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    satae | Les communautés scientifiques » gate Du savant au chercheur entrepreneur Ua science n'est pas qu'une affire didées 00 de méthodes, elle dépend ausi beau coup du statut de ceux qui la font. Scribes, Philosophes, ingénieurs, encyelopédises, cleres, evant, scientifiques, chercheurs. szutant de figures de poreurs de savoir gui se sont succédées au fil ds temps Eta che- ‘une, on peut associer un type de conn. sence particulier. Ainsile savant ‘appari qu’au xv séce 2 domine le xv. Ine ressemble ni au ler du Moyen Age, ni & Vhumaniste de la Re- rassance. René Descartes, Blaise Pacal, Isaac Newton, Gottfied Leibniz sont ainsi Sess nies consent sutant aux mathématiques, ala physique 08 optique qu’ a piasohi Te Sen Portcur d'un savoir nouveau dans quel se ombinent une revolution concepuele (la Blosophie mésanste de la nature) etlaphi- losophie expérimentale (avec la multiplicay tion des instruments de mesure). ‘Aux sce, a Figure du savant sestompe our faire place celle du scientifique une ‘erie et du chercheur spécalsé Encore dominant au XX" siecle, Penseignant cher cheur n'est toutfois pus seu a produie du ‘sv0it Le chercheurfoetionnaire ele cher- cheur industriel appuient et hi font com- étiton. Et comme ces transformations identité suivent la transformation de la Société, notre fin de sdcle voit merger une ‘ouvelle figure: celle du chercheur entre Preneur. Voyons maintenant plus dans le ‘dil Vhistoire de ces mutations Vinvention de lenseignant heur Le sant du xvar selena pas encore \ scientifique au senso on ented ayjour. hi invention du méter de cercheur ext tardive et remonte au xx siéle. La cttation d’insttations, comme le Jardin "yal des plates médicinaes et Académie ‘Ryle des sciences de Pari, marue une date importante dans I'insttuionnalisation du ‘métcr de savant. Elle a fou a certains de 32 ards 31 Dhami 208fanventérer 200 En passant de esprit uni- versaliste du xvur siécle au scientifique contemporain lancé dans la course aux brevets, la science a subi une évolution mouvementée. En voici les principales étapes. ‘WES cincras, PETER KEATING —_ETCAMILLELiMocES Profesveurs au département dstore de Funi- vensitt du Quibec & Mental, auteurs de Ou scibe au savant. Les porter savoir, de Pan {quit bla Revolution industrielle, Put, 2000, ie Pet 00, ‘ses membres un revenu et un environnement facitant les Mais les académies Ss vouaient a avancerent des connaissances Sans Se soucier vraiment de formation. De Son oBté, "Université s'occupat de forma. tion sas y associerexpliciement la recher, chee rasan nls ‘orsque Wilhelm von Humboldt fond: V'univesté de Bertin en 180, i ese cone positon ene acadéie univers, T {1 contrite possible «de confier le eeloppement des sciences ect seules tne dels come. nt dee pase de i Coupler et d'articuler ene la recherche, ion majeure que représentat univers de Berin mallet ns auparmant, ln enécessté de its savantes en argument était ‘alent d'insrvire eli gui coniribue nex progrés des sciences», Selon hi, ene scignement exige netieté et méthode, alors «que l'avancement des sciences requient force et sagacité. Lenseignant doit avoir une connaissance égale des différentes branches de la science et le savant, pour avoir du sucets, doit au contraire en approfondir u'une seule. Université prussienne, avec ses séminaires de recherche et son diplime de doctorat (Ph.D), visait par contre explicitement lunir en une méme personne et sous un rméme toit des pratiques jusque-a incarnées ar des individus et des instnaions distiners (universté pour lenseignement et I'aca- démie ou le laboratoire de recherche privé Pour la recherche), En insituionnalisan la recherche en milicu universitaire. W, ven Humboldt langait un processus de transfor ‘mation du corps professoral qui fit naitre tune nouvelle categorie sociale, Ienseignant ‘chercheur. Alors que les savants des xvir et es dAaicnt des produits en quelque Sorte uniques, ceux du x1x sicle sont da- vantage «standardisés» et issus d'institu- tions universities (Ce début d'industraisaton de la production de chercheurs a ¢’ailleursforteent contr but i acceler la spécialisation du savoir et ce malgré l'objecti initial de préserver Vuniversalité du savoir, chére & la tadition de Tidéalisme allemand @ la base de la réforme de W. von Humboldt. Le savant britannique William Whewel obserait dja en 1834 la tendance a la séparation et au démembrement des sciences: «Le mathé- ‘maticiens‘loigne du chimisre et ce dernier hu naturalist... nie le mathémaricien et fe chimiste sinterpose le phsicien(..). Er ins, mime les simples Sciences pvsques ‘erdent toute ce dante.» C'est uilews W. Whewell qui avait invent, année pré- dente, le terme scientifique pour dérire collectivement les personnes vouges i la connaissance du monde nature et wunies au IP Congres de la British Association for the Advancement of Science. tes* de poscient, SOS ie pate NO peu enn “a c1attesl vein émdanion. 4 vanes doses des mele maa, wo France (1 Me in 0 genet ve a a rem nentivn Mistrale a sen et nna qu une alissemner™s =e mines a er te won epee Co ee nee = oe oa Sane eine : ena 3 et iL enseignement Uy an aff ye chute Jean des difficultés de former des chercheurs, ecient aege prem tt tse uae #1 Pane Pus fe marvin weme 8 nfl a ceri Ecole normale supense vrs It Sh de chercheurs, Alors que seule- tora des cplemes seernifiques £0 mice 10H et 1896 se worries Ver Ia Meperche, ce sera Je cas de 75 %5 de ces formes as cous Ge la période 1857-1903 ua 20: facts, elles ni dbtiendvont une cerae wacnome reponale qu's I fin cs Seer Des stlorres successes (i de 1825, ees 2 1996), tamulees par le doclogpe: mere nndustriel, jeu donnerort le matt Jury ee ee EXteion ey 1988 2 Vanaueat er n 1668 de !'mnstitut Pas ish de 1" une innovation ins université de mmponante pour la insututonnelie recherche Vértabie cena wre Caverd jaborsot de recherche soutenu par des Ieeoieege ou sorromtplusenrs pe eens 2mm tories 200" rerveare ali Li Rpmovcone I i Nr siens fe ee -_ -— = = = — — — om ae ee eee -—= — Craig Venter et le génome humain, I ei ee ese sec soya sate ut Mage Clg Vener pe Soren Gree ters enon fw tamale es weeps To i935 (enter #1 sas tore ron compete 8 tym Once o coe ot empioyts ont ies premert_amnencer de concert. sharma sent ma et ques 4 comple” be pet 200, 0 nt Fe tts ation de tart sequencge tu genome fe ‘194 Att wre igus arp one invente ane mithode de beste) tn pesernin foe somone yr mate byreots Yen Inte rch meee he wee coast Pe etl de unique 30 gener Himes pretctn Forsowet HM ental srs de dpe ata (on avn tens Inet egies ertis Cote 19M vee Sees mes seule tle (noc ton ta ta dea par de centgves_ We Invention hamsine) Se eran La competion iste par Nogut por br MKC Venter C Year ogre eisoane on compagnie 6¢ Exar erprames 4 map ton ¢powe tpaiement Btw leur comaton oe 228 Site ote eilguscabbper, ham 6 gaan # reece fonder s prope compe pub Mas et Qercanes ee sce: phlunthopaue «noun spuron ene eneignernent recherche es fevers des reves otenas n'est rat Elles crtent ans Je statu de chereheur tached aan aon de foemaon Re scours, 96 "9 générer des conflits eure cepeefigue ex ence cherchews dy CNRS et enseigrants pseu ens Pasrotie medeesne gine chercheurs des universités. La mise en gue, en combnant SDE cm Ble PASE 19KE de laboratoires ass00is per marche de prods mecicaun (vaccine et Tea ces dervers de profit des ressources seams) & CNRS mas paradoxalement, e déve- France, done, ls aves de echewhes _leppenen: méme de a recherche univesi- largernent concentecs hors Gu milieu tare, qu'elle verse, comme la reise npersinis «se reTOANE dans des ins en cause cyclique de existence 4u CNRS. ns specifigues come ie College de Comme I'éent Jean-Francois Picard ce France. e Mase tnacine souléwe la question ede inhi- Opservat fiton ex Ponce d'une univeité moderne. NRS Cer marian! comme dans dauures pays ensei- gnemen! et recherche » 4, ainsi que le fendaiecs Sa, a milieu des ames £0, des scientifiques comme Jacques Monet ft Ancre Licerowic. 1 aut ie gu'a0 dt da x0 sil, me Allemagne s'est tourée ves la creation crtions complétement vouees 8 ‘Crest iecas en 1911 avec la mise fur ped du Kassr Wifhelm Geselscha, fui deviendra anvés Ia Seconde Guerre tondiale ta Socité des institute Max Planck, conse de chercheurs& pen temps Sion ajoute ces inst a exes tom, aour du debut XX sce, de labo fatores de recherche cttiques ones 248 pods et mesures et & etablicsement de Tormes techniques pov les industries Comme le Piyskaich Technische Reich tantalt en Allesage e National Physical soratory en Grande rege ete Natio- ral Bureau of Standards un Etats-Unis, a ferdance& la craton d'un comps de cher: cheurefontonnares au service de fst assez claire pour que le secrétaie de Académie des siences de 'URSS puise teri en 1926, aps une visite em France, fen Allemagne et en Angleterre, ge wt fe ‘one aicle fu celui des académies et le 4 cel des univers fe 0° alla ire Je shble ces inti de recherche Les instituts de recherche ‘ot le chercheur fonctionnaire puis In Second Guerre moni, de rouvelles endanees frm. La eros tance exponentille des fonds pour la ‘echerche et es lent avec le marché ont {nt tarafer lex patiques ans les sciences physiques, pet pense au laboratoires indus rts a cours de Is premiere décennie du xx’ sicle (ATT, General Elect, Du Pon, Jet qu pren ent une veritable ampleu apres a Seconde Guerre mondiale A ces aboraoies pivés 1 ajoutent tous les organiames gouverve: merit dant les domainesstatégiques de énergie somique, de espace et des wt ommunicatons. Dans les sciences biomédicals, I'aprés: |guere vot aussi apparare de nombrewr programmes vsant 4 traduire les ests es recherches de base en connaissances ules pour la médecine clinique. Eat ext ainsi vite devens la source principale des fonds de recherche, tout comme le cher- chew foncionnaire ses rapidement hissé ‘au rang des plus importants acteurs de 'a recherche. En Angleterre, par exemple, a création du Service national de la tar 3 onné au mins de a Saat pouvoir de ‘subventionner la recherche biomédicae . ‘Aux Bzat-Us, bes insitts nation de a santé (NIH) sont rapsdement devenus les lw 1 (I hace iste Y Les communautés sciemtiFiues y Ho Seiten sees de aps es chet La course aux Unis. Economie du savoir et chercheurs entrepreneurs entrepnises Pov penere DONO engin Corse eves ont fu des te bp nature de Ua re est sou ‘a méme voie. La ia se lancer dans | sion d'entepries €” tatives et en modifi iterdisaient aux fone ercheurs) de prendre une part Ce rapide survo! des trans rd hui pus Tmuitée BUX de plusieurs PAYS France et Ie 3 fortement incite le, ot forterent in ‘sdoptant des fis inc ie riglements gM jonnaires (dont Ie5 active a des figuet monire Bien QUE or ae science PoUveN rons rca cane ch les caters recherche soe nce, Penman a pice ane ord Kei), 2 fa forsane price 4 ves consultinns 3 965 nbreuix brevet hee & Is rise au po tue. Ce qui es we Fampleur et Finstutionnaliaston de ces prtiques, qui tendent& devert ne nore tolérbe renée par Fes firmes multnat npettion ties conve es compagniee amerscanen Je ponvernernent american chercht dex i peste 6 wens po ame fran das les secteur de haute fogie, Parmi Tex moyens refers, It I ayh-Dayle, vatée en 19R0, don ths fords Frau (les universes, en be drt de famme cel de 108 Alan tweveter Teurs découvester En pernetiant & ces dabisensents de flex eneprises, on espera que les dé ‘ertesscentifiquesserwent pls rapwsemen salnisées pour enter de a nchesse 605 rrngue La To prévowat ase paae des revemus provenant de ces Neves ent Tes ‘natin detentces des rats eis che! St SSS: cet nx SnercX 6 ct propre: de bres ford rb dormaze do gerve gene gu 1 marge. correspndart & mows de de ew tae tea, Len brevets ext rent profes sort pal des eX ‘hone Is pagar ds brevets snverntaires ne rapperient& ps pba nes Li RCE et treet le deperert = le camgertemert de prombreut chercheue unvverstaices fate J ae apnts, Adel It as Sore paper Fe oe es cies sce ce et un gre en cH se te ant Ge Fae classique Bees Tammaes mere wee ls Beige ora’ do x ile Fe eee angus ont jou ae eat place ue technocience Je pe ee aun ters poets 8 ra rate gavere de sve wexle SESS medias, tat des S25 Sores entation rte vee eS peneanrn ensemble des Goce weg. DY ecu savor nouveny La asdance gins et wtonorise par rapport nx dogmes alge: tte hie une nove rep sentation de natura nate restate eningane mathe imatique): une philosophie txptmetale est depoyte hee bFosage Siosvuments tue les savant fabriqulent fooven eux-mimes Cette rtvoltion scentiigue Fest dtrouleelrgemest en deers bu cade de Univer 1 las aux mais de Fie Cetra ve ee cle est pas encore le hercheur ‘peck serve Ene ment eared Yow Ginga, Petey Keating et Camille cmos tun tr professes Prone oes seences 9 Funk verte du Quebec 3 Monta 4 FAntiquit, $0 = egypven ou babyfonien~ et a loncicenaire du savoit. ‘arvce dum phraon ou fn Sor sta ne accord donc pat Tindépendanceintellec- ‘welled phtosope grec teh (90 appar au sede avant ote eee est wn penser tnnonome power fonder 5 propre école. De mame, fet sovante> du 8 siede, dont Newton, Des- ares ge srt es pre: tapiques, se dstinguent des ers 08 des humanists qui es ont préceés. Ces hommes sont tou a ot pitsophes ae pee ies oy eed Sac ol a coup sur les connaissances i produsent Cet ce que demontre ce. io Bane) Miuag -f INNOVATION IS NOT A LINEAR PROCESS | © Stephen J. Kline An oversimplified model of the innovation process has led economists (0 argue whether research or “‘market pull’’ is central to industrial innovation, However, an improved model shows the reality—including the role of research—to be much more complex. Various communities of scholars have very different ideas about the sources of industrial innovation. but each of these ideas seems insufficient co explain the complete phenomena. When this much disparity Continues to exist among serious students of a given subject, one ought to suspect that the difficulty rests on lack of clarity in che underlying concepts and hence in the way in which questions are framed. In the case of the sources of industrial innovation, the lack of clarity seems to be based primarily on the implicit use of an inappropriate model of industrial innovation processes, specifically, on what Price and Bass (1969) called the “linear model.’ The linear model views innovation as “an orderly Process, starting with the discovery of new knowledge, ‘moving through various stages of development, and eventually emerging in 2 final viable form.” This model hhas not been made explicit 2s 2 diagramatic model in any publication the writer has been able to find. Indeed, many scholars. including Price and Bass, are quite clear that they see the linear model as far to0 simple to be adequate. However, the linear model continues to underlie the thinking in many current speeches and much writing, For example, the linear mode is implicit in the argument about technical push 2s opposed to et pull: 0 have a push or pull implies 2 process vith 2 beginning and end and some kind of direct, connection between them. The common current name for innovation processes—R&D—also implies the linear model: the phrase itself suggests 2 direct and unique path from research to development and product. This continued use of the linear model very probably arises from the fact that no other model has been available— discussions cannot proceed without talking about something Figurz | shows the words of Price and Bass in schematic, form, Several implications will be important in later comparisons. First, Figure 1 shows 2 unique, linear pathway from science through development to production and finally to marketing. Second, the flow Stephen Kline & 3 professor of mechanics} engineering and of ‘salves technologs science and society a Stanford Univers. His background includes more than 40 vears experience in research. consulting in 2 dozen indusies. and 12 years of {esearch and teaching on problems of technology and society He holes 1 B.A. and MS. from Stanford and an ScD from MIT. ail in mechanics! engineering. He isa member of the National Academy of Engineering. A more extensive version of this paper, including examples substantiating some points, is Evailzble from the author on request. of innovation i visualized as one-way process. Thied, the only initiating step is research, that is, in Price and Bass’ words, “new knowiedge.” ‘The model of Figure 1 is so oversimple and inadequate that its use must seriously distort thinking abour processes of innovation. Probably no student of Jnnovation processes believes Figure | is 2 fully adequate model. The specific nature of the d:ficulties in thinking caused by its use can be seen far more clearly by comparison with the improved mode! described in the next section, The Linked-Chain Model Based on 30.veats of consulting in the aircraft. automotive, paper, petroleum, power plant and other industeies, I want to suggest an Improved mode!—the “linked chain” model, In this model five pathways for Innovation exist. Historical experience demonstrates that all five are important. e The elements of the model. ate shown in Figure 2. Each of Figures 3 through 7 elaberstes one imporane pPathoiay for innovation processes among the ciements shown in Figure 2. The compete set of elements with the five pathways willbe called “R&D.” 1. The “Qbain-of-innovation".—The first and central pathway in the R&D matrix is shown in Figure 3. The term “innovation” is used in the sense of ecoremics, that is, as the set of actions that leads to actual adoption in practice of a device, machine, process. oF system. The chain-of-innovation most frequently star:s wih, “market finding,” that is, with an assessment of what might improve a given produc: or system, or provide a new product or system that meets an unfulfilled market (use). In the current era, this market finding is usually explicit, Expliciness is not critical the existence of a market is. This follows from the fact that. if no market (or use) exists for a product. innovation, by definition, will not occur. Innovation (unlike research or invention) 's ted from the outset to potential uses andlor potential markets. Innovation does not exist in vacuo. Consequently. innovation implies specific goals (also called design criteria, market conditions. product specifications, ec.). The existence of goals does not ‘imply that innovation is necessarily good or even desirable, it does imply’ that there has to be some use. The second clement in the chain-of innovation is (wpically either invention of what t shall [xbel “analytic | Figure 1.—The conventional “linear model’ Of the linkage of research 10 production. sine ne | ie | mE ' 1 seen | t Figure 2.—Elements of tbe "'chain-linked model” for the relationships among research, invention, innovation, and Production. Gesign."” The notion of invention is well understood. Invention is clearly defined by the patent office as new esign sufficiently different from prior art that it would not have been obvious beforchand to an individual skilied in the relevant an. For the moment, invention needs no further comment. The function of analytic design is understood by most engineers. but has no * ancard name and rarely appears in the literature of economics or discussions of research management. The concept therefore seems to need description and 9. ccamples: these folow 9 suppose one is selecting a source of power for a = task, S2¥’ 10 run a very large air-conditioning sesiem, One might select today any of the following: an eisc:ric motor, 2 gas turbine. a water turbine, 2 natural engine, 2 gasoline engine. 2 diesel. a steam turbine, OF other possibilities. The decision will be made on the basis of computations concerning the characteristics nesded for the task and the cost. In some cases, no commercial unit will fit the need well. Then analytic Sesign of the performance of several of the more likely types of engines might be made. From these analytic designs. one (or at most two) will be selected for further sesign studies and possible later manufacture. It is ‘phasized that these analytic designs are not 2 full set Cf manufacturing drawings (that is. 2 detailed design): such drawings would be far too time-consuming and costly at this stage. Rather. analytic design is only a ‘scoping. that is. calculations setting forth the major features of the machine—for example size, speed, jue characteristics, and so on. If 2 new’ machine is ‘ded. the long process of detailed design will come ey The point that needs emphasis here is not whether a new model is created by invention or an old product is mproved or selected via analytic design, but rather (Wo ther ideas. First, new models or new products do not fw directly from research: typically they Now from ‘entign of analytic design. Thus research leads 10 Product innovation only insofar 2s it stimulares 2 design vvia either invention or analytic design. Second, design is qualitatively different from research. A design is the reduction to paper (drawings) of the specific features of 2 real embodiment of a real machine. system. or device. ‘The design process is inherently inductive and creative, the process: () begins in a human miné: (i} uses a selection, creates new parts, or makes 2 choice of Process among known ideas and availabie components ‘and parts; and (il) reaches a synthesis that satisfies a set of known, present criteria (or goals) Research is usually investigative and deductive, it may also be analytic, Research may use synthesis andor induction. but often does not have preset functional criteria in the sense of design criteria (see discussion of Figures 5, 6. ~). Research typically Idealizes the processes and reduces the aumber of variables to produce data or conclusion(s) based on 2n idealized situation. A design must deal with all the important aspects of a real situation if itis to succeed, Once an analytic design is believed to meet the criteria adequately, it may be passed along the chain of . innovation to another group who: make a detailed design: manufacture prototypes; and pesform tests. These processes together are usually called development. \t needs to be emphasized. however, that development far more often than not demands alterations in the original invention or analytic design. Hence feedback among the steps is usually essentiat In practice, the various steps in development oft considerably more time and Money han the pong a research. Steiner (1982) says the assembly of a body of knowtedee : teas to be the longest. most difficult. and least understood” phase of th i _ leas undermood™ p ' tolal task in developing a ‘The steps shown in Figure 3 are th ¢ Io) i normally finds and are typical of heavy inure such 4s thote in the automotive or power-generation’ Oo es ees } 2 a -=,% & & = _ industrlen tthe production of simpler devices or of vies hat eon 3 ama vation om por models, some steps muy be jumped. nd the chain appear shorter. Ths difference in the number of steps inthe chain of novation is highls dependent on the time required for product development and the costs (© the manufacturer snd user of fllres inservice. Henge there slang variation from one indtry to another 2. Feedback Links. —Three types of feedback links essential to effective innovation are shown in Figure 4 ‘The first type of feedback is shown as circles linking the stages along the central chain-of-innovation. The knowledge developed in early stages of work along the central chain-of-innovation is usually critical to success in later stages. For this reason, some companies have 2 team of people pass through the various stages of given project until it reaches the market. In some companies, however, the work is passed from one roup to another at the interfaces along the chain-of- innovation: in this pattern of work, the feedback shown as circles on Figure 4 are particularly important. ‘The second type of feedback is shown as thin arrows beneath the chain-of-innovation on Figure 4. They indicate the improvements in a given product that arise from deficiencies discovered in service, for example, 2 replacement part in a given automobile model. The needed changes may require work in any or all of the prior stages along the chain-of.innovation. and hence arrows to each prior stage are shown. ‘The third type of feedback is shown as a heavy arrow leading back to marker-finding, This arrow indicates assessment of product utility and competitiveness that inevitably is part of the planning and design of later models or new systems. ail these kinds of feedback are normally present in modern industrial practice. Organizations that ate repeatedly successful in innovation, such as General Electric and Bell Labs. have «vpically given much ‘thought to making these feedback links work effectively 3. Connections to Research Through Knowledge. —The shied pathway in the R&D matrix is illustrated in Figures 52 and 5b. These connections to research lie outside the processes implied by the linear model, Figure |. Consequently these processes have been relatively little understood and have seldom entered public discussions of current innovation processes. (An exception is the 1984 pape: by W. G. Vincenti.) They ate. nevertheless, the normal. common connection between the chain-of- Innovation and research. To understand these Connections. itis necessary to be clear on the usage intended for the word “science” and its relation to the sectors labeled “research” and “knowledge” in Figure 2. 1 take science to denote: “The discovery, creation, verification, organization, storage, and dissemination of truth assertions about physical and biological nature "= Under this definition, science includes much of the content of the two layers labeled resezrch and knowledge in Figure 2. It also includes such activities as scientific education and the nrganization and socialization of professional scientists, - Conversely. research as we understand it includes elements beyond science in the sense just defined. While much industrial research is science in the sense of this definition, we shall also need co consider other forms, including systems research, research on. Processes. and research in organization of production or ‘quality of product. The various forms of research that ‘elate t© production lie at two places in the diagram of Figure 2 In the present model, research which is also science (under the definition above) lies primarily in the two top layers of Figure 2. Research is 3 process, of more precisely, many processes. Research is not in itself knowledge. although it produces knowledge. Knowledge 's not and cannot be a process; knowledge is 3 property—a kind of quantity that exists and can usually be stored for future use. Processes are actions running through time and cannot be stczed. For this reason, Figure 2 shows two layers lying next to the central chain of innovation—research and knowledge. The wo layers together constitute a central part of what we usually call “pure science.” The layer labeled knowledge is purposely placed between research and the elements ia the chain-of-innovation because knowledge intermediates between research and the Processes of the central chain-of.inno¥ation. This intermediation must be firmly grasped and constantly remembered if clear understanding is t0 be obtained concerning the principal connections of research 20 innovation, Figure 5a shows the common type of linkages bern’ invention. knowledge, and research. Suppose | am inventing a fuel system for an automobile engine in which I hope to reduce production of pollutants. { shall need to understand the interaction of mixing processes in turbulent low and droplets of liquid gasoline. Since | luck enough knowledge about that problem to Aily analyze the system 1 am thinking about. I shall do 2 Uterature search. 1 shall find, in this ease. that the {erature is inadequate for my purposes. Next I shalt talk with leading experts. In this case | would find chat they also do not have enough information. At this Point, a call for potential research is activated. If the fesearch is successful and the results come to hand, some years later. we shall publish the findings. and we Fig others will begin to use them to design improved {uel systems and in other inventive situations vy well These processes are Ulustrated by the li Qe shall circles in Figure Sa. The Rest nep ea cae knowledge | linking the process of invention to the small Sircle labeled “K™ in the knowledge sector. If that provides the necessary data (or theory, or concepis), the information ie taken back into the inventive ‘OF design process and used. This Treen link is labeled tine 2 in Figure 5s. tft do not find Le needed information in any of the rarlous soe ene knowledge. then 1 may activate research; this link is the line labeled 3 from the ciccle “k"" to the circle “R™ in. igere 5a. The return line from research, somé years ence, isthe line marked 4 in Figure Sa. very similar set of connections exists for the rocesses Called detailed design, test, and production. “hese connections are shown in Figure 3. In each ase, ®¢ first call on the cumulated human knowledge ‘solve problems. In each case, this call on knowledge tends (0 highlight outstanding problems or gaps in rollective human knowledge bout physical and diological behavior. Thus. the questions that are thrown. ‘ap by the processes of invention, analytic design, Seraled design. failure in testing, oF difficulties in production processes in effect define research problems. These problems are by definition applied, they arise from concern with present or future products for use. However. this does not mean the research generated sill necessarily be less long-range, less significant, of less fundamental than what is called ” pure” research. A significant fraction of the most important advances science and in mathematics arose historically from consideration of very practical problems. Four examples make the point clear: © The fist derivation of the Second Law of ‘Thermodynamics in the 1820s by Sadi Carnot was an explicit result of Carnor’s recognition that. while steam engines were rapidly changing the societies of Great Britain and Western Europe in fundamental. important ays, no one understood the limits on the efficiency 6f such engines. © Edison paid a mathematician to work out the mathematics of the parallel circuit as pa of his development of electric lighting systems. because without that theory the system would have been far too expensive. and demanded far too much copper. © The genesis of the field of mathematics now called “asymptotic perturbation theory” was a paper by Ludwig Prandd in 1904 in the course of providing a ditect solution for important problems in the aerodynamics of wings and other related applications. © The first work in probability theory was done by the Marquis de Laplace, who was concerned with calculation of odds in gambling games. These examples make clear that the imporcance of research is not highly correlated with its “purity.” A distinction that is important, however. is whether the research is long-range or short-range. since typically industry is more effective on short-range and universities on long-range problems. See Kline (1972) 11 is important to note the types of research connecting the different stages in the chain-of-innovation to research and knowledge. Invention often gives tise to problems in what we usually call long-range science, Detailed design and testing more often give rise to what 1s ofien called "systems research.” but may’ also give rise 10 long-range science. Production (and therefore also design for production) on the physical side gives rise 10 what is usually called “process research,” that i, on the ways that physical processes can be altered 10, improve the quality of products or the efficiency of Process research is often the most effective type of research in producing rapid effects on corporate profits. production for a given quality of product. Product of process failure gives rise to any of all of chese forms of research Process research. whether on the physical or social aspects or both, is often the most effective type of research in producing rapid effects on corporate profs, because improvements immediately affect competitive position and profit margin. Moreover, process research is the central type of research for any industry concerned with the production of materials. ‘The physical researches arising from invention, design, testing, production or product failure are typically much like physical or biological science. What is usually called market research is aso important, but is 2 type of work 0 different, qualitatively. that links to research are not shown in Figure Sb, to 2void confusion. Finally, in connection with the links shown in Figure 5b, we need to note tnat any information disclosed by ‘such researches adds to our stock of knowledge. and, provided only that it is disclosed (rather than held as trade secrets, it adds to the cumulative knowledge of the human race and can be used on che next set of problems, as noted in the example about turbulent Combustion given above. The example appears to generalize. 4. Direct Connections between Research and Jnnovation.—In addition to the connections shown in Figure 5b, there is an important, direct pathway between scientific research and the chain-of-innovation. However, this pathway is significantly different in two ‘ay from the processes implied by the linear model of Figure 1. First, the link from scienific research to development Seldom can be immediate: it must almost alwars pass through invention, One cannot devsiop what has not been designed and built. Design demands the mental Creation of 2 specific product, an embodiment in hardware. Scientific research does not usually produce such an embodiment. Hence an intermediate, inventive Step Is usually necessary; however, this step is usually ‘omitted inthe linear model Second, the connection to invention is a two-way sireet. This applies 10 the direct link as well a5 the link through knowledge discussed in connection with Figure $3, Figure 6 accordingly shows a two-way arrow connecting research to invention. The two-way arrow indicates not ‘only that longerange science creates opportunities for | Figure 3—The central chain-of-innovation in chainclinked model: pathway | Figure 4.—Feedback links in tbe chain-of- innovation: chain-linked model: patbuay 2 i in ' ' | one es sears cairn my matin | | fue Lancet an “ =| ovmict | Figure Sa.—Connections of knowledge and research to invention, chain-inked model pa:buay 3 (in part) Ee ve) Figure 6 —Direct connections between research and innovation, chain-linked model: paibway 4 new products, but also that perceived needs, oF possible market advantages, can stimulate important researches. Such research need not necessarily be any Jess long-range or fundamental because it arises from 2 need that was recognized in advance, as already noted. 5. Direct Connections berween Products and Research.—The fifth and final pathway in the R&D matrix is from market to long-range research. This pathway can be seen a8 a direct connection, of 25 tracing back chrough marker finding, 2s shown by the 40° two arrows on Figure 7 marked I, and ly. Today many Figure $b —Connections of knowledge to # {full chain-of-innovation, chain-linked model: paibway 3. Figure 7.—Connections beticeen market and. research, chainlinked model: pa:hway 5. ‘government agencies and large corporations continually 33k the question. “What areas of long-range research are likely to potentiate inventions and hence new products, (or to suggest advances in the quality or performance of old products?” Thus market factors or military needs ‘can stimulate long-range research. An example is the development in the Bell system of the transistor (25 2 Tesult of known long-range system needs for a solid- ‘state amplifier). Current emphasis in some gorernment ‘agencies and in the auto companies on long-range esearch in rurbulent combustion is motivated by well- known design and performance problems in jet engines sad auto ngines, respeciively caamples exist, Asecond important. qualitatively different link also casts between market products and research. The production of new instruments, tools. and processes has in many instances made possible new forms of research Galileo's foundation work in astronomy became possible only after the telescope became available. Pasteut’s discovery of microbes awaited the microscope. In the past decade, the procedures and ‘equipment for radioactive dating have allowed major gavances in understanding the evolutionary origins of homo sapiens. Many other examples are given by Ge Solla Price (1984). who sees the development-of such new instruments and processes as often “determining what 62s discovered. Numerous other sven this paper by de Solla Price does not put the case sicongly enough. Most of what we now call “advances in science” depend as much on modern sociotectinical systems 28 on prior science. A large fraction of the work requires modern tools, components, computers, techniques. etc. In some cases it aso requires the infrastructure of the lage laboratory. Indeed, the modern research laboratory would be impossible ‘rithout modern sociotechnical systems—both the technical and the social parts For these reasons, the dependence of science on technology is shown a5 a separate link marked "S” on Figure ~. The Support For Science link (5) follow’ the same route a5 the Initiation of Science link (1s) in Figure “. bur the two links represent quatzatively differes: functions. The new science, accumulated with the ai of the link 5, will afer some time. aid in further technological innovaiion. Thus science and technology continuous’: assist each other though multiple links along the chain ofinnovation. The lincar mode! of Figure 1 creates not one but many significant disiorsions of the reali T.dy not want ¢0 leave the impression that the link from market is the only major source of long-range research. Long-range research, as science, has always had (wo maior. :denifiable sources and motivations: the desi tw solve problems in the real world imacset) and the state of science itself. the questions thrown up by the existing siate of data. concepis. theories. discussion and debate. Ofien these operate simultaneously. Few large scale human acuvities are singly motivated. To sur: up this portion of the discussion. all five pathways are important: no one pathaay describes all the sources of innovation of all the necessary functions for successful R&D in industrial societies. Moreover. We shoule aot overlook the fact that imporant innovations eed inaividuals with vision, knowledge. influence. and much persisience—individuals Schon appropriately calls ‘champume” (1969), Cees the insiutiunal culture jeast cundanes such champions. important innuvations| ill rarely, if ever. accur. This point is elaborated very + effectively hy Peters and Waterman (1982, Some L plications of the Chain-Linked Mode! 1. The Bases of Innovation. —While research in the physical and biological sciences has had an enormous impact on human societies and human life styles. we have seen that research is not the direct source of innovations. and that much innovation proceeds with litle of no input from current research. This seeming paradox is easily resolved, once we see clearly the telation of research an knowiedge 19 innovation, 38 illustrated in the chain-linked model of R&D processes. Referring again to Figure 5b, we observe that the primary input, and the first line of reference. for | innovation processes everywhere along central chain-of- innovation is not research but the loiaitt of cumulated buman knowledge. Moreover. the relation between | research and the totality of cumulated human kkriowledge is an integral one. Each bit of research adds ‘tiny increment to the totality of human knowledge. To put this in a metaphor, the totality of human knowledge is like the toral stock of human hous research i like this year’s addition to our housing one wculd expect us to réplace all our housing this year. However. the linear model of Figure | implies that ‘we replace our cumulated knowledge with this year's rescaren ouiput whenever we begin innovation. This implication is probably the most imporvant cause of | confusion resulting from implicit use of the linear model of Figure 1 to think about innovation. Some further comment is therefore appropriate. : sos woten ein pron begnings skin | finovaion wl aot ch fs ro fexench On the ora ne tur fs to the current sate of he Su nen petsonal knowlege about he goveming princi ef he fel. afer tatone goes othe | Treat consults colleagues, calli leding experts Onis hen a tax does for sufce dost one sar cess Foe en an inovalon pes we now unthinkable without the vast accumulated storehouse of knowledge atained by several centuries of ork by many the appropriate fields of research. | Over the past ewo centuries, this curnulation of knowisdge about physical and biologic! nature has proviced the human race with an ineease o! anv orders of magnitude in insight into ptsical ane biologes! nature. Furthermore, we Rave usee this tcbed ind nceaing moticageso cot ee | our sock of tools, instruments. machines. and processes and to build increasingly powerful sociiechaica systems The result isan deelerated increase inthe | capably of human sociotechnical systems that began about 130. and i stl continuing. This acceleration has been documented quantitatively By Lienhard (19°9) and also by Kline 119°"), using somewha: diferent methods. In many instances. this peer of hu increased mure than 3 milion times during this pera sie pomee comm aem ote nr be slowing down in an overall sense Given these ideas, itis example: SUCHE 16 cunsider an the fet engine ts devign und manbfacrure 17 would be equally unthinikabie without these powerful systems, including special manufacturing processes, advanced materials. and skilled, cooperating workmen. ‘The same remarks apply to many modern systems, such 425 automobiles, air-conditioners, petroleum refineries, 3, steel mills, electric power systems and the Aces they power, and so on. In all these cases and many more, it would be infeasible and unthinkable to design these systems without the foundations of the total cumulated human knowledge of mechanics, electromagnetism, thermodynamics, quantum mechanics, etc. Furthermore, it would be equally infeasible and unthinkable to manufacture or operate them without the cumulated power of modern sociotechnical syste It is the combination of the increased understanding and the increased power of human sociotechnical systems of many kinds that we now bring to bear on inovation, and that has accelerated the processes of change ‘The ideas expressed in this section were directly borne out in project “HINDSIGHT ” In that project. the input of research was traced back 20 years, but this ume period was found to be seriously insufficient. many of the inputs traced back much further in time 10 the foundations of the underlying subjects, at was later shown in project "TRACES." This is precisely what must be expected from the discussion of this section What, then, is the message about research and Innovation? First, research is critical It isthe primary tool We Use (0 create our storehouse of cumulated knowledge. but it is the cumulated knowledge and the systems built from that knowledge that peovice the primary direct inputs to current innovation. It is only’ When that storehouse of knowledge and current sysiems i insufficient that We turn to the much more expensive and much slower process of research for direct solutions to problems in innovation, emphasize the words “much slower” because the matter of time scales is very imporrant, Since we cannot expect the output of this year's research to add a major fraction to our total stock of cumulated knowledge, we should act expect current research t0 affect this vear's innovation greatly. On the other hand. we should. expect this decade's research t0 affect the results of innovation in the 1990s and beyond very strongly. That is what husiory tells us, and that is what many observers, have documented. The time scale of completion of innovation based on new research is about 3 decade. See, for example Steiner (1982); see also Kline (1972). knowledge and powe: of human sociotechnical systems ng the Output OF this year's research has caused serious troubles in US. RAD systems. More than one barge corporation, apparently acting on the implications of che linear mocel. established large research laboratories fp the expeciation that they would produce important Over Short time spans. When this development did not occur within a few years, the laboratories were dismantled. 2. Undercatuation of Process and System Research —As aleads noted, systems reseatch isthe major component of research associated sith the t development step inthe central chain of.ienovation of Figures $=": process research plays 2 similar role for production activity. To be concrete, a very large portion ofthe sork in the space program tas Deen ystems research, including validation of componenes and coordination of very complex activities. The only kind of eifecve research that bears directly on any industry producing materials, eather than products, is process research. However che linear model of R&D shown in Figure 1 has no place for either system or process research; the model excludes them by implication. As a result system and process researches appear to have had ess attention ‘within the cotal U.S. R&D system than they deserve, in several says. Firs, they have not often been explicitly discussed or considered in national discussions about science policy.” Hence, research funding has not favored these areas, and the science policy advice to the Congress has not made sufficiently clear the complete fesult uctsernay research, which does what can Be funded. has negiected process and systems research, relative to the other areas. This neglect has, in turn, reduced ine numbers of new, educated, technical ‘workers sho appreciate the value of these areas and are tained it shem Since sy ses research is essential to reliable perforrarce of products and any gain in process ‘ectiveness is quite rapidly reflected on che + of corporate financial statements, we shoule ‘porate managers to continue these activities— y have. AS one reviewer of this paper poinied out. most of the advances in the process and ‘materials industries in the past century are ditect results of research on and cumulated knowledge concerning, process functions. Despite this fact, appreciable istortion of che system does seem to have occurred from use of the linear model of Figure |. An important and rather clear example of this neglect chat has become ‘apparent in the last few years is the neglect of the US machine-ool industry, which is fundamental co advances in processes in most other industries. Few universities have offered classes or done research in this tea. Innovation appears to have slowed to the point of ational concern, a8 a recent report sponsored by the National Academy of Engineering makes clear. Reconsideration of policy regarding research funcing and education in process and systems research seems needed. 3. The Roie of intention —invention is an imponant @ initiating activity in the centsal chain-ofinnovation. Jewkes €: al (1966), in 2 study of many cases. conclude that invention was sil an importane source of innovation in the decace following World War If Burton Klein, 2 long-time student of the subject. *0¢ = {Brvy agrees. bu. reaches a mu Wein (1977) savs stronger conclusion. FWeere do the discoveries come frum 10 make nes S-shaped “aves? Assuming that the indir, bas already reocbed tbe ag Of slow bisiory. the advance: will seidom come from “major firms inthe industry In fac. of some [ifs tmtentions— mos! Of which were included inte Jewtes. Severs and Sullerman siudy—that resulted in new Sabeped curves in relavively static industries. 1 could find no case im which tbe favance in question came from @ major firm in ibe indusiry ln some cases (Bessemer Siew. ite fecinc se! process jet enjine:. the Polaroid Land Cares, toe inventions came Jrom newly established firms ir aise: tbe Diese! locomotive ‘pribeiic fibers. compulerized machine !00ls) tbe inventions ame rom firms in other indusiriez + from universities, other words. a1 long a1 organizations remain bg {dynamic tbe; can produce @ tenes of important adi ances— for example es bave been produced by Beli Teepoone Laboratories. But once firms in an industry become tiatie, the discoveries will come from newcomers Every toe process of going from « dynamic to @ Herc organization i: bipby Irveversiole, Jor otherwise firms tbat bed remained static for @ period of years could bave made mejor discoveries Thus Kle! sees individual inventors as playing a critical tole in industries that have reached a stage of “slow history." which he defines 2: the upper part of a major Sccurve of growth. It is important ro note that Klein does not make this assertion about all industries. he specifically notes that some large organizations. for example Bell Labs, have conunued to make important Innovative advances for long periods of time This ts ruc of a number of institutions, including General ° Electric, Hewlett-Packard, and 5M for example At the same time, the status of invention and inventors has deen very low in the LS when compared ® of research workers, ai leas: since orld War A researcher is seen as aman ina While Coat, Working kn a laboratory, and producing important results An inventor is seen a8 a crank who disturbs the social equilibrium and produces litle, if anything, that useful, This relazive status has been clearly reflected in. Research Management 4 word count of the utles of all articles in Research Management for the periog 1975-80 reveals that the ‘Word “research” occurs 29° times: “development.” 203 times: “invention,”” 3 times: and “inventors” 4 times. Such 2 title count is only 2 rough measure of status, but the count is $0 lopsidec that the low status of invention is quite clear witlir eniors continue to play an important role in the future? All the 30-odd commentators on the first draft of this paper who discussed the issue believed that they would T 2 has had the privilege of reading ten patent applications by M. R. Showalter. an independent Snalytic innovator (inventor), al or the subject of lubrication and friction reduction | am as sure as One can be at an early stage that these patents will have a mayor impact on automotive engines. machine tools, ané many other applications. They solve some very oid problems and create new advances. Moreover. they Scre nox anticipated by enginests in the industries™ invalved. 0 searches showed remarkably little earlier work o 1 these problems, despite the fact that most of the solutions are clever adaptations of knowledge created by research and clearly recorded in texts and Handbooks, such as Fuller (1956) and the Standard Handbook of Lubrication Engineering (1969). Showalter has also filed patents that involve ideas on ‘mixing in turbulent Muics. In my opinion. Showalter's ideas on mixing are far ahead of the research community at this time. and curbulent fluid mechanics hhas been one of my special areas of expertise for more than two decades. 1 expect t0 see other important ideas ‘emerge from Showalter’s work. The day'of the independent innovator is certainly not passed. We should expect to continue to see important innovations Created bv able, independent. technical y trained individuals. since they sometimes bring the detachment ‘about 2 problem that is lacking in the current common ssaon Moreover. invention is not a Jow-brow activity. It is very demanding, intellectual work. In addition, successful invention requires careful attention to detalls of hardware, manufacturing techniques, and cost control that long-range research often does not. Successful invention in the late 20th century will often. demand more theoretical knowledge than in earliec umes. Dut that does not alter the preceding remarks in this section. eather, it reinforces them. 4, The Role of “Design’” —In order to understand innovation in industrial societies, Its Important to realize chat much analyvical design and also detailed esign is instirutionalized invention. A large fraction of engineers get paid (o cteate the new. The engineering I groups in some companies and indusiries have been Nery innovative, repeatedly. for long periods of time; see for example Mower; (1981) or Peters and Waterman <° I There i an extensive literature created by “engineering

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