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Research Policy 32 (2003) 909–922

On the uneven evolution of human know-how


Richard R. Nelson∗
International Affairs Building School of International and Public, Columbia University,
420 W. 118th Street, New York, NY 10027, USA
Received 9 October 2001; received in revised form 30 June 2002; accepted 8 July 2002

Abstract
It long has been understood that the advance of technology, know-how more broadly, has been the wellspring of economic
progress. It has been less well recognized that the advance of human know-how has been extremely uneven, very rapid
and cumulatively great in some fields, like communications and computation, and quite limited in other fields, like house
building and education. This paper begins to explore the reasons for this unevenness. At one level an important reason is that
the sciences behind various technologies have advanced unevenly, but this only pushes the question back a stage; why the
unevenness of scientific advance? The paper makes use of a comparison between medicine and education to make many of
its points.
© 2002 Elsevier Science B.V. All rights reserved.
Keywords: Evolution; Human; Know-how

1. Introduction pin-making example with which he begins his great


book.
Economists have long recognized the advance of I am using the term “know-how” here to denote
human know-how as the central driving force behind the wide range of techniques and understandings hu-
the remarkable increases in living standards that have man societies have acquired over the years that en-
been achieved over the past two centuries. Contem- able them to meet their wants. In my use of the term,
porary scholars tend to attribute this understanding to it encompasses “technology”, but includes more than
the work of Solow (1957) and other economists work- that latter term customarily is assumed to cover. One
ing with the new National Product account data in of the principal purposes of this essay is to analyze
the years after World War II. However, these studies the nature of human know-how, and how it has been
are best regarded as providing supporting quantitative acquired.
evidence for something that sophisticated economists While the remarkable advances in know-how are
have known for a long time. Thus, writing during the widely recognized, less attention has been paid to the
first industrial revolution, Smith (1776) clearly under- fact that the advance of effective know-how has been
stood and highlighted the key role of technological extremely uneven across different economic sectors
advance in lifting The Wealth of Nations; recall the and classes of human needs. Some areas of human
know-how today are extraordinarily powerful; con-
sider modern information and computation technolo-
∗ Fax: +1-212-864-4847. gies, or certain fields of modern medicine. On the other
E-mail address: rrn2@columbia.edu (R.R. Nelson). hand, certain human illnesses have defied continuing

0048-7333/02/$ – see front matter © 2002 Elsevier Science B.V. All rights reserved.
PII: S 0 0 4 8 - 7 3 3 3 ( 0 2 ) 0 0 0 9 3 - 8
910 R.R. Nelson / Research Policy 32 (2003) 909–922

efforts to deal with them better. Breast cancers remain 2. The nature of human know-how
a major scourge. And many broad areas of human ac-
tivity have seen little progress in know-how. It is not Many of the important characteristics of human
clear that our ability to educate children has advanced know-how, characteristics that are important to have
much over the last century. Despite a lot of huffing at in mind in reflecting on how know-how advances, and
business schools and in books on management, there what makes the advance of know-how difficult in cer-
does not seem to have been much improvement over tain areas, can be brought into view by considering
the years in management know-how. Why? a particular example of modern advanced know-how:
I offer here a very preliminary exploration of this the performance of a surgery on a human heart. In
important puzzle, which will be divided into three the first place, it is important to recognize the variety
parts. First, as I suggested above, it seems important of particular skills involved, and that effective perfor-
to try to get a grip on the nature of modern human mance is a group achievement.
know-how. What are its aspects, and how is it orga- Thus, the surgeon, who generally is thought of as
nized? Where is it “located” and how is it applied? I the key actor, has command over a certain body of
shall argue that human-know is multifaceted and var- practice. So does the anesthesiologist. To a consider-
iegated, and stored in different places and forms. Some able extent these bodies of practice are different. On
of it is of the form often thought of as engineering the other hand, each actor knows “about” the skills
product or process design, relatively well articulated of the other. Also, in the performance of an operation
“how it is done” knowledge. However, much is em- there will be a number of assistants involved who have
bodied in particular human skills, as contrasted with command over certain skills. Some, but not all, of what
“blueprint like” know-how. Some involves sophisti- they do could be done by the surgeon or the anesthe-
cated understanding of why practice works; some sim- siologist, but it is far less costly to delegate relatively
ply understanding from experience that a practice does simple tasks to less highly trained and paid people. In
work. And an important part of know-how is knowing general, the surgeon serves as orchestra conductor, as
how to tap into, and coordinate, the various capabili- well as key player in the operation. However, all the
ties and efforts that need to be brought together to do players know at least the broad outlines of the overall
a job. operation, and the details of their own roles in it. In
Second, there is the basic question of how humans general, a successful operation requires that all of the
achieved the tremendously broad and effective body roles be performed effectively, and in effective tune
of know-how that we have achieved. I (in accord with with each other.
many other scholars of technological advance) will In the case of heart surgery, like in most modern
propose that cumulative advance of know-how must technologies, much of the technique is embodied in
be understood as a process of “cultural” learning or specialized apparatus, substances, and other artifacts.
evolution. That cultural evolutionary process, in turn, The anesthesiologist works with various substances
involves the coevolution of technique and understand- that have been found to be effective, with pieces of
ing. In recent times, a good part of that understanding apparatus that deliver those substances, and with a
has been associated with a field of science or an engi- variety of dials and other measuring instruments that
neering discipline. enable him or her to monitor what is going on. And
Third, once one recognizes the extremely unbal- the surgeon, of course, also works with a complex of
anced nature of what we have achieved, it is appar- materials and instruments. The embodiment of key
ent that our cultural learning or evolution system aspects of the techniques involved in specialized arti-
works much better in certain arenas than in others. In facts should be understood as an extension of the team
Section 4, I explore the factors that might explain this. nature of know-how. Clearly much of that know-how
Section 5 is concerned with education as a special is “upstream” from the locus of immediate action.
case. In the concluding section, I reflect on some of Another central characteristic of effective know-how
the consequences, if I am correct about the key rea- is that it involves both a body of practice or tech-
sons why certain areas of know-how are very difficult nique, and a body of understanding. Behind the
to advance. surgeon’s command of skilled practice, and the
R.R. Nelson / Research Policy 32 (2003) 909–922 911

anesthesiologist’s, lies a broader body of understand- that would enable another doctor to obtain and use
ing involving the human body, of what is involved in it. On the other hand, the surgeon may see and un-
the procedures being employed and the conditions of derstand that something is not going quite right with
success and failure, and of the various substances and the operation, and not be able to explain in words
instruments being used. When things are going rou- just what he or she sees, or why that seems to signal
tinely, that broader body of understanding never may trouble.
be invoked consciously. But it may play a very im- But language, and the ability to lay out know-how
portant role in holding skilled performance in place, in language, clearly is very important in making
being invoked unconsciously to prevent deviations know-how broadly available—an element of culture,
that could undermine effectiveness or court trouble. as it were. The know-how of the surgeon and the
And from time to time, in particular when something anesthesiologist is cultural in the sense that much of
is seen or occurs that is not quite what is expected, what they know also is known by other surgeons and
conscious thinking tapping that body of understanding physicians, who have gone through similar training
may be essential to effective performance. programs, use the same equipment, read the same
Ever since Polanyi (1958) pointed it out, schol- journals, attend the same conferences. There are vari-
ars have recognized that some of human know-how ous mechanisms that facilitate, or even force, sharing
is “articulated,” in the sense that it can be described of information among anesthesiologists. I do not mean
and communicated in some form of language, or other to play down here the tacit aspects of learned skills,
symbolic system, while other aspects are “tacit”. Thus, which may lie behind very great differences in effec-
a good portion of the specialized know-how of the tive performance, or the efforts of some professionals
surgeon and the anesthesiologist can control the work to keep certain aspects of their technique and under-
of their fingers, but may not be easily explainable in standing privy. But a striking aspect of most broadly
words or other symbols to others, even to other physi- important bodies of technique and understanding is
cians, who however perhaps can learn by watching that they are broadly shared.
and trying to imitate. But other parts of their relevant On the other hand, it is clear that the overall
know-how can be expressed in a way that can be un- know-how needed to perform complex tasks often is
derstood, at least by other professionals with the same very divided. I have highlighted the separate bodies of
background of tacit knowledge. practice and understanding possessed by the surgeon,
These articulated parts of know-how often are writ- and the anesthesiologist. In turn, the anesthesiologist
ten up in texts and treatises. Studying these may be may know how to make his equipment work, but little
an essential, if not sufficient, part of the way that about how to produce or design that equipment. Peo-
pre-meds become doctors. And experienced doctors ple at the company that sold the machine may know
will go to the journals, or the Internet, to find out what those things, but no one at that company may know
is new, and sometimes to refresh their own knowl- all of it. Reflect on whether anybody, or any small
edge. Like extant equipment and materials, texts and group, at Boeing Aircraft Company “knows how” to
libraries provide storage for know-how outside of in- produce, or design, a modern aircraft, including the
dividual human minds. essential “details”.
While it seems natural to associate “tacit” with the Because overall know-how is divided and widely
practice or technique aspect of know-how, and articu- distributed among different individuals and groups, to
lated with the understanding aspect, I do not think the be effective know-how needs to be brought together
mapping is all that neat. Although it is clear that much and coordinated. For that reason, an extremely impor-
of “technique” is tacit, a cake recipe, or a blueprint, is tant part of know-how is knowledge of the elements
all “technique,” but to a considerable extent is laid out that are needed, and of how to coordinate, and man-
and articulated on paper. Also, a considerable amount age their combined operation. Much of the know-how
of technique is embodied in the artifacts used, and possessed by the chief engineer at Boeing is of this
while the anesthesiologist may not be able to explain sort.
just how his apparatus works, he almost certainly In another paper, Sampat and I used the term
can identify it by name and explain its use in a way “social” technologies to describe this latter kind of
912 R.R. Nelson / Research Policy 32 (2003) 909–922

know-how, and differentiated social technologies from know-how systems need to be understood as having
physical technologies, a term we used to denote what evolved, in a sense I now will elaborate.
engineers generally mean by technology (Nelson and
Sampat, 2001). Under the standard conception, phys-
ical technologies are recipe or blueprint-like, charac- 3. The coevolution of technique and
terizing what is to be done, including designation of understanding
the particular operations (which may require highly
developed skills) and (in some cases quite special- Scholars of technological advance, from a wide va-
ized) materials involved, but do not speak to how the riety of disciplines, have converged on the proposition
work is to be divided and coordinated. In contrast, that technological advance proceeds through an evo-
what I call social technologies are associated with ef- lutionary process (see for example Constant, 1980;
fective structures of division of labor, and procedures Nelson and Winter, 1982; Basalla, 1988; Dosi, 1988;
for task coordination, and management. Vincenti, 1990; Mokyr, 1990; Petroski, 1992; Saviotti,
As with practice and understanding, and tacit and 1991; Metcalfe, 1998; Ziman, 2000; Nelson and
articulated know-how, the physical and social aspects Nelson, 2002). The process is evolutionary in the
of technologies often are intimately intertwined. Con- sense that at any time there generally are a wide va-
sider the famous Ford mass-production line for Model riety of efforts going on to advance of technology,
T cars, or the Toyota method of “lean manufacture”. which to some extent are in competition with each
These involve both a set of sequenced physical actions other, as well as with prevailing practice. The winners
taken by the parties to the process, and a division of la- and losers in this competition are determined through
bor and a coordinating mechanism so that the actions an ex-post selection process.
taken by the particular parties ultimately add up to a However, the proposition that technology evolves
finished automobile. Or reflect on the heart surgery in the above sense in no way denies, or plays down,
example that I gave at the start of this section. Again, the often extremely powerful body of understanding
one sees a complex mix of physical technologies in- and technique used to guide their efforts, at least in
volved, employed by a team in which each member modern times, by those who seek to advance it. Thus,
must do assigned tasks in harmony with what others Vincenti’s (1990) discussion of what is involved in
are doing. inventing, and problem solving, in aircraft design
I propose that the human know-how involved in get- stresses the scientific knowledge, and the professional
ting complex things done generally involves this mix- experience and technique, that is employed. He pro-
ture of understanding and practice, of articulated and vides an extensive catalog of the kinds of complex
tacit knowledge, of physical and social technologies, knowledge that modern aeronautical engineers pos-
that I have described in the particular case of heart sess, and discusses in detail how this body of knowl-
surgery. The analysis of how automobiles are pro- edge guides their efforts at design. Included centrally
duced by Womack et al. (1990) involves a similar mix in his story is the body of testing technique and appa-
of ingredients. Hutchins (1996) describes what is in- ratus that designers can use that provides them with
volved in navigating a ship in much the same way that information regarding how proposed configurations
I have described heart surgery, and uses that example and problem solutions likely will work in practice,
as a vehicle for illuminating collective “cognition”. which can be employed without going to an actual
Bucciarelli (1994) has arrived at a similar conception full scale test.
in his analysis of what it means to know “how your However, Vincenti, along with other scholars who
telephone works”. propose that technological advance is an evolutionary
These kinds of know-how systems have been process, argues (and provides the documentation for
brought into place, and develop further, through the the argument) that efforts at inventing and techno-
cumulative actions of many individuals and orga- logical problem-solving almost always reach beyond
nizations who have particular objectives in mind. the range of options that are perfectly understood,
However, the overall system cannot be regarded or which can be reliably tested, short of full scale
meaningfully as having been planned. Rather, our operation in the actual practical environment, and in
R.R. Nelson / Research Policy 32 (2003) 909–922 913

that sense are somewhat “blind”. Therefore, to a con- The advance of understanding, however, is largely the
siderable extent what works and what does not, and mission of universities and public laboratories (see
what works better than what, must be learned through Rosenberg and Nelson, 1994).
actual experience and actual competition. Indeed, at the present time, the lion’s share of re-
Most scholars of technological advance also are search going on in American universities is in fields
united by their insistence that the process needs to be with names like “material science,” computer sci-
understood as “cultural” in the sense, first, that much ence, electrical engineering, pathology, etc. In today’s
of the background knowledge needed for inventing is world, science is useful to inventing not so much
widely held, and second, that anyone attempting to ad- because of serendipity, but because many fields of
vance a technology almost always is standing on “the modern science are designed to help clear the path for
shoulders of giants”, or more accurately, on the top of technological progress. In a recent survey (Klevorick
a large body of already achieved technique and under- et al., 1995), industrial R&D executives were asked to
standing that has been developed by a large number identify the fields of academic science that most con-
of predecessors. tributed to the successes of R&D, and they strongly
David’s (1991) discussion of the large number of tended to list fields of the sort mentioned above, as
diverse technological advances, made by different contrasted with, say physics or mathematics.
individuals and organizations, that were required to For me at least, a striking characteristic of fields
take advantage of the potentialities opened up by the where technological advance has been rapid is that
earlier invention of technologies for the generation they all seem to be closely connected to a powerful ap-
and distribution of electric power, provides a vivid plied science or engineering discipline (see Rosenberg,
demonstration of the cumulative and collective nature 1974, 2001; Klevorick et al., 1995; Nelson and Wolff,
of technological advance. Rosenberg’s (1996) histor- 1997). These bodies of scientific knowledge serve,
ical analysis of the development of the multiple uses first, to enlarge and extend the area beyond existing
of the laser is another splendid example of the point. practice that an inventor or problem solver can see
Earlier I argued that technology should be recog- relatively clearly, and hence go into without being
nized as involving both a body of technique or prac- completely “blind”. That is, strong science provides
tice, and a body of understanding or knowledge. In guidance regarding what particular paths are likely
the process of technological advance, both evolve. Or, to lead to solutions or improvements, and which are
I would propose more specifically that technique and likely to be dead ends. In technologies illuminated
understanding coevolve. The development of a par- by strong science, an inventor often can see a good
ticular new product or process generally brings with distance beyond current best practice.
it a wider body of new understanding that includes, Second, the sciences and the engineering disciplines
but transcends, the particulars of the new technique. provide powerful ways of experimenting and testing
A new understanding, earned through this route, or new departures, so that a person who commands these
through efforts more directly aimed to advance under- can see relatively quickly and cheaply if they work,
standing, in turn provides clues and opportunities for or are promising, or problematic. Thus, pilot plants
the further advance of technique. play a key role in efforts to develop new chemical pro-
Since the days of Francis Bacon, the drive to cess technology. Wind tunnels used to play a similar
advance technological practice and the pursuit of role in aircraft design. Where scientific and engineer-
understanding bearing on that technology have gone ing knowledge is strong, these days one can explore
hand in hand. Over the last century, the linkage has and test by building computer models. More generally,
been institutionalized in the development of fields of strong scientific knowledge not only enables inventors
applied science and engineering disciplines expressly to see promising paths, but also to reliably assess the
dedicated to providing the understandings useful for promise of the path in a timely fashion, and without
advancing practice in a field of technology or an having to build and test a full scale version in the ac-
industry. The latter activity is largely the domain of tual operating environment.
business firms, or other organizations or individuals, I note, I stress, that these advantages lent by a strong
who will actually use or sell the products or processes. body of understanding do not diminish the importance
914 R.R. Nelson / Research Policy 32 (2003) 909–922

of learning by doing and using in the advance of a that more resources have been applied to the effort.
technology. As Vincenti has argued, in the end whether Business firms have seen certain kinds of advances
a new design or process is satisfactory, or better than as being profitable, but not others. Governments have
what it aims to replace, can only be determined in been willing to put public funds into R&D on certain
on-line experience. I shall argue in the next section classes of problems, but there has been little effec-
that the capabilities to recognize, generate, evaluate, tive political support for public R&D moneys in other
and duplicate on-line variation is absolutely essential. areas. Thus, if one considers human illness, a major
If these capabilities are strong, cumulative technolog- reason why little progress has been made on certain
ical advance can proceed even if the body of under- tropical diseases is that drug companies do not see the
standing, the underlying science, is weak. market in poor tropical countries as promising much
However, for reasons I have put forth above, a strong profit, and publicly funded efforts have been limited.
science base greatly augments the power and effi- But while “demand side” limitations clearly have
ciency of efforts to advance a technology. I also note, been important in some cases where the advance
propose, that when there is a strong body of underly- of know-how has been very small, as Mowery and
ing scientific knowledge, a good share of the work of Rosenberg (1979) have pointed out, many important
advancing a technology tends to go on “off-line”, in human wants remain unmet, even though significant
facilities like industrial R&D laboratories. The power profit could be earned by a person or firm that fig-
of the underlying sciences means that people who ured out how to remove the roadblocks to meeting
have mastered that body of specialized knowledge are those wants more effectively. There clearly are ma-
needed to do effective R&D. In general, the skills here jor differences across sectors and areas of human
are very different from those who work “on-line”. And activity in the ability of society to advance effective
the activities involved in doing R&D tend to be dif- know-how. Within medicine, cures have been found
ferent from those involved in on-line experimentation. for Hodgkin’s lymphoma and testicular cancers, but
The work of advancing the technology thus tends to not for prostate and breast cancers. These differences
be specialized both in terms of what is done, and in are puzzling and disturbing, and will be my focus in
terms of the personal involved. A considerable degree the remainder of this essay.
of such specialization is a hallmark of modern indus- At one level, signaled above, my basic argument is
tries where technological advance is rapid. that the key factor is the strength of the understand-
However, as Vincenti has argued, there is no escap- ing bearing on practice in a field. In an earlier paper
ing the need for on-line evaluation, and tinkering. In (Nelson and Wolff, 1997), evidence was provided
general, in fields where technological advance is rapid that the rate of technological advance in an industry
there is an interactive mix between learning by doing is strongly correlated with the strength and vigor of
and using, and off-line R&D. I shall argue in the next the sciences on which R&D in that industry draws.
section that ability to experiment, and learn from ex- However, this explanation of course only pushes the
periments, is key to both aspects of the process. question back a level. Why are the sciences that un-
derlie certain technologies so much more powerful
than others?
4. Why has achievement been so unbalanced? As I have hinted earlier, my tentative explanation
Some speculations of the puzzle at this deeper level involves looking at
the causal arrow between strength of understanding
I want to focus now on the puzzle of why the ad- and ability to experiment fruitfully with a technology
vance of human know-how has been so uneven, spec- the other way around. I want to propose that the abil-
tacular in areas like information and communications, ity to conceive and carry out well defined experimen-
and in dealing with certain kinds of human illness, but tal probes of possible ways to improve technological
very limited in other areas, for example education, or performance, and to get sharp and reliable feedback
rehabilitation of criminals. on the results, contributes importantly to the human
One obvious reason why know-how has advanced ability to develop an applied science that effectively
so much more rapidly in some fields than in others is illuminates that technology.
R.R. Nelson / Research Policy 32 (2003) 909–922 915

Of course I recognize that some technologies in ef- focus experimental physical research which probes at
fect are born out of prior scientific discovery which the fundamental theoretical conceptions of astronomy
was the result of research that was not particularly ori- and cosmology. And the ability to make precise em-
ented towards making new technology possible. The pirical observations of the sort needed to rigorously
rise of radio technology is a good example. But after test evolving cosmological theory has enabled that
a new technology emerges, it begins to pose particu- science to proceed almost as if it were experimental.
lar scientific problems and puzzles. Rosenberg (1982) In some cases non-experimental data can provide the
has argued that a significant portion of the puzzles that basis for a strong science. But most of the strong fields
science addresses have been revealed or created by the of empirical science that have been developed have
operation of technologies. In turn, the further advance involved experimentation in an essential way. And I
of a technology depends to a considerable extent on believe that this is especially the case with sciences
how effectively science is marshaled to illuminate the that illuminate technologies. Those sciences cannot
roadblocks to progress. progress effectively, at least not in a way that is useful
I have been proposing that the successful devel- to advancing the technology, unless the technology
opment of an applied science or field of engineering itself is suitable for experimentation.
research often is the key to rapid and continuing ad- Above I noted that, in fields where technological
vance of know-how in a field of activity. Electrical and progress has been rapid, problem solving and in-
chemical engineering are fields of research as well as venting is done to a considerable degree off-line, in
teaching that came into existence as the industries us- specialized facilities separated from where the tech-
ing the technologies on which they are focussed grew nology actually is being employed. While many of the
in importance. The invention and development of problems and opportunities are recognized on-line,
the transistor and integrated circuits provided strong much of the problem solving is done off-line. For this
intellectual stimulation (and a reason for financial specialization and separation to work effectively, it
support) for the new field of material science. must be possible to isolate the technology from much
These new technology oriented scientific and en- of its operating surroundings, and to work with it in
gineering fields rapidly enriched and improved their a controlled environment. And performance in that
theoretical bases. But from the beginning they have controlled environment must provide reliable infor-
been very experiment oriented. And much of the ex- mation about likely performance “on-line”. For this to
perimenting has involved aspects of the technologies be so, it almost always is necessary that the “design”
that provide the reason for the field’s support. In turn, that has been developed and tested in a controlled
advances in the technologies have provided puzzles environment off-line be robust to or protectable from
and challenges for the sciences. Rosenberg’s (2001) different factors that can vary in actual practice, and
discussion of the nature of engineering research and which cannot be controlled.
knowledge and its relationship to the advance of prac- This latter requirement also is important if the vari-
tice is particularly apt. ations being explored are to be replicable. Replicabil-
When progress is rapid, there seems to be a strong ity of course is essential if what is learned or created
symbiosis between the particular structure of the off-line in R&D is to be usable in practice, or at least
technologies and the focus of the sciences underlying transferable to an on-line setting so that its efficacy can
them. On the one hand, the technology itself tends to be evaluated. In many fields of technology one sees
move towards where the understanding is strong. On progress being achieved through an iterative process,
the other hand, with technology linked to science, the with the locus of analysis going back and forth be-
science is able to progress by manipulating aspects of tween the lab and actual practice. But replicability also
the technology experimentally. is needed so that over the long run many parties can be
Do I overstate the role of experimentation in the involved in efforts to advance the technology, build-
development of science? I do recognize that astron- ing on each others’ work, a condition I argued earlier
omy, now cosmology, is not strictly an experimen- seems to be essential if progress is to be cumulative.
tal science. However, given its intellectual base in This latter argument would be valid even if exper-
physics, it has been possible to both draw on and imentation were nearly completely blind, and off-line
916 R.R. Nelson / Research Policy 32 (2003) 909–922

R&D had little power. However, I have been arguing inconclusive. For this reason, a necessary first step to
that not only are these characteristics conducive, prob- solving the practical problem or meeting the pressing
ably necessary, if a technology is to be advanced cu- need is to support the scientific research that enables
mulatively and rapidly through experimental trial and the problem to be understood. This argument of course
feedback. They may be necessary, and certainly are is an old one, and often made in a self-serving way by
conducive, for a body of reliable scientific knowledge, scientists.
in the sense of Ziman (1978) to grow up that supports But second, my argument points to the major dif-
efforts to advance know-how in an area. For an applied ficulties that may need to be overcome, and the long
science or engineering discipline to develop a power- time period that may be required, for a strategy of
ful body of knowledge and technique that illuminates trying to develop a useful underlying science to be
a body of practice and aids in its improvement, that successful. The scientific understanding, to be useful,
body of practice must lend itself to rigorous study must link up with the available technologies for oper-
and experimentation, with a capability to evaluate re- ating in the area, or point relatively clearly to practical
liably the results of variation. Vincenti’s (1990) study new ones. Understanding far removed from possible
of aeronautical engineering knowledge and its devel- practice does not provide sharp guidance as to how
opment provides strong evidence for this argument. practice can be improved. On the other hand, an at-
Am I underplaying the role of the basic sciences, tempt to build an applied science that is far removed
like physics, mathematics, various areas of biology, from strong fields of basic science may yield knowl-
whose orientation is not defined in terms of a particu- edge of limited power. One implication of this is that
lar technology or solving a set of practical problems? the achievement of a science that illuminates a tech-
I do not want to underplay their role. I would propose, nology may depend on transforming the technology so
however, that advances in basic science mostly have that it becomes more amenable to scientific inquiry. As
their impact on technological advance by informing I shall argue shortly, there may be strong constraints
and strengthening the applied sciences and engineer- that make this difficult.
ing disciplines that do have a practical focus. Thus, I
am proposing that fields of technology that advance
rapidly and cumulatively have under them strong ap- 5. The case of education
plied sciences that in turn are able to draw from strong
basic science. Consider a highly relevant case that illustrates, I be-
This is not an endorsement of the “linear model”. lieve, several of the points I have just made: the efforts
Rather it is a proposition about the structure of a to develop more effective school educational practice
knowledge systems that exist in areas where the ad- (see Murnane and Nelson, 1984; Hagarty, 2000). I
vance of know-how is strong. I am calling attention to think it is apparent that neither of the two attributes
the critical role of what has been called the “bridge” that I argued earlier made R&D in a field powerful
sciences, and proposing that to be effective they need are strong in the case of education. It is very difficult
to be, at once, closely oriented to the technologies they in education to predict with any precision just how
are designed to illuminate, and close enough to the ba- a proposed change in teaching method actually will
sic sciences so that they can draw power from them. work out in practice. General understanding of the ed-
A large gap, on either side, limits their effectiveness. ucation process and schooling may provide a broad
Consider some of the implications, if this argument prediction, but the devil is in the details. And it is dif-
is broadly correct. First, as advocates of support of ficult, perhaps impossible, to get reliable information
science long have argued, it is a poor bet, and a likely on this from simple inexpensive pilot experiments.
waste of money, to pour resources into advancing prac- These limitations are closely related, I would argue,
tice in a field, if understanding there is weak. There is to the following problem. The fact that a particular
little then to guide efforts to develop technology that practice seems to work well in a particular context does
will perform significantly better than prevailing prac- not mean that it can easily be transferred to another
tice. And information as to whether or not the new context, or if this is tried that it will work well there.
departures are effective may be slow in coming and Partly the problem is that it is difficult to specify in any
R.R. Nelson / Research Policy 32 (2003) 909–922 917

detail, or to know, the essential aspects that determine tion, as well as to deal with the particular problems or
its performance; thus, replication is chancy. Another challenges of individual students.
problem is that what works well in one context may In Section 2, I proposed that all bodies of hu-
not work so well in another, and it is hard to control man know-how bearing on complex activities, like a
for the relevant variables. Still a third problem, related heart operation, or designing and building an aircraft,
to the above but of central importance in its own right, or education, involve a mix of articulated and tacit
is that evaluation is extremely difficult. It may take knowledge, and physical and social technologies. It is
many years before the lasting effects of a new mode apparent that the mix in education is heavily weighted
of instruction can be learned. And there may be many towards the tacit and social.
different kinds of impact to be considered. These characteristics are reflected in the limited
The difficulties here clearly reside in the educa- ability to conduct educational experiments, the results
tion process itself. Education as currently practiced of which provide reliable guides to how to improve
largely involves a set of strategies and practices that educational practice in real world settings. For many
are generally understood as appropriate in particular years such experimentation has been high on the
contexts, but with a lot of variation across individual agenda of scientifically oriented schools of education.
classrooms and teachers. There are indeed canons of But consistently the record has been that what is re-
good practice. But not many educationists are ready to ported to work in a lab school or in another chosen
propose that there are a set of foolproof “cake recipes” testing locus has been hard to duplicate outside of
that define best practice in teaching. And while novice the locus of the original research. As noted, part of
teachers may learn a lot from observing able experi- the problem clearly has been that it is impossible to
enced teachers, every teacher has their own particular describe what the experimental treatment was with
strengths and weaknesses, and style of operating. sufficient precision and detail so that one could know
A certain amount of classroom equipment is used: whether one was replicating the key elements of it or
textbooks, perhaps film, recently at least computers. not. Part is that the context conditions that enabled
But, while some students of education hold out hope a particular treatment to work were not fully known,
for the Internet and the computer, at present there are and not necessarily in existence in other places. And
no powerful devices used in education, comparable to part surely is that evaluation takes time and in many
the apparatus that dispenses and monitors anesthesia, cases does not yield unambiguous results.
that are used in heart surgery. Some years ago Cuban These basic characteristics of education also limit
(1986) reviewed experience with using computers and what can be learned from large scale statistical stud-
other forms of teaching equipment in classrooms, and ies that collect and analyze data from a number of
concluded that their impact had not been dramatic. different schools or classes or modes of teaching. It
In a recent paper, Murnane et al. (2001) review a is not that statistical studies do not identify impor-
particular educational program that centrally involves tant correlates of good educational performance. One
use of the Internet, and also a considerable amount important correlate is the education and income of a
of programmed instruction, and which has been im- student’s parents. Another is the training and experi-
plemented in a number of schools. They highlight ence of a student’s teacher. But the former provides
the apparent broad effectiveness of the program, but no information as to how to improve the performance
also argue that the standardized instruction package of schools, given the backgrounds of the students.
and the use of the Internet should be understood as a And while the latter does provide guidance to schools
complement not a substitute for an effective teacher regarding the kind of teachers they ought to hire and
working with students. about the importance of encouraging promising teach-
It is well known that how an individual child learns ers to stay in the system, it tells very little directly
in a classroom is strongly affected by the behavior and about the educational practices that work best.
attitudes of other children in that classroom, and is not The fields of research that one would hope would
independent of what is going on in a child’s life out- illuminate the educational process and guide efforts at
side of school. A major portion of the challenge for a improvement in fact provide only a dim light. On the
teacher is to organize and manage classroom interac- one hand, research that is focussed on subject matter
918 R.R. Nelson / Research Policy 32 (2003) 909–922

that arguably is closely related to the education pro- edges this, and points to the intellectual gap as a real
cess at best seems to yield course grained and often problem:
unreliable conclusions. On the other hand, scientific
The concern of researchers for the validity and
research that limits itself to subject matter where rel-
robustness of their work . . . often differ from the
atively fine grained and reliable knowledge can be
focus of educators on the applicability of these
attained, tends to generate findings that are a far dis-
constructs in real classroom settings. (p. 6)
tance from anything useful in the education process.
Thus, a recent (US) National Research Council But the report does not draw the obvious conclusion
report, “How People Learn: Bridging Research and that the fine grained and reliable knowledge coming
Practice” (National Research Council, 1999), gives out of fields like brain science are that way because
the following as an example of the former kind of the subject of research is carefully controlled and far
research finding, and how such knowledge is useful removed from the hurly burly of the educational pro-
in education: cess. Again, the contrast with medical care, where bi-
ological understanding often is very close to what one
Students come to the classroom with preconcep-
needs to know to cope with a disease, is striking.
tions about how the world works. If their initial
Since both education and medical care are activities
understanding is not engaged, they may fail to
focussed on helping individuals, and the recipient of
grasp the new concepts and information that are
the treatment is a vital element of the process of teach-
taught, or they may learn them for purposes of a
ing or healing, I believe the contrast here is well worth
test but revert to their preconceptions outside the
exploring further. Most of the significant advances in
classroom. (p. 10)
medical care have occurred over the past 150 years,
The contrast of this bit of knowledge, useful as it and have been associated with a tremendous increase
is, with say the discovery that scurvy among seamen in scientific understanding of human illness of various
was caused by the absence of a class of foodstuffs in kinds, and of the effects of various treatments. The ba-
their diet, is striking. The latter led relatively directly sic mechanisms in question are biological, and often
to dealing with the problem by assuring the availabil- the biological mechanisms can be understood in terms
ity of certain of those foodstuffs. The understanding of the chemistry and (occasionally) physics involved,
highlighted in the NRC report points, but only very all strong fields of science. Animals in many cases pro-
broadly, to good teaching practice. vide convenient models of humans, in circumstances
I note that the original discovery about scurvy was where in vitro chemistry does not illuminate what is
not associated with a theory to explain it. Theoretical going on.
understanding was achieved only much later, with the In general, the improvements in performance of
discovery of vitamins and their association with body medical care have occurred in areas where understand-
function. But the initial finding regarding the causes ing has become strong, but this is not always the case.
of scurvy was sharp and precise enough to identify In many cases we have learned that certain treatments
a treatment that worked. The NRC publication, from work (like limes for scurvy, and aspirin for headaches)
which the above quote is drawn, seems blind to the but initially at least have had little understanding of
difference between the nature of the findings of edu- just why. But we were able to learn that lime juice pre-
cational research, and the knowledge base under med- vents scurvy, and aspirin relieves headaches and seems
ical practice, or at least is mute about it. to reduce the risk of certain heart ailments, and make
The same NRC reports mentions that more funda- use of that knowledge in the practice of medicine, be-
mental research has been going on in brain science cause limes and aspirin are well defined substances.
and cognitive science. Considerable progress has been Thus, “swallowing lime juice” or “taking aspirin” are
made towards understanding areas and mechanisms in routines that can be well enough described so that peo-
the brain associated with various kinds of perception, ple instructed to do it can, with only a small chance
and thinking. However, the detailed hard findings at of getting it badly wrong.
this level are many layers away from providing useful As these examples indicate, the medical treatments
input to guiding teaching. The NRC report acknowl- that we have learned work well have tended to be well
R.R. Nelson / Research Policy 32 (2003) 909–922 919

specified; indeed most of them are substances or other essentials of the practice being studied and hence be-
artifacts (glasses) that we have learned (often scien- ing able to determine when it was actually employed,
tifically) to characterize precisely. And by and large and second, being able to distinguish the effects on
their effects are not greatly influenced by factors from firm performance of use of the practice from the ef-
which they cannot be shielded (but consider the warn- fects of other variables. These two basic problems are,
ings on medicines regarding what not to take at the of course, not unrelated. The various studies of the
same time). Thus, we are able to control and calibrate value of employing “quality circles” is a good illus-
the treatment, and are able to learn from variation, ei- tration of these problems (see Cole and Scott, 2000;
ther accidental or deliberate. Nelson et al., 2002).
And of particular importance for the current dis- My mother discipline is economics. The science of
cussion, these characteristics, where they exist, per- economics has much the same weaknesses as the sci-
mit both controlled experimentation regarding new ence of education, and of business management prac-
medical practice—new drug regimes, surgical pro- tice and I would argue for the same basic reasons. The
cedures, etc.—and the development of a relatively limitations of all three fields largely reflect, under my
strong body of biomedical scientific knowledge. argument, that the basic human activities in these are-
While biomedical scientists have a tendency to under- nas are highly tacit and social, and difficult to specify
play the importance of what is learned in “on-line” with precision. In each of these fields the motivation
actual practice, “off-line” R&D, and controlled tests, for study is largely to enable policy to be more effec-
play a very powerful role in facilitating the evolu- tive, and in these fields there is strong awareness that
tion of medical know-how (for a careful balanced the prevailing science provides at best only general
discussion rich with empirical examples, see Gelijns, and hedged guidance to policy. In economics, as in ed-
1991). ucation, there is strong faith that “if we only had better
Some scholars deeply committed to research to ad- scientific understanding” we could develop more ef-
vance educational practice have taken as an insult fective and reliable policies. But if I am right, the fact
my argument that the findings of research in these that economics as a science provides only broad and
fields simply do not have the power of the findings uncertain guidance to policy is in good part the result
of biomedical research to illuminate and facilitate the of the fact that the objects of interest are impossible to
improvement of practice. My argument has nothing define and measure with precision. The science of eco-
to do with the quality of the researchers in the field nomics can be made precise only by shifting the study
of education, but rather with the innate limitations to an arena far simpler than that in which we really
on the ability of research to contribute to the ad- are interested. And this, many would argue, is exactly
vancement of technologies that are largely tacit and what has happened in much of economics. While the
social. results may make for some nice economic theoreti-
Earlier I put forth business management as another cal arguments, they do little to illuminate real policy
field where, like education, advance scarcely has issues.
been dramatic. I propose that the reasons are very But to return to the medicine–education compar-
similar. ison, it is interesting to note that, where medical
There probably has been less “off-line” research treatment cannot be specified in terms of pills or other
aimed to develop better management practice than physical substances, or a clear cut procedure like
there has been off-line experimental research in the splinting a bone break, or where the effects of treat-
field of education. Most of the research in this area has ment cannot be isolated from those of other variables
proceeded by trying to identify firms or cases where and actions (as in treatment of obesity), or where un-
a particular practice is or has been employed, and to derstanding is weak and animal tests do not provide
compare performance in these instances with cases much information (as in study of the effects of envi-
where the practice has not been employed. But as with ronmental factors on the incidence of cancer) medical
the case of cross sectional studies of the efficacy of ed- R&D does not demonstrate much power. Here the
ucation practice, such efforts have been bedeviled by, situation is not very different, it seems to me, than in
on the one hand, great difficulty in pinning down the education and business management.
920 R.R. Nelson / Research Policy 32 (2003) 909–922

6. Social technologies and the evolution on lar needs and capabilities of individual students and the
know-how characteristics of particular groups of students assem-
bled in a class (see, e.g. Murnane and Nelson, 1984).
Are technologies that are strongly social and tacit This debate has ranged from argument about whether
important exceptions that fall outside of the remark- or not there is one particular way that reading is best
able abilities human societies have developed to taught, to the appropriate use of computers in educa-
advance their practical know-how? The discussion tion. A common strand, however, is the pluses and mi-
above has been concerned only with education in any nuses of developing and using standardized methods.
detail; the discussion of management and economics Recently, several economists (see, e.g. Arora and
was at best cryptic. But the elements that seem to Gambardella, 1994; Dasgupta and David, 1994;
make progress difficult in these areas seem quite sim- Cowan and Foray, 1997) have argued that the ex-
ilar, and to hold as well for areas like the prevention tent to which a technique is tacit or articulated and
of crime, or teen age pregnancies, or managing the codified depends to a good extent on the magni-
medical care system, or the Internet. Interestingly, the tude and skill of the efforts to codify it. While it
last two examples are of cases where the underlying is not plausible that even a major effort could fully
physical technologies have become very powerful, codify the skills of an expert surgeon, or an effec-
but the social technologies needed to manage them tive teacher, surely there is something of a common
are not very effective. core of good practice that, to some extent can be
In a recent book, Kline (1995) argued that human codified. There certainly are relatively programmed
behavior in a social context was intrinsically more teaching methods, including those built into comput-
complex than the operation of a physical machine or ers, that have had a certain amount of effectiveness.
other artifact, according to the particular measure of The question is how far this can be pushed without
complexity that he lays out. He proposed, persuasively running into the problem raised by those skeptical of
in my view, that fields of science that deal with very routinization. One size of shoe does not fit all feet.
complex subjects cannot be expected to come up with But are there a reasonable number of well defined
the precise laws and relationships that have come out shoe sizes that mostly will do the job? That turns
of physics. Is the reason why the sciences underly- out to be the case, mostly, with shoes. How about
ing social technologies are relatively weak simply that education?
these kinds of technologies are very complex? Much of the tacitness of educational practice is
This is one way of looking at it. However, I have bound up, I would argue, with the innately social as-
put forth a particular set of arguments regarding just pects of teaching and learning. There needs to be ef-
why these kinds of technologies are difficult to ad- fective interaction between teacher and student, and
vance, that involves their tacit and social nature in an to a considerable extent that interaction is influenced
essential way. I want to stand by my argument that by the larger group in a classroom. The problem with
the heart of the problem is the difficulty in these tech- advancing social technologies is that there are strong
nologies of doing precise and replicable experimenta- constraints associated with the capabilities and wills
tion, and gaining reliable and generalizable knowledge and beliefs of the people whose actions somehow must
from variation. be enlisted, coordinated, or managed. In turn, these
This formulation among other things has the advan- individual and idiosyncratic constraints make it diffi-
tage of leading to the question of whether these char- cult or impossible to standardize a technique, or even
acteristics are innate, or whether they can be modified. to describe what is being done with precision, and
I am not alone in pointing to these characteristics as an make reliable experimentation, or generalizable feed-
important part of the problem in advancing education. back from operating experience, very difficult as well.
Indeed, there has been a long standing argument Perhaps the course to greater effectiveness is to get rid
between educators who have advocated bringing more of these constraints, by substituting physical for social
tightly controlled and explicit routine to the education technologies.
process, and those who have resisted this strongly say- Indeed, in many arenas exactly this has been done.
ing that this hinders tailoring education to the particu- Taylorism routinized and made explicit the jobs
R.R. Nelson / Research Policy 32 (2003) 909–922 921

that workers did in manufacturing technology, and faster progress. A Brave New World is not all that
machinery and later more general automation trans- attractive.
formed much of what had been a social technology My exploration of the factors behind the uneven
of management and control into physical technology. evolution of human know-how is just starting. I bet
Once this was done, it was possible to experiment that my conjecture about the central importance of
with new designs for machines and automated coor- ability to recognize, generate, evaluate, and dupli-
dination mechanisms, and make real progress on the cate on-line variation will hold up after wider and
management and coordination problem. In turn, rou- deeper study. I bet that my proposition about the im-
tinization and mechanization greatly facilitated the portance of a strong underlying applied science or
development of strong engineering knowledge. engineering discipline, for which the former condition
To some extent computer programmed instruction is necessary (but not sufficient) will hold up. Ac-
does this in education. But it is highly uncertain how cording to this theory, areas where a major portion
far mechanized instruction can be pushed. And there of the know-how is social and tacit, and there are
remains the nagging problem that in this society at constraints on changing this, are innately difficult to
least individual differences are valued, not seen as advance.
something to be strongly repressed. But they are only a portion of such areas. Lerner’s
Improving the way we educate children surely is an (2001) recent study of frustration in the attempts over
extraordinarily important goal. Research that will help many years to deal effectively with breast cancers
to guide experimentation and evaluation is of top pri- shows continuing dispute about the efficacy of physi-
ority. But perhaps we need to recognize that advancing cal technologies, associated with inability to get sharp
knowledge and practice here is innately more difficult persuasive evidence regarding the efficacy of different
than advancing know-how in many areas of medicine, treatments. I view the case here as strongly supporting
or agriculture, or telecommunications. And it is not at my proposition that a necessary condition for making
all clear that the strategies and organizational struc- progress is the ability to learn by doing and get reliable
tures that have worked well to advance know-how in feedback from on-line variation. I see the inability of
areas where it has been possible to routinize practice, the “science” to advance here sufficiently to enable the
to make knowledge of best practice well articulated development of significantly better practice as being as
to a considerable degree, and to control or mechanize much the result of inability of trial and error learning
the processes closely, are the ones that will work well to generate knowledge of what works, as a reason for
in education. the continuing blindness. That a technology is largely
To some extent the constraints here are of our own tacit and social seems to doom it to slow progress, but
making, and we can relax them if we choose. We now these conditions certainly do not seem to be necessary
use drugs to help control certain individual behaviors for such frustration. I hope the reader will agree with
that are judged likely to be destructive to self and me that there are a range of fascinating and important
others, but thus far society has shown reluctance to puzzles here. Come join in the exploration.
heavily drug all individuals who are judged likely to
commit crimes. Can we require that children deemed
likely to be disruptive in class go on drugs? Are we Acknowledgements
willing to jail parents whose children skip school? We
can if we wish control on at least some of the variables The research behind this paper was supported by
that make it so difficult to routinize and standardize the Mellon Foundation. An earlier version of this es-
education. And that probably would make it easier say was published in the OECD volume Knowledge
to learn from educational experimentation. However, Management and the Learning Economy (see Nelson,
most of us do not want to go very far down this 2000). I am indebted to Dr. Annetine Gelijns and Dr.
road. Alan Moskowitz for their checking of what I say about
In education, and in other areas, there clearly are heart surgery. I also have consulted the splendid pa-
limits on our willingness to routinize and mechanize per on an aspect of heart surgery by Edmondson et al.
for the sake of better control, and the ability to make (2001).
922 R.R. Nelson / Research Policy 32 (2003) 909–922

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