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Suggested Citation:"Index." National Academy of Engineering. 1997. Technology Transfer Systems in the United States and Germany: Lessons and Perspectives. Washington, DC: The National Academies Press. doi: 10.17226/5271.
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Suggested Citation:"Index." National Academy of Engineering. 1997. Technology Transfer Systems in the United States and Germany: Lessons and Perspectives. Washington, DC: The National Academies Press. doi: 10.17226/5271.
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Suggested Citation:"Index." National Academy of Engineering. 1997. Technology Transfer Systems in the United States and Germany: Lessons and Perspectives. Washington, DC: The National Academies Press. doi: 10.17226/5271.
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Suggested Citation:"Index." National Academy of Engineering. 1997. Technology Transfer Systems in the United States and Germany: Lessons and Perspectives. Washington, DC: The National Academies Press. doi: 10.17226/5271.
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Suggested Citation:"Index." National Academy of Engineering. 1997. Technology Transfer Systems in the United States and Germany: Lessons and Perspectives. Washington, DC: The National Academies Press. doi: 10.17226/5271.
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Suggested Citation:"Index." National Academy of Engineering. 1997. Technology Transfer Systems in the United States and Germany: Lessons and Perspectives. Washington, DC: The National Academies Press. doi: 10.17226/5271.
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Suggested Citation:"Index." National Academy of Engineering. 1997. Technology Transfer Systems in the United States and Germany: Lessons and Perspectives. Washington, DC: The National Academies Press. doi: 10.17226/5271.
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Suggested Citation:"Index." National Academy of Engineering. 1997. Technology Transfer Systems in the United States and Germany: Lessons and Perspectives. Washington, DC: The National Academies Press. doi: 10.17226/5271.
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Suggested Citation:"Index." National Academy of Engineering. 1997. Technology Transfer Systems in the United States and Germany: Lessons and Perspectives. Washington, DC: The National Academies Press. doi: 10.17226/5271.
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Suggested Citation:"Index." National Academy of Engineering. 1997. Technology Transfer Systems in the United States and Germany: Lessons and Perspectives. Washington, DC: The National Academies Press. doi: 10.17226/5271.
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Suggested Citation:"Index." National Academy of Engineering. 1997. Technology Transfer Systems in the United States and Germany: Lessons and Perspectives. Washington, DC: The National Academies Press. doi: 10.17226/5271.
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Suggested Citation:"Index." National Academy of Engineering. 1997. Technology Transfer Systems in the United States and Germany: Lessons and Perspectives. Washington, DC: The National Academies Press. doi: 10.17226/5271.
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Suggested Citation:"Index." National Academy of Engineering. 1997. Technology Transfer Systems in the United States and Germany: Lessons and Perspectives. Washington, DC: The National Academies Press. doi: 10.17226/5271.
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Suggested Citation:"Index." National Academy of Engineering. 1997. Technology Transfer Systems in the United States and Germany: Lessons and Perspectives. Washington, DC: The National Academies Press. doi: 10.17226/5271.
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Suggested Citation:"Index." National Academy of Engineering. 1997. Technology Transfer Systems in the United States and Germany: Lessons and Perspectives. Washington, DC: The National Academies Press. doi: 10.17226/5271.
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Suggested Citation:"Index." National Academy of Engineering. 1997. Technology Transfer Systems in the United States and Germany: Lessons and Perspectives. Washington, DC: The National Academies Press. doi: 10.17226/5271.
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Suggested Citation:"Index." National Academy of Engineering. 1997. Technology Transfer Systems in the United States and Germany: Lessons and Perspectives. Washington, DC: The National Academies Press. doi: 10.17226/5271.
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Index An-Institutes, 18–19, 26, 50, 242, 342, 343 A advantages, 288 Advanced Research Projects Agency, 157, budget structures, 289 219, 222 challenges for, 289 computer science research funding, function, 288 228, 229–230 scope of research in, 288–289 Advanced Technology Program, 76, 157 technology transfer role, 289–290 Aerospace industry, U.S. Antitrust law, 76, 209, 235–236 allocation of public R&D monies, 8 Application process, 15 export trends, 88 academic grants, U.S., 94 R&D spending trends, 82 European Union programs, 265 Agriculture R&D, U.S. in industry consortia, 27 extension programs, 204 Applied research government spending, 72 college and university, U.S., 69, 92, 95 AIDS research, 185, 192, 193 federal laboratories, U.S., 124 AiF. See Federation of Industrial Research in Fraunhofer Society, 325 Associations in German R&D system, 248 American Society of Heating, government funding, U.S., 65, 72–73 Refrigerating and Air-Conditioning industry funding, U.S., 67 Engineers, 170 industry trends, U.S., 82–83 American Society of Mechanical nonprofit organizations, U.S., 70 Engineers, 170 in university-industry research centers, American Supplier Institute, 210–211 113 Ames Research Center, 129 Argonne National Laboratory, 128 Amgen, 184–185 Asynchronous Transmission Mode, 54 Autonomy, 5 409

410 TECHNOLOGY TRANSFER SYSTEMS IN THE UNITED STATES AND GERMANY technological scope, 177–178 B technology transfer intermediaries, 190 Basic research therapeutic applications, 178–179 allocation of R&D monies, 9 trade secrecy laws, U.S., 191 college and university, U.S., 69, 92, 95 university-industry technology transfer, federal laboratories, U.S., 124 U.S., 120, 122, 184–187 in Fraunhofer Society, 325 university research, U.S., 183 in German R&D system, 248, 249–250 Blue List institutes, 10, 21, 23, 33, 243, government funding, U.S., 65, 72–73 319–320, 344 in Helmholtz Centers, 316 BMBF. See Ministry for Education, industry trends, U.S., 67, 82–83 Science, Research, and Technology in Max Planck institutes, 23, 309 British Technology Group, USA, 165 nonprofit organizations, U.S., 70 Brokers, technology, 164–166, 205 software development, 224 Brookhaven National Laboratory, 128 university-industry research centers, Budgets, R&D U.S., 113 administrative structures in universities, Bayh-Dole Act, 19, 21, 32, 74, 99, 103, Germany, 283–284 133 An-Institutes, 289 outcomes, 144–145, 191 awards process, 15 provisions, 134, 191 biotechnology, 180, 184–186, 189 Biotechnology, 6 Blue List institutes, 319 case example of German start-up, 353– colleges and universities, 12–16, 67–69, 354 91–96, 93–96, 274–282 financial backing, U.S., 181–182 computer science, 224–225, 228–229 foreign investment in new U.S. firms, contract research institutes, 25, 26 183, 189 Department of Agriculture, 132 future prospects, 193 Department of Defense, 127 industrial research association projects, Department of Energy, 127 Germany, 338 as determinant of technology transfer, 3 intellectual property rights issues, 190– distribution of licensing revenues in 191 universities, 187–188 international comparison of R&D Environmental Protection Agency, 131 activities, 297–298 EUREKA initiative, 269–270 licensing revenues for universities, European Union, 244, 263–267 U.S., 187–188 federal laboratories, 20–21, 125–126, National Institutes of Health-funded 127 research, 189 flat panel display technology, 219 new companies based on, U.S., 180– focal area distribution, 290–292 181 foreign investments, 84 nonmedical uses, 179–180 Fraunhofer Society, 242, 322–324 pharmaceutical industry investments, funding sources, 4 182–183 German total, 246 public funding of R&D, U.S., 184–186, government, 6–9, 63–67, 73–77, 89–90 189 health-related, 184 R&D activities, Germany, 252, 290– Helmholtz Centers, 313–314, 316–317 292, 343–345 for industry consortia, 28, 157–158, regulatory issues, U.S., 191–192 335, 336–338

INDEX 411 industry-sponsored research in Collegial interchange, 142–143 universities, 84, 110–111 technology transfer conference international comparison, 4, 5, 6–9, 62– organizers, 167 63, 246, 297 technology transfer in biotechnology, manufacturing and production 190 technologies, 195–196, 199, 200 Communications technology. See Max Planck institutes, 307–309 Information and communication National Institutes of Health, 130 technology orphan drug research, 192–193 Community of Science, 163 portfolio distribution, 6 Competitive Technologies, Inc., 165 private nonacademic organizations, Computer aided design, 106–107 151–152, 153, 155 Computer science recommendations for enhancing basic research, U.S., 224, 225 technology transfer in Germany, 43 defense-related R&D, U.S., 229–231, semiconductor industry, 214–215 232–233 service industries, 81–82 professional associations, U.S., 231 socioeconomic objectives, 9 public R&D monies, U.S., 8, 224–225 software development, 224–225 R&D spending trends, U.S., 82 state and local governments, U.S., 67 technology transfer case example, university-industry research centers, 18, Germany, 349–351 19, 111, 112–114 technology transfer mechanisms, 231 U.S. defense, 70–72 See also Microelectronics industry; U.S. industry, 67 Software development U.S. nonacademic nonprofits, 70 Consulting U.S. nondefense, 72–73 federal laboratories, U.S., 142 U.S. private sector, 79–80, 82–84 manufacturing and production U.S. states, 9, 77–79 technology transfer, 210 Business Roundtable, 46 state–sponsored, 205 technology transfer, 16–17, 101–102, 166 C by university professors, Germany, 286 Capital markets Contract research institutes. See Private as determinant of technology transfer, nonacademic R&D organizations 3, 36 Cooperative Research and Development in Germany, 260–261, 262–263 Agreements (CRADAs), 76, 135, recommendations for enhancing 142, 143–144 technology transfer in Germany, 42 advantages, 21, 139 See also Venture capital firms distribution by technology, 138–139 Carnegie-Mellon University, 112–113 federal laboratory implementation, 139 Center for the Utilization of Federal future prospects, 147, 148 Technology, 135 manufacturing and production Chambers of Crafts, 256 technology R&D, 201 Chambers of Industry and Commerce, 256 microelectronics industry, 219 Chemistry, 250 National Institutes of Health Civil engineering, 282 biomedical, 189 Civil Engineering Research Foundation, operations, 21–22 170–171 origins, 137–138

412 TECHNOLOGY TRANSFER SYSTEMS IN THE UNITED STATES AND GERMANY preference and reciprocity agreements, federal laboratories, 126, 127–128, 143–144 148–149 trends, 84 manufacturing and production utilization trends, 138 technology R&D, 196, 198, 201 Cost of ownership concept, 220–221 patent licensing, 137 Council of Consortia CEOs, 160 Department of Health and Human Council on Competitiveness, 46 Services, 20, 72 CRADAs. See Cooperative Research and manufacturing and production Development Agreements technology R&D, 196 Cree Research, Inc., 104–105 patent licensing, 137 Department of Labor, 77 Department of Transportation, 76 D Departmental research institutes, 21, 23, Defense spending, 6–8, 63, 70–72 320 aerospace R&D, U.S., 82 DFG. See German Research Association computer science R&D, U.S., 229–231, Diversity, 5–6, 92 232–233 Dryden Flight Research Center, 129–130 dual use technologies, 71 federal laboratory R&D, U.S., 125–126, E 127 in German universities, 278 Economic development, U.S., 77–79 in growth of semiconductor industry, Electric Power Research Institute, 237– U.S., 216–217 240 manufacturing and production Electronics industry technology R&D, U.S., 196, 197–198 export trends, U.S., 88 See also Department of Defense technology transfer, 123 Department of Agriculture, 15, 20 See also Microelectronics industry industrial problem-solving initiatives, Engineering schools, 11 76 Entrepreneurial behavior, 29–30 research activities, 132–133 as obstacle to technology transfer in technology transfer activities, 133 Germany, 347–348 Department of Commerce, 77 recommendations for enhancing Department of Defense, 15, 20, 97, 217 technology transfer in Germany, 43– aerospace R&D, 82 44 computer science R&D, 229 in software development, 234, 235 future of federal laboratories, 147–148 Environmental Protection Agency, 77 industrial development initiatives, 76, R&D budget, 131 77 research laboratories, 131–132 information analysis centers, 54–55 Environmental sciences laboratories, 127 government spending, U.S., 72 manufacturing and production international R&D collaboration, 51 technology R&D, 196, 197–198 Equity stock companies, 260 microelectronics industry and, 217, 219 EUREKA initiative, 244, 268–270, 343 R&D spending, 70–72 Joint European Submicron Silicon Department of Energy, 15, 20, 21, 72 Initiative, 244, 270–272, 343 civilian laboratories, 128 European Commission, 14, 34 CRADAs, 138, 139, 142, 148 European Patent Organization, 34

INDEX 413 European Union, 5, 38 R&D expenditures, 125–126, 127 EUREKA initiative, 268–270, 343 R&D spending, 65, 67 recommendations for U.S. reimbursable work in, 142 collaborations, 48–50 start-up/spin-off companies, 139 research funding, 244 structure and operations, 20, 124–125 research programs, 263–267, 269, 343 technical assistance activities, 141 Exchange programs, federal laboratory, technology business incubators and, 141–142 168–169 Extension programs technology transfer activities, 20, 21–22 agriculture model, 204 technology transfer challenges, 37 manufacturing and production technology transfer effectiveness, 144– technology transfer, 204–213 147 technology transfer mechanisms, 135– 143 F work with smaller enterprises, 143 Federal laboratories, Germany. See Blue Federal Research in Progress, 140 List institutes; Helmholtz Centers; Federal Technology Transfer Act of 1986, Max Planck institutes 74–76, 135, 136, 143, 144 Federal laboratories, U.S. Federally Funded Research and civilian, 128–133 Development Centers, 65, 67–69 collegial interchange activities, 142– Department of Defense, 127 143 structure and function, 125 conflict of interest issues, 144 Federation of Industrial Research consulting activities, 142 Associations, 27, 242, 243 contractor-operated, 125, 126, 128, 129, budget and finance, 335, 336–338 142 function, 333 Cooperative Research and Development in German R&D system, 248, 249 Agreements, 137–139 origins, 332–333 defense-related, 126–128 research orientation, 338–339 exchange programs, 141–142 structure and operations, 333–335 funding, 20–21 technology transfer activities, 339–341 in future of technology transfer, 147– variation by industrial sector, 337–338 149 FhG. See Fraunhofer institutes future prospects, 24–25, 149–151 Finance. See Budgets, R&D GOGOs, 125, 127, 129, 135 Flat panel display technology, 214 information dissemination activities, future prospects, 223 140–141 international alliances, 223 legislative mandates for technology R&D, 215–216, 219 transfer, 133–135, 149–150 sources of innovation, 222–223 limitations to technology transfer, 143– Food and beverage industry, 338–339 144, 150–151 Food and Drug Administration, 192, 193 management, 125 France, 62 manufacturing and production Fraunhofer institutes, 10, 25–26, 39–40, technology transfer, 201–203 242, 343 national security issues, 143 advantages, 330–332 patent licensing, 125, 136–137 budget and finance, 242, 322–324 private sector input to, 48 future prospects, 243, 332

414 TECHNOLOGY TRANSFER SYSTEMS IN THE UNITED STATES AND GERMANY industry relations, 325–326, 328, 329– principal entities, 242. See also specific 330 entity innovation centers, 330 professional/technical associations, 257 patent licensing activities, 330 recommendations for enhancing public research projects, 328 technology transfer, 41–44 research orientation, 324–326, 346 recommendations for fostering structure and function, 242–243, 248, international collaboration, 42, 48–52 249, 320–322 small/medium-sized companies in, 30– technology transfer activities, 326–330 31, 39, 244–245, 252–256 university relations, 328–329 spending, 4, 5, 62 start-up companies in, 29–30, 39, 42 state-funded initiatives, 257 G structural characteristics, 3, 4, 5–9, 38, Garching Innovation GmbH, 311–312 39–40, 242, 246–250 Genentech, 186–187 technology transfer, determinants of Geological Survey, U.S., 133 success, 358–360 German-American Academic Council technology transfer case examples, Foundation, 42, 49, 52 349–358 German R&D system technology transfer effectiveness, 346– academic funding, 12–16, 43 348 academic structure and function, 10–16 technology transfer intermediaries, 248 challenges to, 40–41 technology transfer mechanisms, 242– contract research institutes, 25–26, 39– 245 40, 44 university funding, 274–282 departmental research institutes, 21, 23, university-industry technology transfer, 320 242–243, 245, 296–300 European Union programs, 265–267, venture capital market, 260–263 279, 343 vs. U.S. R&D system, 9–10, 37–40 external institutions, 287–290 German Research Association, 14, 248, federal technology transfer initiatives, 276–277 257–258 Goddard Space Flight Center, 130 focal areas, 244, 250–252, 290–292 Government-Industry Research government laboratories, 20–21, 23–25 Roundtable, 46–47 historical development of technology Government role transfer, 272–274 development of technology road maps, human capital characteristics, 39, 42– 45 44, 283, 286–287 in fostering industry-university industrial research associations, 27–28, collaboration, U.S., 99 39, 243–244, 332–341 in German R&D system, 246, 248 intellectual property regime, 33, 44, in growth of microelectronics industry, 300–302 U.S., 216–217, 219 ministry activities, 248 international comparison, 40 new technology-based firms in, 258– manufacturing and production 260, 261–263 technology transfer, U.S., 204–209 obstacles to technology transfer, 41, 42 private sector input to R&D activities, opportunities for collaboration with U.S., 48 U.S., 35 R&D employment, U.S., 67

INDEX 415 recommendations for enhancing U.S. Fraunhofer Society–university R&D system, 45 interaction, 329 support for long-term R&D projects, government R&D employment, U.S., 67 51–52 industry R&D employment, U.S., 67 support for R&D consortia, U.S., 156– international comparison of R&D 157 systems, 38–39 See also Public monies; specific microelectronics research, Germany, 342 government organization recommendations for enhancing GTS–GRAL, 349–351 technology transfer, Germany, 42–43 research universities, Germany, 283 in semiconductor industry, U.S., 216 H in software development technology Hatch Act, 133 transfer, 225 Health-related R&D, 70 sources of, 11 applications of biotechnology, 178–179 technology transfer via, 3, 36, 225 independent R&D organizations, U.S., in university-industry research centers, 152–153 U.S., 111 international collaboration, 51 university-industry technology transfer, public spending, U.S., 8, 72, 184 99–102, 286–287 technology for diagnosis decision– U.S. industry R&D employment, 79 making, 54 university patent licensing, U.S., 104– I 105 Helmholtz Centers, 33, 37, 242, 341 Idaho National Engineering Laboratory, challenges, 10, 22 128 differences among, 316 Incubators. See Technology business function, 10, 243, 312, 313 incubators funding, 20–21, 22, 243, 312, 313–314, Industrial development 316–317 government spending, 8, 72, 73–77 future prospects, 317–319 historical university-industry relations, industry interaction, 315–316, 317–319 U.S., 96–99 origins and development, 312–313 Industrial liaison programs, 118–119 origins of, 273 Information analysis centers, 54–55 patent licensing activities, 22–23, 316– Information and communication 317 technology political environment, 313 export trends, U.S., 88 research orientation, 313, 314–315, Fraunhofer Society research, 326 316, 343, 344 German R&D activity, 250, 252, 341– technology transfer activities, 312, 315– 342 317 for globally active businesses, 53–54 university collaborations, 317 information analysis centers, 54–55 High Performance Computing and for international R&D collaboration, Communications program, 229 50, 54–55 Howard Hughes Medical Institute, 70 public R&D monies, 8 Human capital R&D spending trends, U.S., 82 academic R&D employment, U.S., 70, technology transfer intermediaries, 92 163–164

416 TECHNOLOGY TRANSFER SYSTEMS IN THE UNITED STATES AND GERMANY Institutions/organizations, R&D microelectronics technology transfer, diversity, 5–6 223 in Germany, 246–250 private sector R&D, 84 nonprofits, U.S., 70 Internet, 173, 228, 230 private nonacademic, 151–162 similarities of U.S. and German, 9–10, J 37 sources of technology for industry, 90– Japan, 5, 62, 195, 201, 214, 224 91 JESSI. See Joint European Submicron spending, 4 Silicon Initiative structural comparison, U.S. and Jet Propulsion Laboratory, 129, 130 Germany, 4, 5–9, 38, 39–40 Johnson Space Center, 130 types of, involved in technology Joint European Submicron Silicon transfer, 2, 62 Initiative, 244, 270–272 See also specific institutional/ Joint research ventures, 83, 157, 158 organizational type Instrument manufacturing industry, 82 K Integrated Service Digital Network, 53–54 Kennedy Space Center, 130 Intellectual property regime Knowledge Express Data Systems, 163 biotechnology issues, 190–191 under CRADAs, 21–22 L as determinant of technology transfer, 3, 32–34 Labor markets, 3 in Germany, 300–302 as determinant of technology transfer, in government laboratories, 21–23 36 international differences, 33–34 Langley Research Center, 129–130 issues for software development, 236 Lawrence Berkeley Laboratory, 128 recommendations for enhancing Lawrence Livermore National Laboratory, technology transfer in Germany, 44 127 role of published research, 99–100 Lewis Research Center, 129–130 university practices, 19–20 Life cycle analysis, 3 U.S. law, 74–76 for equipment acquisition, 220–221 See also Patent licensing Life sciences, 14, 73 International collaboration, 34–35 Los Alamos National Laboratory, 127 industrial trends, 84 information infrastructure, 50, 54–55 M obstacles to, 48–49 project suggestions, 51, 55–60 Machine tool industry, 201, 345–346 recommendations for, 42, 48–52 Magnetic storage technology, 112–113 International Society of Productivity Manufacturing and production Enhancement, 167 technologies, 195 Internationalization trends acquisition patterns in smaller firms, foreign investment in U.S. 201 biotechnology firms, 183, 189, 193 effectiveness of technology transfer information technology for globally programs, U.S., 212–213 active businesses, 53–54 federal R&D, U.S., 196–199

INDEX 417 federal technology transfer programs, software development, 233 U.S., 206–209, 211 in technology transfer, 3, 29–30, 36 Fraunhofer Society research, 324–325 time to market, 359 industrial research association projects, venture capital firms in technology germany, 338 transfer, 172–173 industry networks, U.S., 205 Marshall Space Flight Center, 130 industry profile, U.S., 194 Massachusetts Institute of Technology, industry R&D, U.S., 195–196 120 international comparison of R&D, 195, Max Planck institutes, 242, 341 297–298 budget and finance, 307–309 obstacles to modernization, U.S., 211– distinguishing features, 10 212 funding, 21 R&D activities, Germany, 290–292, industry grants to, 309 345–346 patent licensing, 311–312 state–sponsored extension programs, research areas, 304, 343, 344 U.S., 204–206, 212–213 structure and function, 243, 248, 249, supplier development programs, U.S., 302–304, 305–307 210–211 technology transfer activities, 309–312 technological scope, 193–194 Mechanical engineering in Germany, 244 technology transfer case examples, Fraunhofer Society research, 324–325 Germany, 351–353 patent licenses, 250 technology transfer from federal university research funding, 279, 281 laboratories, U.S., 201–203 MediGene, 353–354 technology transfer from universities, Microelectronics and Computer U.S., 203–204 Technology Corporation, 217, 218– technology transfer within private 219 sector, U.S., 209–211 Microelectronics industry university–industry research centers, consortia, U.S., 217–219 U.S., 199, 200 economic significance for U.S., 213– Manufacturing Extension Partnership, 76– 214 77, 90, 203 Fraunhofer Society research, 325, 326, effectiveness, 212–213 329, 343 origins and development, 207 future prospects, 224 structure and operations, 207–208 government-industry relationships, Market factors U.S., 219 competition in research, 44 international technology transfer, 223 cost of ownership concept, 220–221 market characteristics, 214 in Fraunhofer Society research, 328 public R&D monies, 8 international comparison, 5, 38 R&D activities, 214–216 modernization of manufacturing/ technological scope, 214 production sector, 211 university–industry relationships, U.S., new technology–based firms, Germany, 222 245, 259–260, 262–263 Ministry for Education, Science, in operations of start-up companies, 85– Research, and Technology, 14, 317– 87 318 pressures on international businesses, structure and operations, 248 53 university research funding, 277

418 TECHNOLOGY TRANSFER SYSTEMS IN THE UNITED STATES AND GERMANY Ministry of Defense, 248, 278 computer science research funding, 228 Monsanto Corp., 188 manufacturing and production Morrill Act, 133 technology R&D, 196, 199 MPG. See Max Planck institutes university-industry research center, 18, 99, 115, 199 National security issues, 143 N National Technology Transfer Center, National Advisory Committee on 140, 201–203 Aeronautics, 133–134 NERAC, 163 National Aeronautics and Space New England Research Applications Administration, 15, 20, 72, 77, 217 Center, 163 future of technology transfer, 149 Nuclear weapons research, 127 laboratories, 129–130 legislative history, 133–134 O manufacturing and production technology R&D, 196, 201 Oak Ridge National Laboratory, 128, 198 technology business incubators, 169 Organization for Economic Cooperation technology transfer activities, 134, 140– and Development, 49 141 Organization for Rationalization of National Association of Manufacturers, 46 German Industry, 257 National Competitiveness Technology Orphan Drug Act, 192–193 Transfer Act, 135, 143–144 National Cooperative Research Act, 76, P 83, 209 National Electronics Manufacturing Pacific Northwest Laboratory, 128 Initiative, 196–197 Patent and Trademark Amendments. See National Institute of Standards and Bayh-Dole Act Technology, 20, 74 Patent licensing industrial development programs, 76– in Europe, 34 77, 90 federal laboratories, U.S., 125 laboratories, 129 federal laboratory research, U.S., 136– manufacturing and production 137 technology R&D, 196, 198–199 Fraunhofer Society activities, 330 mission, 128–129 in German universities, 300–302, 354– National Institutes of Health, 15, 20, 21, 358 72, 147 grace period, 33 biotechnology research funding, 189 Helmholtz Center activities, 22–23, biotechnology research guidelines, 191– 316–317 192 by industry, 88, 250 research laboratories, 130–131 international comparison, 19–20, 33, structure and function, 130 301–302 National Renewable Energy Laboratory, in Max Planck institutes, 311–312 128 technology brokers, 164–166 National Science and Technology university-industry technology transfer, Council, 196 U.S., 102–108, 112–113, 190–191 National Science Foundation, 15, 47, 72, in U.S. universities, 92, 187–188 76, 184 See also Intellectual property regime

INDEX 419 Performance assessment, technology technology transfer effectiveness, U.S., transfer in federal laboratories, 144– 174–176 147 technology transfer intermediaries, Pharmaceutical industry, 82 U.S., 162–174 biotechnology applications, 178–179 technology transfer mechanisms, U.S., biotechnology investments, 182–183, 153–154 193 types of, U.S., 151, 152 new drug approval process, U.S., 192 See also R&D consortia orphan drug research, U.S., 192–193 Private sector R&D R&D activity, Germany, 344–345 basic–applied research trends, U.S., 82– university-industry technology transfer, 83 U.S., 122–123 characteristics of software development Physics, 279–280, 281 firms, 234–235 Policymaking consortia, 27–29, 39, 119 biotechnology issues, 190–193 contract research institutes, 25–27, 39– effects on technology transfer, 3 40 obstacles to international collaboration, cooperative arrangements, 83–84 48–49 cost of ownership calculations, 220–221 recommendations, 41–52 employment, U.S., 67, 79 software development issues, 235–236 Fraunhofer Society interaction, 325– university-industry technology transfer 326, 328, 329–330 issues, 123–124 German focus, 250–252 Political environment German industrial research associations, future of U.S. federal laboratories, 147 243–244 in Helmholtz Centers, 313 government-funded, U.S., 65, 73–77 Private nonacademic R&D organizations government laboratory collaborations, affiliated institutes, U.S., 26–27, 155– 24, 135 156 grants to Max Planck institutes, 309 contributions, 152 Helmholtz Center interaction, 315–316, engineering/design/architectural firms, 317–319 171–172 industrial-nonindustrial linkages, U.S., in German R&D system, 39–40, 250, 89–90 326. See also Fraunhofer institutes infrastructural innovations, 88–89 independent institutes, U.S., 152–155 input to government, 48 manufacturing and production internationalization trends, 84 technologies, U.S., 200–201 manufacturing and production principal firms, U.S., 152, 154, 155– technology, 201, 209–211 156 microelectronics industry, 213–224 professional organizations, U.S., 170– new biotechnology companies, 180–183 171 nonmanufacturing industries, 81–82 recommendations for enhancing outsourcing trends, 83–84 technology transfer in Germany, 43, pathbreaking innovations, 89 44 recommendations for enhancing U.S. research parks, 169–170 system, 45–46, 47, 48 spending, U.S., 151–152, 153, 155 sectoral distribution, U.S., 80–82 technology business incubators, U.S., significance of start-up companies, 84– 167–170 87

420 TECHNOLOGY TRANSFER SYSTEMS IN THE UNITED STATES AND GERMANY sources of external technology for, 90– state industrial technology programs, 91 U.S., 77–79 spending, 4 university research funding, Germany, spending, U.S., 67, 79–80 274–278 structure of U.S. technology transfer system, 62 R support for smaller companies, 30–31 technical assistance programs, 119–121 R&D consortia, 27–29, 39 technology road maps for, 45–46 government encouragement, U.S., 156– university funding, Germany, 278–279 157 U.S system strengths and weaknesses, industrial trends, U.S., 83 88–90 industry, Germany, 243–244, 332–341 See also University–industry relations international collaboration, 51 Professional associations, 170–171 legal environment, U.S., 156 computer science, 231 manufacturing and production in Germany, 257, 332–333 technologies, U.S., 209 manufacturing and production microelectronics industry, U.S., 217– technologies, 205, 210 219 recommendations for enhancing U.S. recommendations for U.S., 45, 46 R&D system, 46 spending, U.S., 157–158 support for smaller companies, 30–31 structure and operations, U.S., 156 Public monies technology transfer from, U.S., 159– academic research funding, 14–15 160, 162 allocation of R&D funds, 6–9 university-industry, U.S., 119 biotechnology research funding, U.S., Referral organizations, 162–164 184–186, 189 Regulation and legislation defense-related R&D, U.S., 70–72 antitrust law, 76, 209, 235–236 government funding of industry R&D, barriers to new technology–based firms U.S., 65, 89–90 in Germany, 259–260, 261, 262–263 health-related R&D spending, U.S., biotechnology issues, 182, 191–192, 184 345 industrial development R&D, U.S., 73– challenges to technology transfer 77 system, 41 for industrial research association to encourage industrial development, projects, Germany, 335 74–77 for long-term R&D projects, 51–52 to encourage technology transfer, 32– in manufacturing and production 34 technology R&D, U.S., 196–199 German university research, 274, 282– nondefense-related R&D, U.S., 72–73 283 public wage system, Germany, 43–44 obstacles to international collaboration, R&D objectives, U.S., 70 48–49 R&D spending, 40, 63–67, 246 obstacles to professional mobility in restrictions on academic research, Germany, 42–43 Germany, 282–283 obstacles to technology transfer in in software development R&D, U.S., Germany, 358–359 224–225 orphan drug research, 192–193 protections for R&D consortia, 156

INDEX 421 recommendations for enhancing Semiconductor technology, 32 German R&D, 42 German R&D, 252 recommendations for enhancing U.S. market characteristics, 214 R&D, 45 sources of early innovation, 216–217 technology transfer from U.S. federal technology roadmaps, 45–46, 222 laboratories, 133–135, 149–150 university R&D, 106–107 trade secrecy laws, 191 U.S. R&D, 214–215 See also Intellectual property regime; Service Industries, 81–82 Patent licensing; Taxation in Single European Act, 263 Germany Small Business Development Centers, 203 Research areas/topics Small Business Innovation Research, 77 academic distribution, 13–14, 92, 95 Small/medium-sized companies allocation of public monies, 6–9 acquisition of new technologies, 201 in CRADAs, 138–139 challenges to technology transfer distribution of funding, Germany, 279– system, 41 280 computer technology for, 54 distribution of government spending, cooperative research, Germany, 252– U.S., 72–73 258 European Union investments, 244 equity stock companies, 260 field-specific features of technology federal industrial development transfer, 36 initiatives, U.S., 76–77 focus of Max Planck institutes, 304 federal laboratory interaction, U.S., 143 at Helmholtz Centers, 313, 314–315 flat panel display innovation in, 222– industry trends, U.S., 80–82 223 international comparison, 6, 250–252, industrial research associations, 252, 296–300 Germany, 332 patent licensing activity, 250, 252 international collaboration, 51 spending, Germany, 244, 290–292 international comparison of R&D spending, U.S., 70 activities, 39 university-industry research centers, obstacles to research collaborations, U.S., 114 254–255 Research Corporation Technologies, 164– production and manufacturing industry, 165 194, 211, 345–346 Research parks, 169–170 technical assistance programs for, U.S., 119–121 technology transfer needs, 30–32, 90 S transfer mechanisms, Germany, 244– SAGE. See Semi–Automatic Ground 245 Environment air defense system Smith-Lever Act, 133, 204 Sandia National Laboratory, 127, 198, Social and cultural factors 219 challenges to technology transfer SEMATECH, 76, 152, 157, 158, 209, system, 41 217, 218, 220–221, 222 entrepreneurial risk-taking mentality, Semi-Automatic Ground Environment air 347–348 defense system, 231, 232 recommendations for enhancing Semiconductor Research Corporation, German R&D, 42 107, 218, 222 in technology transfer, 36, 41

422 TECHNOLOGY TRANSFER SYSTEMS IN THE UNITED STATES AND GERMANY Social sciences/humanities, 14, 279 industrial technology programs, U.S., Socioeconomic objectives, 9 77–79 Software development state/university industry research computer science R&D and, 233–234 centers, U.S., 199 determinants of R&D activities, 227– for technology transfer, germany, 257 229 Stennis Space Center, 130 entrepreneurs, 234 Stevenson-Wydler Technology Innovation future prospects, 236–237 Act, 22, 74, 76, 133 German R&D, 290–292 outcomes, 144–145 industrial research association projects, provisions, 134–135 Germany, 338 Superconducting Supercollider, 184 intellectual property rights, 236 Supplier development programs, 210–211 for internal use, 226–227 international comparison of R&D, 297– T 298 market characteristics, 225–226 Taxation in Germany policy issues, 235–236 recommendations for enhancing R&D structure and spending, 224–225 technology transfer, 42, 43 sources of innovation, 225 research grants, 285 university-industry technology transfer, venture capital, 259–260, 262 122 TechLaw Group, 166–167 See also Computer science; Technical assistance programs, 119–121 Microelectronics industry state–sponsored industrial extension, Software Productivity Consortium, 232– 204–206, 212–213 233 Technology business incubators, 121 Space exploration, 6–8, 72 federal laboratories and, 168–169 Start-up companies, 20 function, 168 biotechnology, 180–183 structure and operations, 167–168 equity ownership by academic Technology life cycle, 3 institutions, 108–110 Technology Reinvestment Project, 196, in Germany, 245, 258–263, 353–354 197–198, 208 international comparison, 39 Technology transfer legal environment, 261 from An-Institutes, 289–290 recommendations for enhancing in biotechnology industry, 177–193 technology transfer in Germany, 42 from Blue List institutes, 320 role in technology transfer, 29–30, 84– brokers, 164–166, 205 87, 258 case examples, germany, 349–358 state programs for, 206–209 channels in German universities, 284– technology business incubators, 121 287 U.S. federal laboratories and, 139 from colleges and universities, 99–108, U.S. trends, 84–85 292–294, 298 State and local R&D funds, 67 conference organizers, 167 for colleges and universities, U.S., 94, consultants, 166 97 contributions of individuals to, 36 distribution, U.S., 73 definition, 2–3 industrial technical assistance programs, determinants of success, at national U.S., 204–206 level, 3, 35–36

INDEX 423 determinants of success, Germany, U.S. federal laboratory mechanisms, 358–360 135–143 differences between U.S.-German Technology Transfer Act of 1986, 32–33 systems, 37–40 Technology Transfer Conferences, 167 direct form, 3 Textile technology, 351–352 Fraunhofer Society activities, 326–330 Trade secrecy laws, 191 goals, 2 government involvement, 40 U Helmholtz Center activities, 312, 315– 317 United Kingdom, 62 indirect form, 3 United States R&D system industrial research associations, academic employees, 70 Germany, 243–244, 339–341 academic research funding, 12–16 institutional challenges, 37 academic structure and function, 10–16, institutional participants, 2. see also 91–96 specific institutional type challenges to, 40–41 interfirm/intrafirm, 2, 90 college-university activities, 67–70 intermediary organizations, 162–174 contract research institutes, 26–27, 39– law firms, 166–167 40 manufacturing and production defense-related, 70–72 technologies, 193–213 federally-funded industrial development in mature industries, 30–32 initiatives, 73–77, 89–90 from Max Planck institutes, 309–312 government activities, 63–67 mechanisms, 2–3, 242–245 government employees, 67 from private nonacademic government incentives for technology organizations, U.S., 151–162, 174– transfer, 32–33 176 government laboratories, 20, 21–22, from R&D consortia, U.S., 159–160 24–25, 124–133 role of start-up companies, 29–30 government laboratories, future in semiconductor industry, 216–217 prospects for, 147–149 setting-specific features, 36, 122–123 government laboratories legislation, similarities between U.S.-German 133–135 systems, 37 government laboratory technology size of firm as factor in, 359 transfer, limitations of, 143–144 in small/medium-sized enterprises, government laboratory technology Germany, 244–245, 252–258 transfer effectiveness, 144–147 system effectiveness, Germany, 346– government laboratory technology 348 transfer mechanisms, 135–143 transnational, 34–35 human capital characteristics, 38–39 U.S. federal laboratory, future industry employees, 67 prospects, 147–149 industry spending, 67 U.S. federal laboratory, historical nonacademic nonprofit organizations, development, 133–135 70 U.S. federal laboratory effectiveness, nondefense-related, 72–73 144–147 objectives, 70 U.S. federal laboratory limitations, opportunities for German technology 143–144 transfer collaboration, 35

424 TECHNOLOGY TRANSFER SYSTEMS IN THE UNITED STATES AND GERMANY private sector resources, 79–80 focal research areas, Germany, 14, 279– R&D consortia, 27, 28–29, 39, 45, 46 280 recommendations for enhancing Fraunhofer Society relations, 328–329 technology transfer, 44–48 funding of research in, 9, 12–16, 65, 69, recommendations for fostering 274–282 international collaboration, 42, 48–52 funding sources, U.S., 93–95 responsibility, 38 funding trends, U.S., 95–96, 98 significance of start-up companies, 29, historical development of technology 39, 84–87 transfer, Germany, 272–274 small/medium-sized companies in, 30, innovation incentives for staff, 103, 187 31–32, 39, 45, 90 international differences in structure, 12 software development, 227–229, 236– international R&D collaboration, 50 237 marketing activities, 19 spending, 4, 5, 62–63, 67 patent activity, Germany, 300–302 state programs, 67, 77–79 patent licensing, 19–20, 44, 102–106 strengths and weaknesses of industrial patent royalties, U.S., 105–108 enterprise, 88–90 polytechnical schools, Germany, 273, strengths of, 45 286 structure, 62 public vs. private, U.S., 69 university-industry historical relations, R&D challenges for, 37 96–99 R&D employment, U.S., 70, 92 university-industry technology transfer, R&D spending, 4, 67 99–124, 296–300 recommendations for enhancing vs. German R&D system, 3, 4, 5–10, technology transfer, 43, 44, 46–47 37, 38, 39–40 structure and resources, U.S., 91–92 Universities and colleges technology licensing, case examples of, administrative structures, Germany, Germany, 354–358 282–284 technology transfer organizations in, basic/applied research, U.S., 67–69 103 biotechnology research, U.S., 183 See also University-industry relations computer science enrollments, U.S., University-industry relations, 47–48, 84 227 barriers to, in Germany, 294–295 computer science R&D spending, U.S., biotechnology research, 186–188 225 concerns about, 123–124 computer science research funding, contract research, 284, 286 U.S., 228–229 contract vs. grant research, 110–111 computer science technology transfer, funding of academic research, 13, 15– U.S., 231 16 contributions to technology transfer, 11 German R&D structure, 242 dissemination of good R&D practices, German technology transfer 46–47 mechanisms, 242–243, 245 distribution of licensing revenues, U.S., historical development, 96–99, 274 187–188 industrial liaison programs, 118–119 distribution of research expenditures by industry researchers as faculty, 17 research area, 13–14 industry-sponsored research, 110–111 diversity, U.S., 92 intellectual property rights, 190–191 external institutions, Germany, 287–290 international comparison, 296–300

INDEX 425 manufacturing and production industry, funding, 111, 112–114 199, 200, 203–204, 205 goals and missions, 114–115 microelectronics industry, 222 international collaboration, 50 perception of German university manufacturing and production institutes, 292–296, 298–299 technology R&D, 199, 200, 203–204, publication interference, 298–299 206 research consortia, 119 U.S. structure and operations, 111–113 start-up companies, 20, 108–110 vs. German university-industry technical assistance programs, 119–121 technology transfer, 296–300 technology business incubators, 121 technology transfer arrangements, 16– V 20 technology transfer effectiveness, 121– Venture capital firms, 172–173 124 biotechnology investments, 181–182 technology transfer mechanisms, 99– in Germany, 260–263 101, 101–108, 284–287 software development investments, 235 transfer of personnel in Germany, 286– 287 W University-industry research centers, 18, 19, 43, 76, 99 World Intellectual Property Organization, concerns with, 116–118 49 definition, 111 World Trade Organization, 49 effectiveness, 115–116 World War II, 97

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This book explores major similarities and differences in the structure, conduct, and performance of the national technology transfer systems of Germany and the United States. It maps the technology transfer landscape in each country in detail, uses case studies to examine the dynamics of technology transfer in four major technology areas, and identifies areas and opportunities for further mutual learning between the two national systems.

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