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Si m p ~ if led and Standard ized Model Agreements for University-~ndustry Cooperative Research GOVERNNENT-UNIVERSITY- INDUSTRY RESEARCH ROUNDTABLE National Academy Press Washington, D.C. INDUSTRIAL RESEARCH INSTITUTE 1 988
The Government-University-Industry Research Roundtable The Government-University-Industry Research Roundtable is sponsored by the National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. The Research Roundtable was created in 1984 to provide a forum where scientists, engineers, administrators, and policymakers from government, university, and industry can come together on an ongoing basis to explore ways to improve the productivity of the nation's research enterprise. The object is to try to understand issues, to inject imaginative thought into the system, and to provide a setting for discussion and the seeking of common ground. The Roundtable does not make recommendations, nor offer specific advice. It does develop options and bring all interested parties together. The uniqueness of the Roundtable is in the breadth of its membership and in the continuity with which it can address issues. . The Industrial Research Institute The Industrial Research Institute (T.R.~.) was founded In 1938 under the auspices of the National Research Council. Its purposes are to promote, through the cooperative efforts of its members, improved, economical, and effective techniques of organization, administration, and operation of industrial research, including means for more effective interaction with other corporate functions; to generate understanding and cooperation between the academic and industrial research communities; to afford a means for industry to cooperate effectively with government in matters related to research; to stimulate and develop an understanding of research as a force in economic, industrial, and social activities; to encourage high standards in the field of industrial research; and to promote communication and interaction with industrial research organizations in other countries. I.R.I. is an association of some 260 major industrial companies that provides a means for the coordinated study of problems confronting managers of industrial research and development. Publications are available from: Government-Uni~crsity-Industry Rcscarch Roundtable National Academy of Sciences National Academy of Engineering Institute of Medicine 2101 Constitution Avenue NW (NAS342) Washington, DC 20418 (202) 334-3486 Printed in the United States of America
The s'mplificd aod Ned Is ot un`~ers~ry-i£:41us~try cooper4t}`rc are.:. I;.: X: ate .~.~.~:~d here It the p.~.i)~S of a; II.:: off theGOv¢~enit~t:~$:~:~:~f~ I{esicarel, R0~;~le and i :~:~:~.e (~.~.Rx.I~.) Out two o.rga.ni.~t'.~s ap.~;~.~.~d the tack of deve~.;~:re.~. t15~e mod:~Is with bite :~al to n>~3;~:~.~ze prod~act:~ve res~h col:~on betw¢~, ~:udustrv and .~.~.t,3 ~~, :st:~~.~.l'n.~.2n'8 tte,~.~:~',0:~. p.,[~$,5.,`~O,! `,Xt3,05l,N,g,3 {<,W,3t,N,`~t It Stomp D; t6:¢2 l;:~00~: W0 .~¢ W'li :~:301l I: US¢ (~( (5¢ 60~:0tt 0~~ 0~C t~ t5~C {~C BO~ ¢~.~' (CqU]~4 :~O £~t 3~ 88~; p3~::~$. :~.D :resea.~:h pt02~ ~~! ~~3U 6~;Dg ~ CODttOCt { (~\ SCl~ W'l] U:$C Amid O; t 3~6 (id~'D{C t5~t t~t'81~S tO ~~g SpCCtt.~C {~:~$ 306 ¢~.~:5i ~. .~.~:.$~~.~s new to .~.~.~.h Iswit) :a. $~.~e of w15~;~: .s I;;to ct;~.~.d'.~r in. ts.~.~:~.~.:.~..:~.~.3 con,l.~:~:~. T~10 t~t;~$ G1~: pt05:~' pOt TO pU::~plDiS~5 Of b~l~i:~C ~~$~h 512~t $~pil<: (~5473 t¢6 8~;~3 ~ 65 60~f:~ ~0 ~ ~ t~$t t~5 3~4 ~~=j~0 tt5' 38~ ~~l Die text [~ :~:n Pa r~ ~ ~ ~~ fir t most c:~vex W:Jiere c£~:mplex. ~~;s are ra~:d by t:hti ;~art~ ~ research It w'lt b" the most ~~;~:e 'nst:r`~ment~ ~ It (~:~$r: approach" to~ such ~ ~ ~ S IF In Part t] Thest models are ¢~ce j ved as good: C <3 :~1 p' es of si8:re¢:£~::~.~:,, a..n,~. 8:~ St:~.~:~:..~.'..~.g ,~DI.D't~S rot n:e,gr,~.~:~:~.ion,~. :15~'een t'.1i,~e indust.~:t'.~1 Sl:~.~r an~ t6~e un;Iv<;~iLl:y ox;' ~ specI:~'e con':~t They ate not ':~:ed to Ace as a .(i31~) 60kUmCDl:~ ~e tecQ~:~e t6~t mo6~:~: w~] 6e t<:~ui:g:~d aS :~: (~:xnCt:~n o C6tEF3~ In.; of ta~b C0'l1360£~ti:~< The p~rep~:~£t ;~;r' {:1t~.~e n7.~.~.~'1:~. waS :~;~.~.~d, t::~.~U,~h O. .~:e Round:~' ~t:~:h the a.~.~:~.~e of the :1~:~...:~.. Com.~.~.~e on. Wit: Re~iat'` est:abl:~d an pa' h~ comm~ tI:~e of ':~:~ri;~t X'sts (~:~:x ~ I.) to orepa re i:~.~.l%~.:~. drart;s of the t~wo a.g:~:~.-~... 1~.e tb.~:.ht w~s tci ha`~e ,0dl~sx`~' as the f~.Yna.~.~:! so. of t.~e res~..~.ch., taxes. the .I.~;~d .~,xx s~ ~.:~:~.it'.~.~. cxn. 1~:~ as god: s 3D OUt8~6 of t~e ..R..ou.~d~Iabil¢-~.~.~`Ia',~e dies. the fed:~ra.:t agene'¢s to $i.~~.~.if~ t~¢ ~~:~t go~'erOme:~-~:~:/ If 3~:~:' .~..~tr~.:~. procedures.. .~.:~. that c.~.~e rep:~.~.~.~.~:~:~.~s from the .~! 38~:~es I:.: the :~.~.~.~.:~c far Imply f.~.$~.~:~cq x.. t~0 6~:~ 33~4 .~.~.Iementat'cn of t]~e ..3 00~ ~~- TI\I 3~4tiS butt tattle ti ~J\I$ ~~ 165~ (~~;]lIC WtE¢ J;~3350U 3t ~ WO[j~0p ·~:~.~;.it:~~ and. in.~u.~.~t bred.; foxy $~SDpt~ tOSt3;~:~tt~ Q0~:~5 (:~:~ t~h$~4 WOT`;~$~0P 63${C L;: C;O JOC;~Ort111~6 1J)lQ stat J;~(l~CI!3IX TIY\C T~ I- CONS= II{CO !03OI it RCI3~S (~CnJIX: I::~:1,) t;~D [CXV]CY?,~,'C~ `:~C :~S {ad:' (foci! C(~:~:~S 30U ~E~P1~:~;~S ;~:~: SI;~:;~8 ¢~Ot:S {~( OC801::~;~-a)~ ~f THU R.~.OUO.~IC 8;~.~: ~~:;I~C l.:~.~- :~.PC ~~.~.~] {~.~{ a.{ t:O CDSU..~0 L:~.l {.31C J.~Ll..~:~:~$ ~ ~ ~~3~,~¢ ~~p~~~;~ tat t.3;131V'E2tSt't2~rxXtDdI,l,,S~tr>4i [~;5'=~,iK¢]n '~,8.~~ Our ef:~.s are based~ on the- no~n TV: :: ag~:~:mcot:s should riefic-t the 1 ~ tf [¢x5 ~ S of 150 ~ h p a :r At: ~ em.. ~ b lo. eke th ~ I: bo (by. u n :' vets ~ t:' ~ S a n d ..! :F d 13~.S t r y w' .l,11 a,p,p,(~a,¢h,,30e,5~h .~.~`xtaxt,l,~.~4tt:h a. desreC of [~l'blIltY aunt Cr¢.~:.~:~, t.~.g into account t:h.: .,~.~.] I.~;~.~$~:s and .~.,5 of Cash at.. *for (i,'~}N,~.t i.~l,07.Y11),~..iOn ~~{ the F]~ri.d'^ .,~!g=~.'.~.r,~£.ib.~; P`~:\j ,~5~K22~ cI'~'~'t=l t.h~ 8~.~2t~i'~Y ::
We expect that you will find these models useful as starting points for negotiations when setting up agreements. We would like to know how they worked, and would appreciate your responses to questions such as: o Were the models an effective tool in the negotiation process? O Did using the models save you time and effort in reaching an accord? O What were areas that required negotiation? What were the resolutions? What areas did both parties agree to readily, but were different than presented in the models? What modifications In the models do you propose? Your comments will be most helpful to as in considering future modifications of the models to reflect the most reasonable and effective starting point for negotiations for cooperative research agreements. /' / James D. Ebert ~ Chairman J Research Roundtable .. : , S. Allen Heininger~ President Industrial Research Institute
