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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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