commercialize new technology itself, or

z Break bottlenecks that hold back innovation

z WW2 mobilization by joint associative gov’t-industry effort ended this movement

z Post-WW2 – displaced by Keynesianism 8 DavidDavid Hart,Hart, ForgedForged Concensus,Concensus, ConCon’’t:t: ¾¾ 4)4) KEYNESIANISM:KEYNESIANISM:

z EmergedEmerged inin 4040’’ss –– (J.M. Keynes econ. theory)

z basicbasic view:view: govgov’’tt spendingspending toto contributecontribute liquidityliquidity toto privateprivate markets,markets, toto spurspur demanddemand

z DebateDebate overover govgov’’tt S&TS&T rolerole –– 22 viewsviews conflict:conflict: • Tech innovation is logical result of private investment, only gov’t macro tools needed; vs. • Widespread market failures in provision of S&T – state should correct by S&T investment

z KoreanKorean WarWar –– resolvedresolved conflictconflict –– KeynesiansKeynesians argueargue aggregateaggregate S&TS&T spending,spending, includingincluding defensedefense R&DR&D spending,spending, benefitsbenefits economyeconomy • Example: NSF R&D spending indicators – come from this macro orientation 9 DavidDavid Hart,Hart, ForgedForged Concensus,Concensus, ConCon’’tt

¾ 5)5) NATIONALNATIONAL SECURITYSECURITY STATE:STATE: z Emerged in WW2 and Cold War z Use any means/any model necessary to reach S&T leadership for defense needs z WW2 – associative state and national security state merge z Led by Vannevar Bush in WW2 z During the Cold War – • Congressional Repub. - Conservatives – wanted high tech force (Air Force) – cheaper than mass force • Dem. Keynesians – military R&D was still R&D – contributed to aggregate R&D spending z Were they right??? z Examples: aerospace, computing, electronics were results 10 DavidDavid Hart,Hart, ForgedForged Concensus,Concensus, ConCon’’t:t:

¾ REALITY:REALITY: HYBRIDHYBRID GOVGOV’’TT S&TS&T MODELSMODELS DOMINATEDOMINATE THETHE LASTLAST 5050 YEARS,YEARS, THROUGHTHROUGH THETHE ENDEND OFOF THETHE COLDCOLD WAR:WAR: ¾ WeWe havehave aa blendblend ofof differentdifferent visionsvisions ofof thethe statestate rolerole ¾ TheThe underlyingunderlying conflictconflict betweenbetween positionspositions goesgoes unresolved;unresolved; pragmatismpragmatism reignsreigns asas usual;usual; mixmix of:of: ¾ ConservativeConservative –– govgov’’tt domesticdomestic R&DR&D rolerole –– defensedefense only;only; separateseparate sectors;sectors; privateprivate sectorsector shouldshould playplay domesticdomestic economyeconomy S&TS&T rolerole ¾ NatNat’’ll SecuritySecurity –– useuse anyany modelmodel forfor S&TS&T toto gaingain militarymilitary leadershipleadership ¾ AssociativeAssociative –– Hoover,Hoover, FDR,FDR, VanneverVannever BushBush –– latest:latest: ClintonClinton’’ss publicpublic--privateprivate partnershipspartnerships ¾ KeynesianKeynesian –– aggregateaggregate R&DR&D spendingspending isis key,key, defensedefense

andand privateprivate sectorsector adequateadequate 11 JennetJennet Conant,Conant, TuxedoTuxedo ParkPark (bio(bio ofof AlfredAlfred L.L. Loomis)Loomis) (Simon(Simon && ShusterShuster 2002)2002) ¾¾ AlfredAlfred L.L. LoomisLoomis –– 18871887--19751975

z Father deserted family, Loomis is forced to law and Wall St., despite love of science, to support family

z Made fortune in emerging electrical utility industry – sold out before ’29 crash

z Experimented in physics of ultrasound in 20’s-30’s

z Authored 29 science papers before 1939

z Set up his own R&D lab in his Tuxedo Park mansion north of NYC in 30’s

z Brought in greatest science physics talent in the world for “summer studies” – informal management

z MIT’s RAD Lab was a scale-up of this model

z Loomis’ cousin Henry Stimson, FDR’s Sec. of War, is a surrogate father 12 AlfredAlfred LeeLee LoomisLoomis –– ““thethe lastlast ofof thethe greatgreat amateursamateurs ofof sciencescience”” –– LuisLuis AlvarezAlvarez

13 JennetJennet Conant,Conant, TuxedoTuxedo Park,Park, ConCon’’tt ¾ MICROWAVE RADAR z Loomis had invented 10cm doppler radar system z British invent “resonant cavity magnetron” microwave source (inventors: John Randall, Henry Boot) z Britain lacks the industrial capacity to do engineering dev. and mass production – US is world’s leading mfg. power z [Note: relationship between mfg. and technology leadership – unified whole] z British had to reach out to mass production capacity of US economy even though US not yet in war – so Tizard Mission z US military reluctant to trade secrets with British • Stimson/Marshall – Army - more open • Ernest King – Anglophobe – distrustful, delay z Loomis himself is inventor – family ties to Stimson, and to US science leadership that he has been funding, esp. Ernest Lawrence of Berkeley, the leading US physicist z Vannevar Bush heads FDR’s Nat’l Def. Res. Comm. – NDRC z Loomis is a radar experimenter, heads NDRC’s microwave committee – is a Bush ally z 9/28/40 – Loomis develops British trust – see value of microwave radar magnetron immediately 14 JennetJennet Conant,Conant, TuxedoTuxedo Park,Park, ConCon’’tt ¾ LOOMISLOOMIS INVENTSINVENTS THETHE ““FFRDCFFRDC”” z The day after seeing the magnetron, Loomis invents the idea of a civilian scientist-run lab with contract to DOD – later called “Federally Funded R&D Center” z Loomis sees incredible promise of microwave radar – England is being night-bombed, has no defense, U- boats on verge of starving Eng. – microwave radar can be mounted on a plane and defend against both z Immediately proposes a large central microwave lab z Civilian scientist controlled, not military controlled z To take scientists from both Univ’s and industry • Draws on British lab model z Loomis knows the value of tech leadership – “the boat ahead gets the new breeze first, just because it is ahead and thereby increases its lead.” z Loomis immediately moves to set up this lab – gets approvals from the NDRC Microwave Comm, Sec. Stimson and Gen. Marshall the next day 15 JennetJennet Conant,Conant, TuxedoTuxedo Park,Park, ConCon’’tt

¾ LOOMISLOOMIS INVENTSINVENTS THETHE FFRDCFFRDC,, ConCon’’t:t:

z Loomis immediately invents the 3 major R&D tasks for the new lab – • Airborne interception (AI) • Gun-laying for antiaircraft weapons (GL) • Long range aircraft navigation (becomes Loran)

z Loomis the next day recruits Ernest Lawrence (Loomis has been funding his Berkelye accelerator experiments) to start up the lab and hire the finest physics talent in the US

z Loomis, not even a gov’t ‘ee, authorizes contracts for magnetron by the end of the weekend

z By Oct. – finest US physics talent joins the new lab

z INCREDIBLE SPEED OF DEVELOPMENT 16 JennetJennet Conant,Conant, TuxedoTuxedo Park,Park, ConCon’’tt ¾¾ LoomisLoomis InventsInvents thethe FFRDCFFRDC,, ConCon’’tt

z BellBell LabsLabs’’ FrankFrank JewettJewett triestries toto locatelocate atat hishis co.co. –– Loomis,Loomis, withwith MITMIT’’ss ComptonCompton andand V.Bush,V.Bush, outmaneuversoutmaneuvers himhim andand locateslocates atat MITMIT

z BecomesBecomes ““RadRad LabLab”” –– RadiationRadiation LabLab –– covercover namename sincesince atomicatomic researchresearch viewedviewed asas longlong termterm andand notnot warwar--relevantrelevant

z LoomisLoomis setssets upup unprecedentedunprecedented partnershippartnership:: betweenbetween govgov’’t.t.--univ.univ.--industryindustry

z 11/11/4011/11/40 –– firstfirst meetingmeeting ofof RadRad LabLab researchersresearchers atat MITMIT

z FarmedFarmed outout separateseparate componentcomponent mfg.mfg. toto industryindustry andand allall deadlinesdeadlines metmet asas ofof 11/11/40,11/11/40,

soso couldcould focusfocus onon integratingintegrating aa systemsystem 17 JennetJennet Conant,Conant, TuxedoTuxedo Park,Park, ConCon’’tt ¾ CHARACTERISTICS OF RAD LAB - Model for the Postwar FFRDC: ¾ GREAT TALENT

z 10 Nobel prizes go to Rad Lab scientists ¾ FLEXIBLE FUNDING:

z Loomis himself advances the funds for start-up

z Contracting with industry is non- bid; Loomis just awards – there’s a war on ¾ LOOSE, INFORMAL ORGANIZATIONAL MODEL

z Non-bureaucratic org., loose, interacting groups teams Leadership based solely on talent

z “easy comraderie”; casual tone; interactive

z “long hours”

z Almost all scientists – few in support staff – at first, 36 scientists, 1 secretary ¾ ABILITY OF LAB HEAD TO GO TOP

z Loomis heads Rad Lab – reports officially to V. Bush of NDRC

z BUT- frequently goes directly to War Sec. Stimson

z Loomis forces slow military bureaucracy to adopt new technology 18 z SO: another key to Rad Lab – access to top decisionmakers JennetJennet Conant,Conant, TuxedoTuxedo Park,Park, ConCon’’tt ¾ MANHATTANMANHATTAN PROJECTPROJECT z ““UraniumUranium Comm.Comm.”” hadhad beenbeen setset upup afterafter EinsteinEinstein toto FDRFDR–– notnot progressingprogressing –– viewedviewed asas longlong termterm project,project, postpost--warwar realizationrealization z ErnestErnest LawrenceLawrence seessees possibilitypossibility ofof atomicatomic weapon;weapon; allall fearfear GermanGerman sciencescience z LawrenceLawrence goesgoes toto Loomis,Loomis, hehe persuadespersuades StimsonStimson andand V.BushV.Bush toto expediteexpedite andand reorganizereorganize efforteffort –– FDRFDR immediatelyimmediately approvesapproves z ManhattanManhattan projectproject setset upup onon samesame org.org. modelmodel asas RadRad LabLab -- 1111 RadRad LabLab’’ersers gogo toto LosLos AlamosAlamos toto helphelp OppenheimerOppenheimer setset itit upup •• MilitaryMilitary triedtried toto putput itit intointo militarymilitary bureaucracybureaucracy –– putput scientistsscientists intointo uniformuniform •• BasedBased onon successsuccess ofof RadRad LabLab precedent,precedent, approachapproach rejectedrejected 19 JennetJennet Conant,Conant, TuxedoTuxedo Park,Park, ConCon’’tt

¾¾ THETHE RADRAD LABLAB DOESDOES DEVELOPMENTDEVELOPMENT

z LoomisLoomis movesmoves RadRad LabLab intointo thethe continuumcontinuum fromfrom fundamentalfundamental sciencescience basebase toto appliedapplied science,science, atat thethe outsetoutset

z ByBy 8/428/42 LoomisLoomis worksworks toto forceforce collaborationcollaboration withwith ArmyArmy soso thatthat technologytechnology becomesbecomes tiedtied toto ArmyArmy’’ss ““operationaloperational frameworkframework”” –– forcesforces movementmovement ofof inventioninvention intointo doctrinedoctrine • Classic problem that haunts all defense R&D

z LoomisLoomis addsadds engineeringengineering design,design, designdesign formform mfg.,mfg., andand mfg.mfg. prototypingprototyping toto rolerole ofof RadRad LabLab

z INVENTS:INVENTS: integratedintegrated sciencescience lablab R&DR&D modelmodel 20 JennetJennet Conant,Conant, TuxedoTuxedo Park,Park, ConCon’’tt ¾ POSTWAR:POSTWAR: RADRAD LABLAB’’SS INTEGRATEDINTEGRATED MODELMODEL ENDSENDS

z Loomis, even though he achieves the “Associationalist” (see Hart) model of gov’t-industry- academic partnership for brilliant and fast R&D development, with V. Bush, dismantles it

z In postwar he is a Conservative (see Hart) – suspicious of the Associationalist model

z Shuts down Rad Lab shortly after the end of the war • Decides it won’t work without war pressure • Retains deep faith in private enterprise

z V. Bush shares his view • Bush fights to retain gov’t role in basic research

21 JennetJennet Conant,Conant, TuxedoTuxedo Park,Park, ConCon’’tt ¾ LOOMISLOOMIS’’ ACCOMPLISHMENTS:ACCOMPLISHMENTS: z AsAs aa technologist:technologist: • LORAN long range radar beam based navigation (originally named after him – he rejects title) • Blind landing system for aircraft (ground controlled radar based approach) • Re: both Rad Lab and Manhattan Project – he forces both projects into rapid development – critical to the two leading tech developments of the war z MOREMORE IMPT:IMPT: AsAs aa sciencescience organizer:organizer: • Development of the FFRDC model is a critical organizational step for US science • Also implements the model for integrated science and technology at the Rad Lab – fundamental research through prototyping, eng. design, and initial stage mfg. – this model still not repeated 22 VannevarVannevar Bush,Bush, ““Science,Science, TheThe EndlessEndless FrontierFrontier”” (at(at nsf.gov,nsf.gov, 1945)1945) ¾ 11/17/4411/17/44 –– FDRFDR writeswrites BushBush (did(did BushBush draftdraft itit forfor him?)him?)

z 1) How to diffuse science knowledge gained from the war?

z 2) How to organize “war against disease”?

z 3) gov’t role in supporting public and private sector research?

z 4) gov’t role in developing science talent? ¾ FDRFDR’’ss ““newnew frontiersfrontiers ofof thethe mindmind””

z Grasps V.L. Parrington’s concept of the role of the frontier in American life

z Proposes new science frontier as next American frontier

23 VannevarVannevar Bush,Bush, 18901890--19741974

This image is in the public domain. 24 VannevarVannevar Bush,Bush, ScienceScience thethe EndlessEndless Frontier,Frontier, ConCon’’t:t: ¾ BACKGROUND:BACKGROUND:

z V. Bush’s paper comes out in July 1945 after FDR’s death – it is the most influential policy paper ever written on US science organization

z V.Bush is thinking through the postwar model for US science, thinking about the gov’t’s future role

z The “Associationalist” model dominates WW2

z V.Bush dis-agregates science away from this model • Probably convinced politics will dismantle the WW2 model of integrated research and development • Wants to salvage basic research for a gov’t role • Concerned that applied science dominated WW2 – sees need to restore basic science 25 VannevarVannevar Bush,Bush, ““Science,Science, TheThe EndlessEndless FrontierFrontier””,, ConCon’’t:t: ¾ V.V. BushBush’’ss ReportReport DefinesDefines thethe FutureFuture DirectionDirection ofof USUS ScienceScience Progress:Progress:

z Bush announces new popular causes for US Science

z Science is to be “part of a team” for “health, security, prosperity” –

z separates science as a separate player from other innovation actors – against integrated model for science

z Announces 3 goal areas for science: ¾ 1)1) ““WarWar AgainstAgainst DiseaseDisease”” Direction:Direction:

z Bush and FDR saw huge medical gains in WW2

z Antibiotics key – reduced disease, cut death from disease in WW2 to .6/1000, from WW1 of 14,1/1000

z Health provides new public purpose for science 26 VannevarVannevar Bush,Bush, ““Science,Science, TheThe EndlessEndless FrontierFrontier””,, ConCon’’t:t: ¾ 2)2) NationalNational SecuritySecurity Direction:Direction: z Pre-Cold War, but argues military research in peacetime vital for US security, can’t rely on allies (lesson of WW2 preparedness) z But insists on Loomis’ Rad Lab approach – must be civilian control of defense science, with “close liaison” to military z Because NSF is not formed until after Cold War starts, NSF never assigned defense R&D ¾ 3)3) ““PublicPublic WelfareWelfare”” Direction:Direction: z Goal is “full employment” – big postwar anxiety z Proposes idea that “basic research is public capital” z science role is to add capital, value to innovation system, not to dominate it or be integrated into it ¾ 4)4) NurtureNurture ““TalentTalent”” Direction:Direction: z Bush envisions gov’t role in educating science talent 27 VannevarVannevar Bush,Bush, ““Science,Science, thethe EndlessEndless FrontierFrontier””,, ConCon’’t:t: ¾¾ BushBush hashas aa ““pipelinepipeline”” theorytheory ofof innovation:innovation:

z ScienceScience withwith govgov’’tt backingbacking willwill contributecontribute basicbasic research,research, notnot appliedapplied

z IndustryIndustry willwill applyapply itit toto practicalpractical problemsproblems

z GovGov’’tt rolerole isis toto increaseincrease ““scientificscientific capitalcapital”” byby supportingsupporting academicacademic researchresearch • This form of research is removed form “pressure for immediate tangible results”

z BushBush’’ss idea:idea: removeremove sciencescience fromfrom thethe frayfray –– protectprotect it,it, putput itit backback intointo thethe ivoryivory towertower • Is that a good idea?

28 VannevarVannevar Bush,Bush, ““Science,Science, TheThe EndlessEndless FrontierFrontier””,, ConCon’’t:t: ¾ BushBush’’ss VisionVision ofof PostwarPostwar GovGov’’tt RoleRole inin ScienceScience””

z Sharply limited from WW2 role he oversaw

z Support for science talent development

z Offer industry an R&D tax deduction

z Reform the patent system

z Gov’t should also develop mechanisms to disseminate science advances to industries outside the reach of science

z Notes that a big backlog of APPLIED science advance from WW2 efforts are available to solve practical problems • Gov’t should “lift the lid” and enable industry to access

z Opening “new frontiers” is historical US gov’t role – extends concept for opening frontiers to justify gov’t

science role – but limited and controlled role 29 VannevarVannevar Bush,Bush, ““Science,Science, TheThe EndlessEndless FrontierFrontier””,, ConCon’’t:t: ¾ BushBush callcall forfor aa ““NewNew AgencyAgency”” toto carrycarry outout thethe directionsdirections hehe proposesproposes forfor USUS science:science:

z 1)new agency to support “basic science” • Research direction and control will remain in academia, with gov’t providing funding and minimal supervision

z 2) new agency will support science “talent” education

z Bush argues that US science requires “ long range research programs” which will be based on “stable funding” – hence agency at arms’ length from gov’t

z His model agency becomes NSF – • It’s delayed for 5 years, and meanwhile defense R&D, AEC and NIH move out ahead and separately – therefore there is no unified science funding agency as he envisioned – US science is fragmented because of the delay

30 SummarySummary ofof PARTPART ONEONE Readings:Readings: ¾¾ DAVIDDAVID HART:HART: STORYSTORY ONE:ONE:

z ExplainsExplains thethe politicalpolitical currentscurrents behindbehind definingdefining thethe govgov’’tt rolerole inin supportsupport forfor science/R&Dscience/R&D

z AssociationalistAssociationalist theorytheory stillstill battlingbattling withwith Conservative/NationalConservative/National SecuritySecurity movementsmovements ¾¾ LOOMISLOOMIS ANDAND V.BUSH:V.BUSH: STORYSTORY TWOTWO –– WW2WW2 LEADSLEADS TOTO NEWNEW MODELMODEL

z BushBush andand LoomisLoomis unifyunify USUS ScienceScience R&DR&D underunder BushBush’’ss NRDCNRDC andand itsits successorsuccessor OSRDOSRD

z EvenEven thoughthough theythey areare fundedfunded byby thethe military,military, theythey reactreact againstagainst thethe militarymilitary’’ss WW1WW1 rolerole andand

createcreate aa newnew civiliancivilian controlledcontrolled modelmodel 31 SummarySummary ofof PARTPART ONE,ONE, ConCon’’tt

z STORYSTORY 2,2, ConCon’’tt -- LoomisLoomis setssets ofof thethe RadRad LabLab R&DR&D centercenter outsideoutside notnot justjust DefenseDefense butbut outsideoutside thethe govgov’’t,t, atat MITMIT

z ““FFRDCFFRDC”” –– LoomisLoomis inventsinvents thisthis modelmodel andand itit isis aa keykey toto howhow USUS sciencescience willwill evolveevolve postpost-- WW2WW2 –– civiliancivilian scientistscientist control,control, flexibleflexible org.org.

z organizedorganized inin looseloose teams,teams, fastfast andand flexibleflexible R&DR&D contracting,contracting, greatgreat talent,talent, nonnon-- bureaucraticbureaucratic

z BushBush unifiesunifies USUS sciencescience underunder aa centralcentral directoratedirectorate (ie,(ie, Bush);Bush); LoomisLoomis unifiesunifies basicbasic andand appliedapplied researchresearch inin thethe nonnon--govgov’’tt FFRDCFFRDC

R&DR&D centercenter 32 SummarySummary ofof PARTPART ONE,ONE, ConCon’’tt ¾ STORYSTORY THREE:THREE: POSTWARPOSTWAR SHATTERSSHATTERS THETHE UNITYUNITY

z The immediate postwar shatters the unified science organization that Bush and Loomis created

z Bush himself dismantles it – that’s one message in his famous manifesto “Science, The Endless Frontier” - Bush decides that Gov’t should only support basic research – walks away from the applied/basic mix he and Loomis set up at Rad Lab and Manhattan Proj.

z He tries to unify science research at NSF but his fight with Truman stalls it

z SO: by the early cold war – unity of science research is broken and the unity of basic and applied science research is broken 33 SummarySummary ofof PARTPART ONE,ONE, ConCon’’tt

¾¾ STORYSTORY THREETHREE CONCON’’T:T:

z ONRONR getsgets stoodstood upup buybuy Adm.Adm. BowenBowen

z AlsoAlso –– NIH,NIH, andand AEC/DOEAEC/DOE getsgets ManhattanManhattan Proj.Proj.

z ONRONR isis thethe model,model, andand providesprovides leaders,leaders, forfor NSFNSF ¾¾ Meanwhile,Meanwhile, WilliamWilliam GoldenGolden standsstands upup OSTP/PresidentialOSTP/Presidential ScienceScience AdvisorAdvisor

z WeakWeak coordinatingcoordinating entityentity inin thethe WhiteWhite HouseHouse –– lackslacks budgetbudget powerpower toto bebe meaningfulmeaningful

34 PARTPART TWO:TWO: Org.Org. HistoryHistory ofof USUS R&DR&D InnovationInnovation Actors:Actors: ¾¾THETHE COLDCOLD WARWAR ANDAND THETHE EVOLUTIONEVOLUTION OFOF USUS SCIENCESCIENCE ORGANIZATION:ORGANIZATION: 35 GeorgeGeorge Mazuzan,Mazuzan,““NSF,NSF, AA BriefBrief HistoryHistory (1950(1950--1985)1985)””(nsf.gov(nsf.gov 7/15/1994)7/15/1994) ¾ The 5 year battle over the form of administrative control for NSF between V.Bush and Truman allowed other science agencies to arise to fill the void. ¾ Atomic Energy Commission – AEC acquired the Manhattan Project and its scientists at Los Alamos, Sandia, and Lawrence-Livermore – this made AEC, and its later successor, the Dept. of Energy, the automatic leader in atomic physics ¾ National Institute(s) of Health – the Public Health Service had earlier established a science branch to support its missions. When NSF failed to materialize, the Nat’l Institute (there was only one then) expanded its own intramural labs z Then NINIHH added an extramural grant program for basic research in universities that built geographic support. Congress provided sizable funding to serve an enduring political constituency. z Because of the basic research biology science missions it was assigned, and its isolation from the rest of science, it failed to develop cross-disciplinary connections with the rest of science 36 Mazuzan,Mazuzan, NSF,NSF, AA BriefBrief History,History, ConCon’’tt ¾¾ OfficeOffice ofof NavalNaval ResearchResearch –– waswas thethe 33rd majormajor agencyagency stoodstood upup –– thisthis waswas aa basicbasic sciencescience agency,agency, withwith aa uniformeduniformed officerofficer inin commandcommand butbut civiliancivilian scientistscientist deputiesdeputies –– itit pioneeredpioneered thethe approachesapproaches NSFNSF wouldwould take,take, fromfrom peerpeer reviewreview toto flexibleflexible contracts,contracts, andand itit’’ss staffstaff transferredtransferred toto NSFNSF toto runrun itit inin itsits earlyearly yearsyears ¾¾ NationalNational AcademyAcademy ofof SciencesSciences –– govgov’’tt sciencescience adviceadvice agency,agency, notnot researchresearch agency.agency. FoundedFounded inin 1863,1863, andand itsits govgov’’tt advisoryadvisory arm,arm, thethe NatNat’’ll ResearchResearch CouncilCouncil inin 18631863 37 Mazuzan,Mazuzan, NSF,NSF, AA BriefBrief History,History, ConCon’’tt ¾ NSF’s authorizing legislation enabled it to serve as a supervisory, coordinating science agency, but it rejected this role despite pressure from BoB to do so ¾ NSF was slow to startup; it’s first budget was not until FY ’52 and was only $3.5m ¾ Organizational elements: z Modelled on ONR’s processes z Offered flexible research grants, that covered direct costs as well as 15% of indirect costs z Grants went to the univ. not specific researchers z Program managers led in science areas z Peer review system set up to review grant applications z science merit was critical grant award criteria, so concern from Congress on geographical distribution z Other mission was science education – fellowships for grad ed z “Big Science” – large part of budget was consumed in major facilites (optical astronomy, atmospheric research, Antarctica) z Sociialal sciences allowed as “other sciences” under statute – not funded until 1958 38 Mazuzan,Mazuzan, NSF,NSF, AA BriefBrief History,History, ConCon’’tt ¾ SPUTNIK - 1957: ¾ Leads to Golden Age of US Science ¾ Sputnik transformed NSF from a small agency; tripled funding to $134m in ’59 and grew to $500m in ‘68 ¾ NASA – Sputnik also led to founding of NASA – had portfolio of space mission applied science, but also related basic science

z Continued US trend of specialized science agencies ¾ Sputnik also forced Cong. reforms – strong science Committee for space and general science formed in the House; weaker Committee in the Senate (later merged into Sen. Commerce) ¾ Sputnik also forced major science education reforms in K-12 education ¾ NSF also began supporting science facilities and equipment in Univ’s. 39 Mazuzan,Mazuzan, NSF,NSF, AA BriefBrief History,History, ConCon’’tt ¾ APPLIEDAPPLIED SCIENCESCIENCE ATAT NSF:NSF: ¾ DaddarioDaddario--KennedyKennedy billbill inin ’’6868 reauthorizedreauthorized NSFNSF authorizedauthorized appliedapplied asas wellwell asas basicbasic researchresearch byby NSFNSF ¾ LyndonLyndon JohnsonJohnson,, aa greatgreat levelerleveler andand egalitarianegalitarian democrat,democrat, pushedpushed appliedapplied sciencescience agendaagenda ¾ NSFNSF stoodstood upup anan appliedapplied agendaagenda –– focusedfocused onon sciencescience resourcesresources forfor majormajor socialsocial problemsproblems likelike environment,environment, energy,energy, transportation,transportation, socialsocial problemsproblems z Attempted to link industry with Univ’s. z Bitter revolt against this by basic research scientists, NSF staff, other agencies ¾ CarterCarter andand ReaganReagan AdministrationsAdministrations bothboth supportedsupported NSF,NSF, butbut whilewhile Carter,Carter, anan engineer,engineer,

supportedsupported applied,applied, initiallyinitially ReaganReagan opposedopposed 40 Mazuzan,Mazuzan, NSF,NSF, AA BriefBrief History,History, ConCon’’tt ¾ ERICHERICH BLOCHBLOCH ERAERA ATAT NSF:NSF:

z Pres. Reagan brought him in from technology development career at IBM – a computing engineer who won Nat’l Medal of Tech for Systems 360 work • First and only NSF head from industry

z He brought engineering to a new status in the agency, pushing the “engineering centers” program • Represented a break from small basic research grant history of NSF • Linked univ’s and industry • Centers sponsored work in sign. Tech breakthrough areas

z Bloch was able to get add’l funding for NSF so his engineering focus didn’t conflict with basic research portfolio

z Built computer science dept.’s and computing centers at Univ’s.

41 DonaldDonald E.E. Stokes,Stokes, ““PasteurPasteur’’ss Quadrant,Quadrant, BasicBasic ScienceScience andand TechnologicalTechnological InnovationInnovation”” (Brookings(Brookings 1997)1997) ¾ TheThe relationshiprelationship betweenbetween sciencescience andand govgov’’tt waswas transformedtransformed byby WW2WW2 z US prewar had some federal science entities – USGS, agriculture experiment station – pursued agency missions z Had nascent research Univ’s on the Germon model z During interwar years, Univ. science concerned it might lose its “autonomy” ¾ V.V. BushBush’’ss OSRDOSRD (Office(Office ofof ScientificScientific ResearchResearch andand Dev.Dev. –– successorsuccessor toto NDRC)NDRC) ““waswas thethe nearestnearest thingthing toto aa truetrue centralcentral sciencescience org.org. inin allall ofof AmericanAmerican historyhistory”” z Unparalled flow of funding into basic as well as applied science - esp. nuclear physics, electronics 42 Prof.Prof. DonaldDonald Stokes,Stokes, 19281928--19971997 DeanDean ofof thethe WoodrowWoodrow WilsonWilson SchoolSchool atat Princeton;Princeton; dieddied ofof LeukemiaLeukemia shortlyshortly afterafter finishingfinishing ““PasteurPasteur’’ss QuadrantQuadrant””

43 DonaldDonald Stokes,Stokes, PasteurPasteur’’ss Quadrant,Quadrant, ConCon’’tt ¾ STOKESSTOKES ARGUESARGUES BUSHBUSH’’SS BASICBASIC RESEARCHRESEARCH CANNONCANNON HASHAS TWOTWO PARTS:PARTS: ¾ ““ITIT ISIS PERFORMEDPERFORMED WITHOUTWITHOUT THOUGHTTHOUGHT OFOF PRACTICALPRACTICAL ENDSENDS””

z DESIGNED TO PERSUADE COUNTRY THAT ATTEMPTS TO CONSTRAIN FREE CREATIVITY OF THE BASIC SCIENTIST WOULD BE INHERENTLY SELF-DEFEATING ¾ ““BASICBASIC RESEARCHRESEARCH ISIS THETHE PACEMAKERPACEMAKER OFOF TECHNOLOGICALTECHNOLOGICAL IMPROVEMENTIMPROVEMENT””

z DESIGNED TO PERSUADE THE POLICY COMMUNITY THAT INVESTMENT IN BASIC SCIENCE WOULD YIELD THE TECHNOLOGY TO SOLVE A BROAD SPECTRUM OF NATIONAL NEEDS 44 DonaldDonald Stokes,Stokes, PasteurPasteur’’ss Quadrant,Quadrant, ConCon’’tt ¾¾ V.V. BushBush’’ss OSRD:OSRD:

z V.V. BushBush’’ss OSRDOSRD appealedappealed toto FDRFDR’’ss lovelove ofof creatingcreating initiativesinitiatives outsideoutside ofof regularregular govgov’’tt

z BushBush andand alliesallies Compton,Compton, Loomis,Loomis, ConantConant graspedgrasped thatthat thethe warwar wouldwould bebe technologytechnology andand sciencescience--basedbased conflictconflict inin significantsignificant partpart

z BushBush workedworked withwith FDRFDR throughthrough hishis legendarylegendary aideaide HarryHarry HopkinsHopkins -- hadhad accessaccess toto thethe Pres.Pres.

z OSRDOSRD partpart ofof thethe execexec OfficeOffice ofof thethe PresidentPresident

z OSRDOSRD contractedcontracted forfor sciencescience work,work, didndidn’’tt setset upup ownown labslabs

z LeadershipLeadership fromfrom thethe scientificscientific eliteelite andand eliteelite sciencescience institutionsinstitutions 45 DonaldDonald Stokes,Stokes, PasteurPasteur’’ss Quadrant,Quadrant, ConCon’’tt ¾ POSTWARPOSTWAR SCIENCE:SCIENCE: ¾ Sen.Sen. HarleyHarley KilgoreKilgore (W.Va.)(W.Va.) sponsoredsponsored firstfirst billbill forfor postwarpostwar sciencescience organizationorganization inin ‘‘4242 –– sciencescience didndidn’’tt havehave thethe leadingleading voicevoice inin hishis agencyagency ¾ BushBush’’ss goalsgoals –– federalfederal supportsupport ofof basicbasic science,science, butbut curtailcurtail govgov’’tt controlcontrol ofof thethe performanceperformance ofof thatthat researchresearch ¾ BushBush aimedaimed toto createcreate anan entityentity withwith crosscross-- sciencescience authorityauthority asas broadbroad asas OSRDOSRD’’ss inin WW2WW2 ¾ DirectorDirector wouldwould bebe chosenchosen byby aa boardboard ofof scientists,scientists, notnot namednamed byby Pres.Pres. andand SenateSenate-- confirmedconfirmed

46 DonaldDonald Stokes,Stokes, PasteurPasteur’’ss Quadrant,Quadrant, ConCon’’tt ¾¾ BUSHBUSH’’SS ORGANIZATIONALORGANIZATIONAL PLANPLAN ISIS DEFEATEDDEFEATED

z TrumanTruman rejectsrejects scientistscientist controlcontrol ofof NSFNSF –– insistinsist onon Pres.Pres. Appointment,Appointment, generalgeneral controlcontrol • Congress, completely geography protective, suspicious of elitist funding distribution

z TheThe 55--yearyear delaydelay fragmentsfragments thethe overalloverall sciencescience portfolioportfolio BushBush envisionsenvisions forfor NSFNSF • ONR, AEC stood up; NIH gets OSRD’s medical research contracts ¾¾ BUT:BUT: BUSHBUSH’’SS BASICBASIC SCIENCESCIENCE IDEALOGYIDEALOGY TRIUMPHSTRIUMPHS

47 DonaldDonald Stokes,Stokes, PasteurPasteur’’ss Quadrant,Quadrant, ConCon’’tt ¾ WHYWHY BUSHBUSH’’SS BASICBASIC SCIENCESCIENCE IDEALOGYIDEALOGY TRIUMPHSTRIUMPHS

z Bush’s Postwar Bargain – if gov’t funds basic science, I promise you technological progress

z NSF’s Univ. constituents love the idea that pure research is “the font of technological progress” – enables them to provide social rationale for basic research to justify federal funding

z Sputnik proves how deeply Bush’s ideology spread – the American answer to Sputnik is not only an applied science space race, but huge new investments in basic science

z DOD: “Project Hindsight”: 1 in 100 defense basic research projects result in weapons system advance

z NSF – its whole rationale is challenged – showed the antecedents of 5 selected technological innovations were

basic science-based 48 DonaldDonald Stokes,Stokes, PasteurPasteur’’ss Quadrant,Quadrant, ConCon’’tt ¾ BUTBUT –– NSFNSF WASWAS JUSTJUST SHOWINGSHOWING WHATWHAT COULDCOULD BEBE TRUETRUE –– TECH.TECH. ADVANCEADVANCE COULDCOULD COMECOME FROMFROM BASICBASIC RESEARCHRESEARCH ¾ BOTHBOTH DODDOD ANDAND NSFNSF CONTINUECONTINUE TOTO THINKTHINK ININ LINEARLINEAR MODELMODEL z DOD: ALL THAT MATTERED IS LINEAR SEGMENT OF: APPLIED TO DEV TO PRODUCITON z NSF: ALL THAT MATTERS IS LINEAR - BASIC TO APPLIED TO DEV. TO PRODUCTION ¾ THETHE IDEALIDEAL OFOF PUREPURE INQUIRYINQUIRY UNDERUNDER BUSHBUSH’’SS CANNONSCANNONS DATESDATES FROMFROM CLASSICALCLASSICAL GREEKGREEK SCIENCESCIENCE ¾ BUSHBUSH PARADIGMPARADIGM OFOF THETHE LINEARLINEAR RELATIONRELATION BETWEENBETWEEN SCIENCESCIENCE ANDAND TECHTECH STOKESSTOKES ARGUESARGUES BEARSBEARS NONO RELATIONSHIPRELATIONSHIP TOTO

THEIRTHEIR TRUETRUE CONNECTIONCONNECTION 49 DonaldDonald Stokes,Stokes, PasteurPasteur’’ss Quadrant,Quadrant, ConCon’’tt ¾ BUT:BUT: THETHE TIESTIES BETWEENBETWEEN SCIENCESCIENCE ANDAND TECHNOLOGYTECHNOLOGY ARENAREN’’TT LINEAR,LINEAR, THEYTHEY AREARE INTERACTIVEINTERACTIVE ¾ USEUSE--INSPIREDINSPIRED SCIENCESCIENCE YIELDSYIELDS BOTHBOTH BASICBASIC ANDAND APPLIEDAPPLIED RESULTSRESULTS ¾ BUSHBUSH’’SS EFFORTEFFORT ONON BEHALFBEHALF OFOF THETHE SCIENCESCIENCE COMMUNITYCOMMUNITY TOTO PRESERVEPRESERVE THETHE AUTONOMYAUTONOMY OFOF PUBLICALLYPUBLICALLY--FUNDEDFUNDED SCIENCESCIENCE LEDLED HIMHIM TOTO DECRYDECRY EFFORTSEFFORTS TOTO CONSTRAINCONSTRAIN THETHE CREATIVITYCREATIVITY OFOF BASICBASIC RESEARCHRESEARCH z BUT IT IS EVENTUALLY SELF-DEFEATING BECAUSE IT’S NOT THE RIGHT MODEL ¾ CHALLENGESCHALLENGES TOTO BUSHBUSH’’SS IDEALOGYIDEALOGY GREWGREW INSISTENTINSISTENT ASAS USUS NEEDSNEEDS SHIFTEDSHIFTED FROMFROM THETHE MILITARYMILITARY TOTO ECONOMICECONOMIC SPHERESPHERE 50 StokesStokes -- TheThe ProblemProblem withwith V.V. BushBush’’ss PipelinePipeline Model:Model: ¾ Vannevar Bush’s model for gov’t funded undirected basic research, post WW2, was a STATIC model, although he argued it would be “the pacemaker for technological progress” ¾ basic research investment would capture the gain of tech progress ¾ Bush paradigm found deep resonance in Western classical philosophy of science as reason, and its other tradition, Francis Bacon’s marriage of science with the practical arts ¾ Bush short-circuited basic research from consideration of use ¾ His linear model was one-dimensional

51 Stokes:Stokes: TheThe Problem,Problem, ConCon’’tt

¾ BushBush belief:belief: understandingunderstanding andand useuse areare conflictingconflicting goals,goals, soso basicbasic andand appliedapplied researchresearch mustmust bebe separatedseparated ¾ ““appliedapplied researchresearch drivesdrives outout purepure””--V.BushV.Bush ¾ NoNo wonderwonder USUS hashas hadhad historichistoric troubletrouble convertingconverting itsits leadershipleadership inin technologytechnology inventionsinventions intointo productsproducts –– BushBush mademade thisthis aa suspectsuspect activityactivity ¾ BushBush’’ss segmentedsegmented linear/pipelinelinear/pipeline model:model:

BasicBasic---->applied>applied---->> developmentdevelopment---->> productionproduction && operationsoperations 52 Stokes:Stokes: thethe PasteurPasteur ModelModel

¾ StokesStokes’’ TestTest Case:Case: PasteurPasteur –– thethe riserise ofof microbiologymicrobiology ¾ PasteurPasteur soughtsought aa fundamentalfundamental understanding,understanding, viavia microbiology,microbiology, ofof thethe processprocess ofof diseasedisease ¾ ButBut hehe soughtsought thisthis throughthrough appliedapplied goalsgoals ofof preventingpreventing spoilagespoilage inin variousvarious substancessubstances includingincluding milk,milk, thenthen pursuingpursuing anthraxanthrax inin sheep,sheep, choleracholera inin chickens,chickens, rabiesrabies inin animalsanimals andand humanshumans ¾ AsAs PasteurPasteur’’ss scientificscientific studiesstudies becamebecame moremore fundamental,fundamental, hishis inquiryinquiry becamebecame moremore appliedapplied

53 StokesStokes’’ PASTEURPASTEUR’’SS QUADRANT:QUADRANT:

¾ ConsiderationConsideration ofof Use?Use? NoNo YesYes PurePure basicbasic UseUse inspiredinspired YesYes researchresearch –– basicbasic researchresearch – Ex- Louis ExEx-- NilsNils BohrBohr – Ex- Louis Search for PasteurPasteur fundamental under- standing ReviewReview ofof thethe PurePure appliedapplied particularsparticulars notnot researchresearch –– NoNo thethe generalgeneral ExEx--ThomasThomas

---- earlyearly DarwinDarwin EdisonEdison 54 Stokes:Stokes: TheThe Problem.Problem. ConCon’’tt --

¾ The deepest flaw in the V. Bush paradigm is that technology development flows one way, from science to technology ¾ BUT: there is a reverse flow – from technology to science ¾ Science is interactive – it is a whole, not segregated ¾ There is a growing amount of technology that flows from science, but the other way is strong: ¾ For example - Semiconductors – fundamental research that is technology based - built from atomic layer to atomic layer ¾ Who reaps the technological harvest from science? U.S. reached technological leadership LONG

BEFORE it reached science leadership 55 Stokes:Stokes: TheThe Problem,Problem, ConCon’’tt -- ¾ The greatest strides in productive technology can be made by nations that lack science leadership – the US in the 20’s, Japan in the 70’s-80’s ¾ V.Bush’s manifesto presents “a paradox in the history of ideas” – history of science presents so many cases of interactive applied and basic science, how did it become believed that these were in tension? ¾ James B. Conant, Pres., Harvard – Bush Ally in WW2, first head of Truman’s Nat’l Sci. Bd.: “No one can draw a sharp line between basic and applied research…we might do well to discard altogether the phrases…in their place I should put the words ‘programatic research’ and ‘uncommitted research’. It would be safe to say all so-called applied research is programatic, but so, too, is much that is often labeled fundamental.” - 1950 56 Stokes:Stokes: TheThe Problem,Problem, ConCon’’tt --

¾ TheThe U.S.,U.S., whichwhich owesowes soso muchmuch forfor BushBush’’ss stunningstunning sciencescience organizationalorganizational workwork inin WW2,WW2, toto hishis visionvision ofof howhow sciencescience couldcould bebe mobilizedmobilized andand energized,energized, lostlost soso muchmuch fromfrom thethe postwarpostwar narrownessnarrowness ofof hishis viewview ofof sciencescience ---- perhapsperhaps duedue toto hishis fearfear ofof thethe powerpower FDRFDR’’ss industrialindustrial statestate [or[or reactionreaction toto militarizationmilitarization ofof sciencescience oror toto thethe atomicatomic bomb,bomb, oror toto worryworry aboutabout wherewhere thethe fundingfunding waswas toto comecome fromfrom inin postpost warwar peace]peace] ¾ DeborahDeborah ShapleyShapley && RustumRustum Roy:Roy: ““WhatWhat waswas lost,lost, inin aa word,word, waswas thethe importanceimportance ofof appliedapplied sciencescience andand engineering,engineering, andand somethingsomething elseelse wewe shallshall callcall purpur--positivepositive basicbasic researchresearch…”…” 57 StokesStokes’’ ““DynamicDynamic ModelModel”” ImprovedImproved ImprovedImproved TechnologyTechnology UnderstanUnderstandingding

Use- Pure Inspired Purely- Basic Basic Applied Research Research R&D

Existing Existing Understanding Technology 58 Stokes:Stokes: thethe Problem,Problem, ConCon’’tt -- ¾ Eventually,Eventually, ErichErich BlochBloch comescomes toto NSFNSF andand isis ableable toto bringbring computingcomputing andand sci/techsci/tech andand engineeringengineering centerscenters –– butbut thethe ““UpstairsUpstairs-- DownstairsDownstairs”” damagedamage toto sciencescience hadhad beenbeen donedone ¾ HowHow muchmuch waswas revulsionrevulsion againstagainst whatwhat thethe ManhattanManhattan ProjectProject diddid toto physics?physics? ¾ BlockBlock (and(and DavidDavid Cheney):Cheney): ““TechnologyTechnology thatthat remainsremains inin thethe lablab providesprovides almostalmost nono economiceconomic benefits.benefits. TechnologyTechnology thatthat isis appliedapplied onlyonly toto govgov’’tt marketsmarkets suchsuch asas defense,defense, providesprovides muchmuch smallersmaller economiceconomic benefitsbenefits thanthan technologiestechnologies thatthat contributecontribute toto successsuccess inin thethe muchmuch largerlarger commercialcommercial markets,markets, andand especiallyespecially toto thethe everever moremore importantimportant globalglobal markets.markets.”” 59 StokesStokes’’ ClosingClosing ManifestoManifesto ¾ ““AA clearerclearer understandingunderstanding byby thethe scientificscientific andand policypolicy communitiescommunities ofof thethe rolerole ofof useuse--inspiredinspired basicbasic researchresearch cancan helphelp renewrenew thethe compactcompact betweenbetween sciencescience andand governmentgovernment,, aa compactcompact thatthat mustmust alsoalso provideprovide supportsupport forfor purepure basicbasic research.research. ¾ ““AgendasAgendas ofof useuse--inspiredinspired basicbasic researchresearch cancan bebe builtbuilt onlyonly byby bringingbringing togethertogether informedinformed judgmentsjudgments ofof researchresearch promisepromise andand societalsocietal needneed..””

60 VernonVernon W.W. Ruttan,Ruttan, isis WarWar NecessaryNecessary forfor EconomicEconomic Growth?Growth? (2006)(2006)

61 RUTTAN,RUTTAN, CONCON’’TT ¾ INTERCHANGEABLEINTERCHANGEABLE MACHINEMACHINE MADEMADE PARTSPARTS -- CHAPT.CHAPT. 22

z Mfg. goes from 10% of US commodity production in 1800 to 50% by 1900

z “The American System” is key

z 1797 War Dept. bought arms from private contractors - Washington substituted arsenals - esp. Springfield, Mass. and Harpers Ferry, W.Va

z Mfg. was a handicraft process; armies had logistic tails of blacksmiths and armorer trains

z Eli Whitney story - 1798 • - bogged down in patent litigation over his cotton gin, turns to War Dept. musket contract - early industrial bailout • - proposes interchangeable machined parts • - invents cost plus contracts and massive cost overrun • - right idea but doesn’t have the machine tools yet • takes 11 years to deliver - and not interchangeable parts 62 RUTTAN,RUTTAN, CONCON’’TT ¾ NextNext KeyKey FigureFigure -- JohnJohn HallHall ofof Portland,Portland, Me.Me.

z Develops early breech-loading rifle

z Becomes armorer at Harper’s Ferry and develops the machine tools to build interchangeable musket parts

z War Dept. goes to second private contractor using Hall’s system - parts made in Middletown, Conn. for rifle can be interchanged with Harper’s Ferry parts

z System copied all up and down Conn. River Valley - for clocks, guns, simple machines

z By 1850 English industrialists visiting US - trying to understand “American System”

z Leadership in industrial revolution shifts from Britain to US

z By the end of the 19th century US factories attain high volume production - Colt’s is model for Henry Ford

z Only Army had resources and risk timetable to stand whole new system of production 63 RUTTAN,RUTTAN, CONCON’’TT ¾ DODDOD STANDSSTANDS UPUP COMPUTINGCOMPUTING -- CHAPT.CHAPT. 55

z DOD funds the first all digital computer - ENIAC in 1946 at Penn • for calculating the artillery firing tables • Used in calculating hydrogen bomb ignition • John Van Neumann architecture - CPU pulls instructions from central memory • UNIUNIVACVAC 2nd gen does the ‘50 census

z Whirlwind and Sage at MIT • George Valley of MIT convinces the USAF that US is defenseless against air attack and needs radar defense - SAGE • Jay Forrester of MIT was developing Whirlwind computer for Navy’s ONR as flight simulator - but Navy winds it down • Valley sees that Whirlwind can provide real time processing for SAGE system • Whirlwind - First real time computer - not just fast calculator • Operators sit in front of CRT’s with keyboards inputting data and making commands - use light pen (mouse) • SAGE messages over phone lines (internet) - networked 64 WhirlwindWhirlwind -- 1st1st realreal timetime computing,computing, magneticmagnetic corecore memory,memory, CRT/keyboardCRT/keyboard computer,computer, networkednetworked overover phonephone lineslines

65 These images are in the public domain. Ruttan,Ruttan, ConCon’’tt ¾ SemiconductorsSemiconductors

z transistors at Bell Labs - w/initial DOD contracts (Bardeen, Brattain, Shockley) - fundamental advance and technology advance simultaneously

z Next two big steps - Integrated Circuit (TI-Kilby)and Fairchild Semiconductor - Kilby and Noyce

z The Microprocessor (Intel - Noyce)

z Both: DOD purchase support - Minuteman and Apollo

z Lithography - backed by DOD

z Sematech - recovery of US sector in 80’s DARPA backed ¾ SupercomputersSupercomputers

z Nuclear and missile design and ballistic tracking requires supercomputing

z Cray machines - DOD, DOE labs was the market

z To this day, market for supercomputers is DOD, DOE labs (“stockpile stewardship”) IBM and Cray successor66 RUTTAN,RUTTAN, CONCON’’TT ¾ SoftwareSoftware

z As late as the 80’s DOD is the largest purchaser of software in the US

z DOD role in software is through DARPA creating the first computer science dept’s (at MIT, Carnegie Mellon and Stanford, then others) - software programming is the initial heart of the curriculum - different pattern from role in computing and semiconductors

z Software has yet to follow the productivity curve of computing and semiconductors ¾ PersonalPersonal ComputingComputing andand thethe InternetInternet

z We will study but DOD builds these (Chapt. 6) ¾ OtherOther 20th20th CenturyCentury DODDOD techtech revolutions:revolutions:

z Aviation, nuclear power, space

67 **Summary**Summary ofof PARTPART TWO:**TWO:** ¾ MAZUZANMAZUZAN ARTICLEARTICLE –– NSFNSF DOESDOES BASICBASIC RESEARCHRESEARCH

z NSF will not be a unifying agency for US science coordination – other agencies grow up

z Although it plays with some applied work in the 60’s, it remains a basic research agency

z [Same approach at NIH] ¾ DONALDDONALD STOKESSTOKES

z Attacks whole concept of separating basic research

z Argues that not the way science evolves

z Science is not linear, not a pipeline

z Science is interactive between basic and applied

z Suggests US made a great mistake in focusing two of its great science agencies (NSF, NIH) on basic-only model ¾ RUTTANRUTTAN

z Central role of DOD with connected science model - moving from R to D to prototyping to product to initial market 68 THOUGHTTHOUGHT :: ONEONE THINGTHING

¾ SCIENCESCIENCE ISIS ONEONE THING!THING! ¾ THETHE CREATORCREATOR’’SS BRAINBRAIN ISIS NOTNOT DIVIDEDDIVIDED INTOINTO SEPARATESEPARATE PARTSPARTS THATTHAT DODO NOTNOT CONNECT,CONNECT, FORFOR PHYSICS,PHYSICS, CHEMISTRY,CHEMISTRY, BIOLOGY,BIOLOGY, COMPUTINGCOMPUTING ¾ CANCAN’’TT ORGANIZEORGANIZE THETHE SCIENCESCIENCE ENTERPRISEENTERPRISE THISTHIS CENTURYCENTURY ONON AA SEGREGATEDSEGREGATED SCIENCESCIENCE MODELMODEL ¾ WONWON’’TT WORKWORK –– SCIENCESCIENCE ISIS AA UNITYUNITY

69 THOUGHTTHOUGHT :: SWARMSWARM THEORYTHEORY OFOF INNOVATIONINNOVATION

¾ MitchMitch WaldropWaldrop –– ““ScienceScience takestakes aa VillageVillage”” ¾ ItIt’’ss moremore thanthan aa villagevillage ¾ AnAn antant hill;hill; aa beehivebeehive ¾ InventionInvention atat oneone timetime maymay havehave takentaken justjust oneone personperson –– withwith complexcomplex technologiestechnologies eveneven inventioninvention maymay requirerequire teamteam ¾ InnovationInnovation requiresrequires aa networknetwork (see(see Rycroft,Rycroft, GWU,GWU, andand Kash,Kash, GMU)GMU) –– aa swarmswarm ¾ LookLook atat thethe swarmsswarms assembledassembled atat thethe RadRad LabLab

oror byby Licklider/DARPALicklider/DARPA forfor interactiveinteractive computingcomputing70 PARTPART THREETHREE -- OrganizationalOrganizational HistoryHistory ofof U.S.U.S. R&DR&D InnovationInnovation Actors:Actors:

¾¾THETHE EMERGENCEEMERGENCE OFOF THETHE DARPADARPA MODELMODEL OFOF ““CONNECTEDCONNECTED”” U.S.U.S. SCIENCESCIENCE

71 DARPADARPA ASAS AA UNIQUEUNIQUE MODELMODEL (Bonvillian,(Bonvillian, ““PowerPower PlayPlay””,, TheThe Amer.Amer. InterestInterest (Fall(Fall 2006))2006))

¾ Arguably, innovation organization is a third direct innovation factor, and noted that it operates at both the institutional level and the personal level. Unlike the other models we have discussed above, DARPA has operated at both the institutional and personal levels. ¾ Eisenhower’s initial 1957 creation ended up as a unique entity. It got around the post WW2 dismantlement of the connected science model, and end of the “Great Group” culture at the Rad Lab. ¾ DARPA becomes a bridge organization connecting these two organizational elements, unlike any other R&D entity stood up in government. 72 JCR Licklider -“Man-Machine Interface” / “Human- Computer Symbiosis”: "The hope is that in not too many years, human brains and computing machines will be coupled together very tightly, and that the resulting partnership will think as no human brain has ever thought.”-1960

73

73 JCRJCR LickliderLicklider && thethe DARPADARPA ModelModel ¾ (see discussion in: Mitchell Waldrop, Dream Machine (2001) ¾ In 1960 Licklider writes about the “Man-Machine Interface” / “Human- Computer Symbiosis”: "The hope is that in not too many years, human brains and computing machines will be coupled together very tightly, and that the resulting partnership will think as no human brain has ever thought.” ¾ By 1960 – Licklider has envisiionedoned both personal computing (as opposed to the then-dominant main-frame computing), the internet, the www, and nearly all the features we are still realizing ¾ Then Licklider goes to (D)ARPA – given job of solving Kennedy’s and MacNamara’s command and control problem ¾ Rare case of the visionary being placed in the position of vision-enabler ¾ He funds, selects, organizes and stands up the support network of talent – researchers at Univ’s and co’s – that builds personal computing and the internet ¾ DARPA under Jack Ruina, Charles Herzfeld, and even George Heilmeier back Licklider in creating the first and greatest success of the DARPA model ¾ Licklider creates a series of Great Groups – these in turn have the key features of Rad Lab, Los Alamos – Doug Englebart’s Demo, Robert Taylor at Xerox Parc 74 ElementsElements inin thethe DARPADARPA ModelModel ¾ At the Institutional level – DARPA is able to do connected science – model requires: Right to Left ¾ Revolutionary technology development - fundamental science connected through the development and prototyping stages

¾ Other ways DARPA assures connectedness: ¾ -Cook-Deegan - in the midst of the notorious Pentagon bureaucracy is a group of freewheeling technology pirates – developed ability to make connections across the DOD stovepipes ¾ -Uses funding to leverage contributions from other DOD service tech development organizations, and promote service adaptation and production ¾ -Uses other DOD entities as its agents – promotes cooperation across the stovepipes – helps assure prototypes will move into production stage where DOD will create first market

¾ Other DARPA Characteristics – affect it’s ability to operate at the Institutional and Great Group levels

75 ElementsElements ofof DARPADARPA Model,Model, ConCon’’tt ¾ Small and flexible –100/150 professionals – “100 geniuses connected by a travel agent”; ¾ Flat organization - no hierarchy, 2 levels; ¾ Substantial autonomy and freedom from bureaucratic impediments – operates outside civil service hiring and gov’t contracting rules; ¾ Technical staff drawn from world-class scientists and engineers with representation from industry, universities, government laboratories and Federally Funded Research and Development Centers (FFRDC’s); ¾ Technical staff hired or assigned for 3-5 years and rotated to assure fresh thinking and perspectives;

¾ Project based –CHALLENGE MODEL - ¾ all efforts typically 3-5 years long with strong focus on end-goals. Major technological challenges may be addressed over much longer times but only as a series of focused steps. ¾ The end of each project is the end. It may be that another project is started in the same technical area, perhaps with the same program manager and, to the outside world, this may be seen as a simple extension. For DARPA, though, it is a conscious weighing of the current opportunity and a completely fresh decision. The fact of prior investment is irrelevant; 76 ElementsElements ofof DARPADARPA Model,Model, ConCon’’tt ¾ Necessary supporting personnel (technical, contracting, administrative) are "hired" on a temporary basis to provide complete flexibility to get into and out of an area without the problems of sustaining the staff. This is by agreement with Defense or other governmental organizations (military R&D groups, National Aeronautics and Space Administration, National Science Foundation, etc.) and from System Engineering and Technical Assistance (SETA) contractors – builds collaboration and leverages help across DOD stovepipes;

¾ Program Managers (the heart of DARPA) are selected to be technically outstanding and entrepreneurial. “The best DARPA Program Managers have always been freewheeling zealots in pursuit of their goals”;

¾ Management is focused on basic stewardship of taxpayer funds but imposes little else in terms of rules. Management's job is to enable the Program Managers – empowerment model;

¾ A complete acceptance of failure if the payoff of success was high enough – high risk model for breakthrough opportunity 77 ElementsElements ofof DARPADARPA Model,Model, ConCon’’tt ¾ Oriented to Revolutionary Technology breakthroughs – Radical not Incremental Innovation – emphasis on High Risk Investment ¾ Fundamental through prototype – hands off production to services OR commercial sector

¾ Usually works on solutions to Joint Service problems – works across DOD’s stovepipes – and leverages them

¾ Typical project: ¾ $10-40m over 4 years ¾ Single DARPA Project Manager controls ¾ Other Defense R&D agency or outside contractor manages administrative side–buy in ¾ Typically combines private co’s and Univ’s, all aimed at common goal ¾ This is DARPA’s Hybrid model - univ’s/small co’s 78 HowHow healthyhealthy isis thethe DARPADARPA Model?Model? ¾ Arguably economic innovation sectors are best described as ecosystems and Marco Iansati and Roy Levien have argued (in The Keystone Advantage, Harvard Bus. Sch. Press 2005)) that within these systems are keystone firms that take on the task of sustaining the while ecosystem by connecting participants and promoting the progress of the whole system.

¾ Iansati has also argued that these innovation systems start to decline or shift elsewhere where the keystone firms cease being thought leaders and instead shift to what he calls “landlord” status. There, the landlord shifts to simply extracting value from the existing system rather than continuously attempting to renew and build the system. Does this analogy apply to DARPA?

¾ DARPA appears increasingly focused on a problem DARPA ran into the end of the Cold War and its higher levels of procurement – the breakdown of technology transition into services. DARPA has had to shift to less radical innovation and more incremental innovation, shifting investment into late stage development. So: had to cut back on breakthrough model, its historic mission. ¾ Classified/”black” programs up, hybrid model/”mindshare” down 79 SummarySummary -- PartPart ThreeThree -- DARPADARPA

¾¾ DARPADARPA operatesoperates atat BOTHBOTH thethe institutionalinstitutional andand personalpersonal levelslevels ofof innovationinnovation ¾¾ CreatesCreates ““connectedconnected sciencescience”” resolvingresolving thethe V.V. BushBush ““valleyvalley ofof deathdeath”” problemproblem StokesStokes decriesdecries ¾¾ bridgesbridges basicbasic andand appliedapplied,, RR andand D,D, usingusing thethe hybridhybrid modelmodel andand thethe leftleft--rightright modelmodel ¾¾ InnovationInnovation OrganizationOrganization isis thethe THIRDTHIRD DIRECTDIRECT INNOVATIONINNOVATION FACTORFACTOR

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Resource: Science Policy Bootcamp William Bonvillian

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