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Suggested Citation:"Index." National Academy of Engineering. 1996. Foreign Participation in U.S. Research and Development: Asset or Liability?. Washington, DC: The National Academies Press. doi: 10.17226/4922.
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Suggested Citation:"Index." National Academy of Engineering. 1996. Foreign Participation in U.S. Research and Development: Asset or Liability?. Washington, DC: The National Academies Press. doi: 10.17226/4922.
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Suggested Citation:"Index." National Academy of Engineering. 1996. Foreign Participation in U.S. Research and Development: Asset or Liability?. Washington, DC: The National Academies Press. doi: 10.17226/4922.
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Suggested Citation:"Index." National Academy of Engineering. 1996. Foreign Participation in U.S. Research and Development: Asset or Liability?. Washington, DC: The National Academies Press. doi: 10.17226/4922.
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Suggested Citation:"Index." National Academy of Engineering. 1996. Foreign Participation in U.S. Research and Development: Asset or Liability?. Washington, DC: The National Academies Press. doi: 10.17226/4922.
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Suggested Citation:"Index." National Academy of Engineering. 1996. Foreign Participation in U.S. Research and Development: Asset or Liability?. Washington, DC: The National Academies Press. doi: 10.17226/4922.
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Suggested Citation:"Index." National Academy of Engineering. 1996. Foreign Participation in U.S. Research and Development: Asset or Liability?. Washington, DC: The National Academies Press. doi: 10.17226/4922.
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Suggested Citation:"Index." National Academy of Engineering. 1996. Foreign Participation in U.S. Research and Development: Asset or Liability?. Washington, DC: The National Academies Press. doi: 10.17226/4922.
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Suggested Citation:"Index." National Academy of Engineering. 1996. Foreign Participation in U.S. Research and Development: Asset or Liability?. Washington, DC: The National Academies Press. doi: 10.17226/4922.
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Suggested Citation:"Index." National Academy of Engineering. 1996. Foreign Participation in U.S. Research and Development: Asset or Liability?. Washington, DC: The National Academies Press. doi: 10.17226/4922.
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Index A Access issues. See also National security asymmetries, 6, 9-10, 17, 25-26, 36, 39- 40, 70-74, 82, 91, 126, 143-144, 146, 150 costs of access barriers, 71, 73-74, 126 militarily important components and subsystems, 40, 144, 145 as motivation for foreign investment, 84 n.5 privately funded foreign R&D, 6, 70-74, 82, 143-144, 146 publicly funded foreign R&D, 124-127, 130, 138 n.68, 150, 158 n.4 reciprocity requirements, 10, 11, 73, 89 n.43, 116, 117, 126, 130, 135 n.36, 150, 151, 153-154, 158 n.2 self-imposed barriers to, 72-73 transparency of public policies, 7-8, 126, 146, 152 Adobe Systems, 87 n.29 Advanced materials, 44, 57, 58, 80 Advanced Technology Program, See U.S. Department of Commerce Aerospace industry, 80 Affiliates of foreign-owned firms in U.S. See also companies by country 185 applied research, 54, 64 basic reasearch by, 54-55, 64-65 by country, 62, 142 defined, 13 n.4 economic performance requirements, 10, 11, 60, 64, 73, 77, 114-115, 116, 123-124, 130, 149-150, 151-153 employment, 49-50, 55-56, 86 n.21, 131 n.2 expenditures for R&D, 3-4, 17, 39, 42- 48, 60, 81, 83 n.2, 85 n.9 freestanding R&D facilities, 48-53, 56, 85 n.l4, 86 nn.l6, 21 by industry, 61-62, 142 intrafirm trade, 89 n.41 objectives and motivations for R&D activities, 50, 54-56, 63-64, 81, 84 n.4, 87 n.25, 142-143 organization and character of R&D activities, 22-25, 36, 41, 48-56, 60-70, 81, 143 reciprocity requirements, 10, 11, 130, 150, 153-154 R&D intensity of activities, 60-64, 81 technology flows, 66, 81, 143 technology stripping, 70 types of R&D activities, 48-56, 64-65 value of R&D, 64-66

186 Affiliates, U.S.-owned, 65, 131 n.3, 138 n.64. See also Foreign direct investment by U.S. Companies, multinational corporations, U.S. Aircraft industry, 67 AlliedSignal Incorporated, 116, 126, 136 n.43 American Microsystems, 87 n.29 Antitrust issues, 6, 57, 73, 76, 77, 87 n.27, 144, 153. See also Monopolies Applied research by affiliates of foreign firms in U.S., 54' Canada 64 defined, 29 and economic development, 33, 34 outputs of, 30, 31, 38 n.9 by U.S.-owned affiliates abroad, 65 Argonne National Laboratory, 114 Asea Brown Boveri, 116 Asian-Pacific Economic Cooperation Forum, 73, 153 Association of University Technology Managers (AUTM), 12, 156 AT&T,87n.29, 110 Australia, 80, 125 Automation, 44 Automotive industry, 48~9, 50, 51, 55, 56, 58, 60, 61, 62, 67, 69, 84 n.4, 85 n.12, 86 n.21, 135 n.38 B Basic research by affiliates of foreign firms in U.S., 54- 55, 64-65 defined, 29 and economic development, 33-34 funding, 31, 131 n.1 industry trends, 13, 24 international equity issues, 10, 11-12, 25, 127-129, 131, 151, 154-155 by Japan, 12, 86 n.21, 87 n.29, 104, 110, 127-129, 131, 150, 154-155 links with applied research, 33 outputs of, 30, 37 n.1 at universities, 91, 104, 110 U.S. capabilities and comparative strength in, 90-91 by U.S.-owned affiliates abroad, 65 Bath Iron Works Corporation of Maine, 117, 136 n.47 INDEX Bayh-Dole Act of 1980, 106, 133 n.18, 156, 157-158 n.1 Belgium, 65 Biotechnology, 44, 48, 49, 50, 51, 55, 56, 58, 59, 64, 65, 67, 69, 80, 86 n.19, 87 n.28, 111 Bureau of the Census, Survey of Industrial Research and Development, 83 C foreign direct investment in, 22 high-tech production and exports, 20 R&D spending by foreign-owned companies in, 22 Canadian-owned companies acquisitions of U.S. high-technology companies by, 80 affiliates in U.S., 42-45, 46, 48, 49 expenditures for R&D in U.S., 4, 19, 22, 42, 43, 45, 46, 81 involvement in U.S. university research, 100, 103 patenting activities, 65, 106 and publicly funded U.S. research, 117 Canon, 48, 49, 54, 86 n.18, 89 n.45 Carnegie-Mellon University, 107 Chemical industry, 15, 43~7, 48, 50, 51, 56, 58, 60-63, 66, 81, 142 Ciba-Geigy, 105, 110, 133 n.15 Cold War, 23 Columbia University, 108 Committee on Foreign Investment in the United States, 75, 76, 88 n.37 Communications industry, 43, 44, 45, 46, 47, 50, 51, 60, 61, 62, 63, 80, 81, 87 n.28, 142 Computer and office equipment industry, 21, 43~5, 46, 47, 48, 50, 51, 57, 60- 63, 80 Cornell University, 98, 103, 120, 137 n.56 Council of Economic Advisors, 158 n.4 Cooperative Research and Development Agreements (CRADAs). See Federal laboratories D Daichii Pharmaceuticals, 105, 133 n.17 Defense Investigative Service, 75, 77

INDEX Defense Production Act, 76, 77 Doane, Jay William, 95 DuPont, 84-85 n.7 EEconomic performance. See also Monopolies; U.S. competitiveness basic research and, 33-34 R&D and, 2-3, 32-35, 78-80, 141-142 requirements for foreign affiliates, 10, 11, 60, 64, 73, 77, 114-115, 116, 123-124, 130, 149-150, 151-153 Electronics industry, 44, 45, 46, 47, 48, 50, 51, 55, 56, 57, 59-63, 65, 67, 80, 86 n.21, 88 n.34 Employment in U.S. by foreign-owned affiliates, 42, 49-50, 55-56, 86 n.21, 131 n.2 Energy Policy Act of 1992, 116, 117 Engineering Research Centers, 108, 134 n.25 Environmental regulation, 56, 146 European Community U.S. access to R&D in, 10, 125- 126, 138 n.68, 150 European-owned companies expenditures for R&D in U.S., 4, 42, 45, 46 freestanding R&D facilities in U.S., 48, 49-50, 56 history of investments in U.S., 15-16, 88 n.34 international technology flows and, 67 involvement in university research in U.S., 101, 125 patenting activities, 65, 106 R&D intensity of U.S. activities, 62 technical alliances involving, 57 value of R&D investments in U.S., 65 European Strategic Programme for Research and Development in Information Technology, 125-126 Expenditures for R&D defense technologies, 23 domestic, 42 by industry, 4, 5, 42, 43, 45, 46, 47, 81 international comparisons, 4, 10, 19-20, 22, 42, 45, 46, 81, 128 privately funded R&D, 47 publicly funded R&D, 23 rates of return, 33, 34, 38 n.6 187 R&D intensities, 60-64, 81 university research in U.S., 95-99, 103, 128 U.S. affiliates of foreign-owned firms, 3- 4, 17, 39, 42-48, 60, 81, 83 n.2, 85 n.9 Export Administration Act of 1979, 75, 76 F Fairchild Space Company, 104 Federal laboratories. See also various federal agencies and individual federal laboratories budget, 112 Cooperative Research and Development Agreements (CRADAs), 114-116, 119, 134 n.34, 135-136 n.39, 149, 152 economic performance requirements, 114-115 federally funded research and development centers, 212 foreign corporate participation in, 114- 116, 122-124 history of foreign involvement in, 112- 114 intellectual property rights at, 113, 114- 115 intramural agency laboratories, 112 national security issues, 115 visiting researchers, 8, 10, 113-114, 118-122, 147, 148 Federal Technology Transfer Act of 1986, 134 n.34, 135 n.36 Finland, 65 Food and kindred products, 45, 48, 49, 50, 51 Foreign direct investment by U.S. companies, 21, 41, 65. See also Affiliates, U.S.-owned; Multinational corporations, U.S. Foreign direct investment in the U.S. See also Affiliates of foreign-owned firms in U.S.; International corporate alliances; various countries barriers to, 71 benefits of, 57-58, 118-121, 129 data on, 17 defined, 13 n.3, 27 n.1, 84 n.7

188 France economic concerns, 39-40, 58 history of, 15-16, 112-114 international negotiations regarding, 71 motivations for, 4, 40~1 national security concerns, 6-7, 74-78, 82-83, 144-146 quid-pro-quo relationships, 5-6, 59-70, 102 surveys of, 83-84 n.2 trends, 3-4, 16, 21, 39, 42-56, 81 foreign direct investment in, 22 high-tech production and exports, 20 R&D spending by foreign-owned companies in, 22 French-owned companies acquisitions of high-technology companies in U.S., 80 affiliate companies in U.S., 43-46, 51, 62 expenditures for R&D in U.S., 4, 19, 22, 42, 45, 46, 128 freestanding R&D facilities in U.S., 51 patenting activities, 20, 65 R&D intensity of U.S. activities, 61, 62 involvement in university research in U.S., 103, 104, 110, 128 G General Agreement on Tariffs and Trade, Uruguay Round, 71, 73, 139 n.71, 153 General Electric, 87 n.29, 116, 136 n.42 Georgia Institute of Technology, 100, 106, 137 n.58 German-owned companies INDEX high-tech production and exports, 20 R&D spending by foreign-owned companies in, 22 U.S. access to R&D in, 26, 71-72 Glaxo, 110 Government-University-Industry Research Roundtable, 12, 155-156 Grumman, 87 n.29 H Harvard University, 97, 98, 99, 100, 103, 105 Hewlett Packard, 87 n.29 High-Speed Civil Transport "Piper" project, 138 n.69 High-technology industries. See also Industrial R&D; Military technology defined, 13-14 n.5, 27-28 n.7 direct foreign investment in, 40, 42, 144 foreign ownership of companies by technology field, 44, 79-80 spending for R&D, 4, 42 start-up companies, 79 High-technology products, 14 n.5, 27-28 n.7 Hitachi Chemical Company, 104 Hughes, 87 n.29 Human Genome Project, 12, 155 I IBM, 126 Industrial liaison programs, See Universities and university research Industrial R&D. See also Privately funded R&D; individual industries internationalization of, 41 surveys of, 83-84 n.2 technology parks, 109-110 trends, 13, 27 n.3, 157 acquisitions of high-technology companies in U.S., 80 affiliate companies in U.S., 43-46, 51, 61, 62, 81 expenditures for R&D in U.S., 4, 19, 22, ~ ~~ ~ 42, 43, 45, 46, 81, 128 freestanding R&D facilities in U.S., 51 international technology flows and, 66, 67, 68 involvement in university research in U.S., 97, 101, 103, 104, 128 patenting activities, 20, 65 R&D intensity of U.S. activities, 61, 62 Germany foreign direct investment in, 22, 71-73 and U.~. competitiveness, 19, 157 Industry/University Cooperative Research Centers, 108 Information technology, 57, 58 Innovation, technological, 30, 32, 34, 38 n.5, 141. See also Communications industry; Computer and office equipment industry; National innovation systems Instrumentation industry, 43, 45, 46, 47, 49, 50, 51, 57, 60, 61, 62, 63

INDEX Intellectual property defined, 135-136 n.8 distribution of benefits of, 34 management of, 12, 18-19, 31, 152, 156 ownership issues, 30-31, 37 n.4, 104- 106, 113, 114-116, 146, 152 Intelligent Manufacturing Systems Initiative, 12, 155 International corporate alliances access issues and, 73 economic effects, 82 national security and, 75 objectives of, 89 n.42 in privately funded R&D and, 3, 56-58 technology flows and, 67-68 trends, 3, 39, 87 nn.26, 28 Investment. See Foreign direct investment in the U.S. Italy, 65, 103 Japan J foreign direct investment in, 22, 71-73 high-tech production and exports, 20 Ministry for International Trade and Industry, 125, 126 R&D spending by foreign companies in, 22 U.S. access to R&D in, 10, 17, 19, 71- 73, 125-127, 150, 155 Japanese-owned companies affiliate foreign companies in U.S., 42- 43, 45-51, 55, 61-63, 65, 81, 86 n.16, 142 basic research, 12, 86 n.21, 87 n.29, 104, 110, 127-129, 131, 150, 154-155 competitiveness, 19, 20, 22, 26 demand for scientists and engineers, 40- 41, 87 n.23 and dual-use technologies, 77 expenditures for R&D, 4, 20, 22, 42, 45, 46, 47, 81, 128 and federal (U.S.) laboratory research, 113, 114, 116 foreign-direct investment in U.S., 71-73 freestanding R&D facilities in U.S., 48, 49, 50, 51, 86 n.16 high-technology acquisitions, 78-80 international technology flows and, 66- 68, 81-82 189 involvement in university research in U.S., 97, 99, 100, 104, 105, 110- 111, 125, 128, 129, 132 n.11, 147 monopoly issues, 78-79 patenting activities, 20, 65, 88 n.34, 106 and publicly funded U.S. R&D, 9, 113, 114, 116, 117, 119-120 R&D intensity of U.S. activities, 61, 62, 63, 88 n.34 R&D objectives in U.S., 55-56, 59-60, 65-66, 84 nn.4, 5, 87 n.25, 111, 147 reverse engineering, 38 n.11 technical alliances involving, 57 value of R&D activities to U.S., 65-68 Johns Hopkins University, 98, 101, 103 Joint European Semiconductor Submicron Initiative, 118 Joint ventures, 57, 69, 75, 78, 87 n.27, See also International corporate alliances K Kent State University Liquid Crystal Institute, 95, 120 Kvaener Masa Marine, 117 Kyocera, 77, 116 L Langley Research Center, 114 Lawrence Livennore National Laboratory, 113 Licensing agreements and programs, 57, 66, 67, 68, 88 n.36, 102-103, 106-107; See also Patents and patenting Los Alamos National Laboratory, 113, 137 n.59 M Machinery industry, nonelectrical, 48, 50, 51 Massachusetts General Hospital, 105, 132- 133 n.14 Massachusetts Institute of Technology, 95, 97, 98, 99, 100-101, 102-103, 106, 107, 108, 109, 110, 119, 120, 134 n.25, 147 Materials Research Centers, 108 Materials Research Corporation, 74-75, 78, 88 n.37

190 Matsushita, 54, 86 n.18 Metals industry, primary and fabricated, 45, 48, 50, 51, 60, 61 Microelectronics and Computer Technology Corporation, 137 n.51 Military technology. See also National security access to components and subsystems, 40, 144, 145 civilian technologies and, 23-24 identification of critical technologies, 6, 77, 78, 144, 146 illegal sales to U.S. adversaries, 89 n.46 and industrial R&D, 13 reducing risks of foreign involvement in, 75-77, 78, 82, 144-145 Tomahawk missile program, 77 Mitsubishi Electric, 54, 86 n.18 Mitsui Engineering and Shipbuilding, 117 Monopolies. See also Antitrust issues access to components and subsystems, 40 competitiveness and, 6-7 and economic security, 78-79 international corporate alliances and, 58 national security threats, 6, 77 in niche defense markets, 77, 82, 144 regulation of, 18, 146 Motorola, 126 Multinational corporations, U.S. See also Affiliates, U.S. owned; individual corporations direct investment abroad, 21 transnational corporate technical alliances, 3, 21, 39 N National Aeronautics and Space Administration, 112 National Center for Manufacturing Sciences 84 n.5 National Cooperative Production Amendments, 87 n.27 National Cooperative Research Act of 1984, 87 n.27 National innovation systems, 1-2, 13 n.2, 18, 25-26, 27 n.2, 141-142, 148, 156-157 National Institute of Standards and Technology, 112, 114, 115, 125, 157-158 n.1 INDEX National Institutes of Health, 105, 112, 113, 114, 119, 134 n.24, 157 n.1 National Science Foundation, 18, 29, 83 n.2, 108, 125, 132, 134 n.24, 138 n.65 National security issues. See also Military technology costs and benefits of foreign participation in privately funded R&D, 6, 7, 74- 78, 82-83, 144-146 identifying critical military technologies, 6, 78 monopolies and, 6, 77-78, 82, 144 in publicly funded research, 115 recommendations regarding, 7, 145-146 restrictions on foreign access to U.S. technology, 26, 36, 115 National treatment. See Nondiscrimination . . pollcles Naval Research Laboratory, 112 Naval Surface Weapons Center, 112 NEC, 54, 55, 86 n.18, 87 n.29, 110 Netherlands, 51, 65, 80, 103, 128 Nippon Sanso KK, 88 n.37 Nippon Telephone and Telegraph, 125 Nondiscrimination policies, 7-8, 71, 126- 127, 138-139 n.71, 146, 150, 152, 153-154 North American Free Trade Agreement, 71, 73, 88 n.38 North Carolina State University, 100 Norway, 65 o Oak Ridge National Laboratory, 114, 116, 136 n.43 Omnibus Trade and Competitiveness Act, 75, 76 Oregon Health Science University, 100 Oregon State University, 97, 99, 100 Organization for Economic Cooperation and Development, 13-14 n. 5, 20, 27-28 n.7, 71, 73, 88 n.37, 139 n.71, 153 Organization of Petroleum Exporting Companies, 76 p Pacific Northwest Laboratory, 120 Patents and patenting, U.S., 20, 64-65, 66, 106-107

INDEX Pennsylvania State University, 98, 103, 132 n.9 People's Republic of China, 113, 120 Perceptions of foreign participation, 12-13, 16-17, 35-36, 104-105, 143, 156- 157 Petroleum industry, 45, 48 Pharmaceutical industry, 43, 45, 46, 47, 48, 49, 50, 51, 56, 59-64, 81, 85 n.9, 87 n.28, 142 Philips, 54 Photonics and optics, 44, 50, 51 Princeton University, 109, 110 Privately funded R&D in the U.S.. See also Affiliates of foreign-owned firms; High-technology industries; Industrial R&D; individual corporations access issues, 6, 70-74, 82, 143-144 affiliates of foreign-owned firms (in U.S.), 42-56, 60-64 defined, 13 n.1, 27 n.4 and economic security, 78-80, 145 expenditures by U.S. affiliates of foreign firms, 42-43, 45-48, 60, 142 foreign direct investment and, 3-7, 39-89 international corporate alliances, 56-58, 142 "lost opportunities," 69-70, 81-82 national security threats, 6, 7, 74-78, 82- 83, 144-146 performance requirements, 10, 11, 60, 64, 73, 77 political-economic logic of, 31-32 quid-pro-quo relationships, 59-70, 143 R&D intensity of affiliates, 60-64 recommendations regarding, 7-8, 145- 146 strategies, 24 technology flows, 66-69 technology stripping, 70 trends in foreign participation, 3-5, 16, 60-64, 142-143 types of affiliate R&D activities, 48-56 value of affiliate R&D, 64-66 Product life cycles, 22, 41 Publicly funded R&D (U.S.). See also Federal laboratories; Universities and university research access asymmetries, 9-10, 91, 124-127, 150, 158 n.4 191 basic research, 11-12, 31, 90-91, 127- 129, 151 criticisms of foreign participation in, 18 defined, 27 n.4 disciplinary focus, 9, 147 effects of foreign involvement, 9-10, 118-124, 137 n.56 expenditures, 23 industrial technology inititatives, 116- 118 industry cooperation in, 25, 31 and intellectual property rights, 113, 114-115, 152 military-civilian technology relationships, 23-24 objectives of foreign researchers concerning, 113, 147 political-economic logic of, 32 quid-pro-quo relationships with foreign firms and foreign nationals, 9, 12, 91, 102-103, 108, 118-124, 147- 150 recommendations regarding, 10-12, 151- 156 regulation of, 10, 18-19, 41, 84 n.5, 108, 115-116, 123-124, 149-150, 151 strategies, 24-25 trends in foreign participation in, 8-9, 16, 90-92, 129, 147 and U.S. competitiveness, 90 Purdue University, 119 R Recommendations basic research burden sharing, 11-12, 154-155 economic performance requirements, 10, 11, 151-153 intellectual property management, 12, 156 national security issues, 7, 145-146 privately funded R&D, 7-8, 145-146 publicly funded R&D, 10-12, 151-156 reciprocity requirements, 10, 11, 150, 153-154 regulatory policies, 7, 146 trade and investment policy, 11, 146, 152, 153 university "good practices," 155-156 Reichold Chemicals, 110

192 Rensselaer Polytechnic Institute, 120 Research and development. See also Privately funded R&D; Publicly funded R&D activities, 29-39 defined, 29 distribution of benefits, 34-35 and economic performance, 2-3, 32-35, 78-80, 141-142 funding, 31 and innovation, 32 organization and management of, 22-25, 36, 41 outputs, 30-31, 37 n.3, 141 quality of activity, 64-68 scanning capabilities and, 88 n.35 spillovers from, 33, 109 taxonomy, 29-30 Research Triangle Park, 109, 110 Reverse engineering, 38 Rhone Poulenc, 110 Robotics industry, 69 S Sandia National Laboratory, 114, 120, 137 n.59 Sandoz Pharmaceutical, 105, 133 n.l6 Science and Technology Centers, 108 Scientists and engineers demand for, 40-41, 87 n.23, 91-92, 94- 95 employment by U.S. affiliates of foreign- owned firms, 49-50, 55-56, 86 n.21, 131 n.2 non-U.S. citizens employed in U.S., 121 Scripps Research Institute, 105 Semiconductor industry, 50, 51, 57, 69, 74- 75, 78-79, 80, 89 n.45 Semiconductor Manufacturing Technology Consortium (SEMATECH), 18, 25, 28 n.9, 84 n.5, 89 n.45, 116, 117- 118 Semi-Gas System Inc., 88 n.37 Service industries, 45, 46 Shisiedo Co. Ltd., 105, 132-133 n.l4 Siemens Research Corporation, 104, 110 Slovenian J. Stefan Institute, 95 Software industry, 44, 50, 51 Sony Corporation, 74-75, 78, 88 n.37 South Korea, 44, 48, 49, 51, 67, 80, 120 INDEX Spencer, William, 28 n.9 Stanford University, 98, 103, 107, 109, 119, 132 n.9 State/University/Industry Cooperative Research Centers, 108 Steel industry, 67, 69 Stevenson-Wydler Technology Innovation Act of 1980, 135 n.36 Summit Micro Circuit, 87 n.29 Supercomputer Centers, 108 SVG Lithography Systems, 89 Sweden, 22, 44, 51, 65 Swiss-owned companies acquisitions of U.S. high-technology firms, 80 affiliates in U.S., 42~6, 51, 61, 62, 81 expenditures for R&D in U.S., 4, 42, 43, 45, 46, 81 freestanding R&D facilities in U.S., 51 R&D intensity of activities, 61, 62 patenting activities, 65 international technology flows, 66, 68 involvement in university research in U.S., 105, 110 T Taiwan, 44, 80 Technology defined, 37 n.2 fusion, 22 scanning capabilities, 88 n.35 policies, 17-18, 41 Technology Administration Authorization Act, 117, 136-137 n.44 Technology/knowledge transfer. See also Intellectual property balance of international technology flows, 36, 66-69, 81, 122-123, 130, 143, 147 barriers to, 2-3, 35, 141, 149 consequences of, 35-36 importance of proximity, 35, 41, 50, 53, 81, 141 technological sophistication and, 35, 37, 38 n.ll, 141, 142 technology stripping, 70 Technology Reinvestment Project, 18, 25, 28 n.9, 84 n.5, 116, 136 n.48 Telecommunications. See Communications industry

INDEX Tektronix, 87 n.29 Texas A&M University, 97-101, 103 Texas Instruments, 126 Tokyo Electric Power, 119 Tokyo University of Agriculture and Technology, 95 Toshiba Corporation, 89 n.46 Trade policies, 41, 71, 73, 75, 117, 146, 152, 153-154 Transportation equipment (nonautomotive), 46, 47, 60, 61, 62, 63 U U.K.-owned companies affiliates in U.S., 43~6, 51, 61, 62 expenditures for R&D in U.S., 4, 22, 42, 43-46, 81, 128 freestanding facilities in U.S., 51 high-technology acquisitions, 80 international technology flows, 66, 67, 68 involvement in university research in U.S., 97, 100-101, 103, 104, 110, 128 patenting activities, 20, 65 R&D intensity of activities, 19, 61, 62 United Kingdom foreign direct investment in, 22, 72 high-tech production and exports, 20 R&D spending by foreign-owned firms in, 22 U.S. access to R&D in, 72 visiting researchers at U.S. federal laboratories, 113 Universities and university research basic research, 91, 104, 110 collaborative research, 95, 96 contracts and grants, 102-106 corporate participation, foreign, 99-111, 122-124, 151 disciplinary focus of foreign involvement, 94, 95, 99, 102, 103- 104, 108, 109, 147 expenditures for, 95-99, 128 funding, foreign, 95-99, 129 intellectual property rights, 104-106, 137-138 n.61 industrial liaison programs, 107-108, 134 n.24 industrial technology parks, 109-110 193 Japanese involvement in, 97, 99, 102- 103, 104, 110-111, 129, 147 objectives of foreign participation in, 91, 132 n.10 patent and technology licensing programs, 106-107 quid pro quo relationships, 102-103, 108, 125, 156 standards of conduct, 155-156 students, researchers, and faculty, 8, 10, 16, 92-95, 102-103, 118-122, 129 U.S. funding in foreign countries, 138 n.64 volume of R&D, 91 University-industry research centers, 108- 109, 119 University of Alabama, 100, 101 Arizona, 98, 100, 103 Arkansas, 101 California at Berkeley, 98, 102-103, 104, 107, 108, 109, 110, 132 n.9, 134 n.25 California at Davis, 98, 100 California at Irvine, 104 California at Los Angeles, 98, 103 California at San Diego, 98, 103, 105, 106 California at San Francisco, 98, 105, 133 n.l7 Illinois at Urbana, 98, 103, 132 n.9 Maryland at College Park, 98 Michigan, 97, 98, 103, 106, 108, 119, 138 n.61 Minnesota, 98, 103, 132 n.9 Pennsylvania, 103 Southern California, 103 Stuttgart, 95 Texas at Austin, 98, 101, 103, 131-132 n.5 Washington, 98, 100, 103, 108 Wisconsin at Madison, 97-101, 103, 107, 108, 147 U.S.-Canada Free Trade Agreement, 71, 88 n.38 U.S. competitiveness access issues and, 73, 135 n.39, 155 basic research and, 155 changing character of, 22, 156-157 integration of global economy and, 19- 22, 36

94 manufacturing, 19, 22 monopolies and, 6-7 publicly funded research and, 90, 112- 113, 115, 151 technology -policy -for-competitiveness initiatives, 28 and technology strategies, 24-25 weaknesses of U.S. innovation system, 25-26 U.S. Department of Commerce. See also National Institute of Standards and Technology Advanced Technology Program, 9, 18, 25, 28, 84 n.5, 116, 117, 129, 147 Annual Survey of Foreign Direct Investment, 83 n.2 definition of foreign investment, 84 n.7 definition of high-technology industries, 13-14 n.5, 27 n.7 Technology Administration, 28 n.9 INDEX U.S. Department of Defense, 74-78, 83, 117, 144, 146 U.S. Department of Energy, 113, 115-116, 119, 134 n.32, 135 n.38. See also Federal laboratories. U.S. Display Consortium, 84 n.5, 116, 118, 137 n.51 U.S.-Japan Manufacturing Fellowship Program, 138 n.65 U.S.-Japan Structural Impediments Initiative, 73 W Wiley, John, 107 Yale University, 103 y

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During the past decade, foreign participation in U.S. research and development—through acquisition of R&D-intensive businesses, links with universities, and other arrangements—has expanded rapidly.

This emergence of foreign influence has drawn a mixed response—some regard the trend as a positive corollary to the expanding involvement of U.S.-owned companies in national markets abroad. Others consider it a net liability for Americans that often benefits foreign companies and their home economies at U.S. expense.

There exists a large gap in expert and public understanding of the drivers, nature, and consequences of foreign participation in the nation's technology enterprise. This volume seeks to close this gap and reviews:

  • The nature of R&D activities and how they contribute to economic development.
  • The causes, scope, and nature of foreign involvement in U.S.-based R&D activity and the associated costs, risks, benefits, and opportunities of this trend.
  • The merits and liabilities of policies to regulate foreign R&D participation.

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