Subject: Comments on Present Policy and Guidelines on Research in the NBS Context

General Comments

My general belief is that research or science can be directed or planned in the sense of being aimed at gross national needs or documentable societal desires. If decision-making regarding the direction or planning of research is not "carried on" by the scientific and technical (S&T) community, it will occur as a byproduct of decisions made external to the S&T community. Institutions such as NBS can and should play an important part in directing their own research program.

The wide spectrum of research does not lend itself to generalized
or simplistic comments. The carrying out of research, the application
of research and the act of coping with the effects of research have
fairly equal importance to any society impacted by such research.
The translation or application of research into useful end products
or services--especially in the public sector--is a very lengthy and
not well-understood process. A public institution like the NBS does
not accomplish a completed task unless it can feel equal satisfaction
with respect to research, its application and its beneficial effects
in those scientific areas for which it has responsibility.

For a study of the type to which these comments are directed
(1.e., the NBS Visiting Committee Study of 1974-1975), research is
probably best looked at in an institutional context. Here I believe
Harvey Brooks' categorization is adequate; namely, for planning
purposes there are three institutional categories of research as

follows.

"1) Mission-oriented or non-academic research, where the term "mission" refers to an objective defined in societal rather than technical terms. The mission-oriented research establishments are vertically integrated organizations which usually span a broad range from basic research to development and even technical support of manufacturing or operations. Such organizations may be run directly by (1) Brooks, Harvey, "Can Science Be Planned," Harvard University Program on Technology and Society, Reprint No. 3, 1967.

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government or be operated under contract to government by universities, private industries, or non-profit corporate bodies, or they may be funded entirely or partially from private sources, either within industry as industrial laboratories, or as independent research institutes. Although they may conduct the most sophisticated and fundamental types of research, their purpose is primarily nonscientific; their scientific activities are a means to some other purpose of the institution. In such organizations the division among disciplines and the division between basic and applied activities is a matter primarily internal to the organization itself, within its overall funding, which depends on the social importance of its mission, its long range success in achieving its goals, and the various resources on which it can draw.

"ii) Non mission-oriented, but institutional basic research. The organization we have in mind is typically the research institute whose mission is defined primarily in scientific terms, e.g., high energy physics or molecular biology, or geophysics. Although its individual scientists may have a great deal of freedom, such an institution follows some sort of coherent program, constantly adapted to the changing frontiers in its area of interest. It is usually characterized by a much larger ratio of supporting staff to independent scientists than in the typical academic research setting discussed below. It is often but not always characterized by expensive and complex facilities requiring long advance planning. In the United States such organization has typically been created to serve the needs of academic science, and a substantial portion of its activities is under the direction of visiting scientists from universities or other institutions.

What

"iii) Academic research. This is usually small scale research carried out in academic departments by students or other short-term apprentices under the direction of senior staff who also teach. The planning required is usually short-range and the supporting staff minimal in comparison with either categories (i) or (ii) above. I have called academic research usually corresponds roughly but not completely to what is referred to as "little science" while institutional research more often involves "big science." On the other hand, both institutional and mission-oriented research may involve substantial activities which are, considered by themselves, indistinguishable from academic research."

My observations place NBS research activities as a combination of 1) Mission-oriented or non-academic research and ii) Non missionoriented but institutional basic research.

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Computer and Automation Science at NBS

In the case of the NBS computer and automation science and technology activities their features are more of the mission-oriented type of 1 in that they are "a means to some other purpose of the institution."

Further, the computer science program within NBS was erratic and rambling with little direction for the first six years after it was established as a separate entity within NBS, 1.e.. the Information Technology Division, January 1965. Service functions were emphasized in contrast to a mix of service (e.g., applications) and applied research. The appropriate mix, targetted since 1971, is just beginning to emerge with an identifiable thrust. Its success will not be estimatable for a few years yet. One major change has been the infusion of computer scientists and related scientists with Ph.D and M.A. degrees with the intent of changing the caliber and content of the research and service efforts.

Although the NBS Organic Act seems to make ample provision for NBS to engage in research related to the furtherance of its mission, there appears to have been little in the way of a conscious Bureau policy over the past half decade aimed at assuring that computer research oriented activity is accorded an appropriate priority.

It is interesting to recall that when, in 1947, the Bureau of Census, ONR, and Air Force contracted with the Bureau to supervise the construction of a full-scale computer by Eckert and Mauchly, working with Raytheon, MIT and Tufts College, the opportunity was met with enthusiasm and NBS built an interim computer, the SEAC. This occasioned a development explosion with many side projects. Research was spawned. For example, NBS research and development in computer languages led to heavy contributions to what we now know as the COBOL and ALGOL languages. In somewhat market contrast, it must now be noted that the exploratory development program element of the Bureau's "improved effectiveness of computer applications" programmatic area has been zero funded for the past three program cycles.

Specific NBS-Related Comments

While the Executive Board has, from time to time entered into some discussion as to how the research type of activity might be funded in the face of a "non-receptive" programmatic review channel, no clear policy approach for funding has emerged. One of the approaches which was discussed was that of designating some fixed percentage to be levied against all other projects, particularly OA projects, in order to create a pool of funding which could be applied at the discretion

of the Institute Directors to support creative individuals who propose promising investigations not related to on-going projects. Although this technique is probably being applied in a sporadic way in respect to some of the larger and more general OA supported fields of activity, it has not emerged as a conscious and uniformly adopted methodology. I believe we should reopen discussion on this or similar techniques of assuring funding support for research.

Equally important to funding support for research is the attitude of personnel and the climate of the environment within the organization-what I have referred to as the "research spirit." This is, of course, related and in some measure reflects, the funding support situation; it is difficult to know precisely which is the cause and the effect. Nonetheless, I think it important to recognize that unless the Bureau is successful in projecting an organizational image which includes a strong component of research, the likelihood of the Bureau attracting creative individuals who can give excellence to that research component is low. It is not obvious that the present image of the Bureau as the "core of a national measurement system" adequately projects the image of research. I believe the Bureau would be well served through a much more positive assertion of the relevance and importance of its ongoing research.