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Technology Commercialization

Russian Challenges, American Lessons

Committee on Utilization of Technologies Developed at Russian Research and Educational Institutions

Office of International Affairs

National Research Council

Russian Academy of Sciences

NATIONAL ACADEMY PRESS
Washington, D.C.
1998



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--> Technology Commercialization Russian Challenges, American Lessons Committee on Utilization of Technologies Developed at Russian Research and Educational Institutions Office of International Affairs National Research Council Russian Academy of Sciences NATIONAL ACADEMY PRESS Washington, D.C. 1998

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--> NATIONAL ACADEMY PRESS 2101 Constitution Ave., N.W. Washington, DC 20418 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competencies and with regard for appropriate balance. This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the NRC's Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making the published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their participation in the review of this report: James F. Lardner (Deere & Company, ret.) Lawrence Hodges (Technical Affairs Consultant, Ltd.) Earl H. Dowell (Duke University) John E. Halver (University of Washington) William Gordon (Rice University) While these individuals have provided constructive comments and suggestions, it must be emphasized that responsibility for the final content of this report rests entirely with the authoring committee and the institution. Library of Congress Catalog Card Number 98-89705 International Standard Book Number 0-309-06194-6 A limited number of copies of this report are available from: Division on Development, Security, and Cooperation National Research Council 2101 Constitution Avenue, NW FO2060 Washington, DC 20418 Tel: (202) 334-2644 Copies of this report are available for sale from: National Academy Press 2101 Constitution Avenue, NW Box 285 Washington, DC 20055 Tel: 1-800-624-6242 or (202) 334-3313 (in the Washington Metropolitan Area). Copyright 1998 by the National Academy of Sciences. All rights reserved. Printed in the United States of America.

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--> LIST OF COMMITTEE MEMBERS AND STAFF National Research Council Committee ALVIN TRIVELPIECE (Chair), Oak Ridge National Laboratory ALEXIS CLARE, Alfred University W. MARK CROWELL, North Carolina State University RICHARD DULIK, Covington & Burling ALEXANDER MACLACHLAN, E.I. duPont de Nemours & Company (retired) DAVID MCNELIS, Research Triangle Institute Russian Academy of Sciences Committee NIKOLAI LAVEROV (Chair), Russian Academy of Sciences SERGEI IVANTCHEV, Plastpolimer Research and Production Association YURI LEBEDEV, Ministry of Science and Technology VLADIMIR LITVINENKO, St. Petersburg State Mining Institute VLADIMIR MESHCHERYAKOV, Russian Agency for Patents and Trademarks ALEXANDER OZERIN, Institute of Synthetic Polymer Materials ALEXANDER SIMINOV, Karpov Physical Chemistry Institute Staff GLENN SCHWEITZER, Director, Office for Central Europe and Eurasia, NRC STEPHEN DEETS, Office for Central Europe and Eurasia, NRC KELLY ROBBINS, Office for Central Europe and Eurasia, NRC YURI SHIYAN, Dept. of International Affairs, Russian Academy of Sciences

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--> The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Brace M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. William A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Kenneth I. Shine is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. William A. Wulf are chairman and vice chairman, respectively, of the National Research Council.

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--> Contents Preface   vii Perspective from a University with an Industry-Funded Research Program Alexis G. Clare, Alfred University   1 Commercializing University Technology W. Mark Crowell, North Carolina State University   8 Legal Issues of Special Concern to Technology Commercialization Richard Dulik, Covington and Burling   16 An Industrial Perspective on Technology Commercialization in the 1990s and Beyond A. MacLachlan, E.I. duPont de Nemours & Co. (retired)   24 Research, Technology Development, and Commercialization David McNelis, Research Triangle Institute   33 View from a National Laboratory Alvin W. Trivelpiece, Oak Ridge National Laboratory   41 The Role of Industrial Institutes in Creating and Maintaining Russia's Industrial Potential S.S. Ivanchev, NPO Plastpolimer   44 Problems of Taxation and Technology Commercialization in Russia Yuri Lebedev, Russian Ministry of Science and Technology   50

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--> Commercialization of Scientific and Technical Developments at Higher Education Institutes V. S. Litvinenko, St Petersburg State Mining Institute (Technical University)   55 Development of Legal Regulations for Technology Commercialization in Russia Vladimir Meshcheryakov, Russian Agency for Patents and Trademarks   60 Commercializing for the Polymer Industry: The Experience of an Academy Institute A.N. Ozerin, Institute of Synthetic Polymer Materials   67 The Main Problems in Commercialization of Scientific Research Results A.P. Simonov, Karpov Institute of Physical Chemistry   75 Areas for Further Consideration   85 Appendices     A Workshop on Technology Commercialization Agenda   89 B Excerpts from the Bayh-Dole Act   91 C Excerpts from the National Competitiveness Technology Transfer Act of 1989   99 D Commercializing Technology   105 E U.S. Patent Law Provisions that Promote University-Based Patenting and Technology Transfer   107 F Description of the Centennial Campus   112 G Innovation Research Fund   114 H First Flight Venture Center   116 I NIST Advanced Technology Program   117 J The Industrial Research Institute, Inc.   120 K NSF Industry/University Cooperative Research Centers Program   122 L U.S. Tax Policy Issues   129 M University Unrelated Business Income Policy   133 N Visits in Russia and the United States   135

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--> Preface In February 1997, Russian Deputy Prime Minister Vladimir Fortov, who subsequently became the Minister for Science and Technology and then Vice President of the Russian Academy of Sciences, suggested that the National Academy of Sciences and the Russian Academy of Sciences cooperate in helping to prevent the deterioration and improve the utilization of the industrial research base of Russia. Following discussions between representatives of the two academies, the National Academy of Sciences, joined by the National Academy of Engineering and acting through the National Research Council, agreed with the Russian Academy of Sciences to organize consultations between American and Russian specialists with practical experience in facilitating the commercialization of technologies in the two countries. These consultations, supported by internal funds available to the National Research Council and the Russian Academy of Sciences, took place primarily during a visit to Russia by the American delegation in November 1997 and a visit to the United States by the Russian delegation in March 1998. (The itineraries for these visits are in Appendix N.) Discussions during the visits touched on a small, but highly relevant, fraction of technology commercialization experiences in each country. This report reflects the issues that arose during these consultations and visits. The specialists from both countries recognized the vast differences in the ways technologies are commercialized in the United States, with its thriving economy and robust industrial base, and in Russia, where economic conditions are weak and unstable and industrial production has declined to less than 25 percent of its level seven years ago. Nevertheless, in its move toward a market economy, Russia could benefit from American experiences as it considers a policy framework and programs to facilitate development of technologies with economic potential and to introduce them in the Russian and international markets. The specialists did not attempt to predict the future of industrial development in Russia; rather, they assumed that industrial production would remain weak for the next several years and that most sectors of Russian industry would not be in a position to provide major financial support for R&D activities. Thus, their challenge was to identify approaches in the United States, Russia, and other countries that could preserve and even strengthen applied research capabilities under difficult economic constraints.

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--> In some areas, such as oil, gas, and other natural resource sectors, Russian industry is in a position to provide financial support for R&D activities. Western firms are making significant investments in other areas, such as aerospace and a few other advanced technology sectors. And in still other areas, small, private innovative firms have appeared, often established as spin-off enterprises from large public-sector R&D facilities. Activities in all these areas represent profitable endeavors for some Russian R&D organizations. In addition, a few Russian groups have continued to provide technologies for the Russian military sector, albeit at a greatly reduced level. However, most applied research facilities have fallen on difficult times: laboratories are empty, the scientific work force is aging and underemployed, and interested customers are few in number. Against this background, the American and Russian specialists present their individual views concerning problems, opportunities, and relevant experiences. They recognize that no generic solution to the various problems confronting Russian research organizations exists. Therefore, they offer a variety of ideas to help Russian R&D groups survive—and even thrive—in the current environment.

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--> Acknowledgements The American and Russian committee members wish to thank all those individuals who contributed to the success of this project. The many visits to institutes and government agencies in both countries were invaluable, and the committee members are grateful for the openness and hospitality which were displayed at each meeting. Yuri Shiyan deserves special recognition for his tireless efforts, and Carol Flath superbly served as translator during the Russian committee's visit to North Carolina. This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the NRC's Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making the published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their participation in the review of this report: James F. Lardner (Deere & Company, ret.), Lawrence Hodges (Technical Affairs Consultant, Ltd.), Earl H. Dowell (Duke University), John E. Halver (University of Washington), and William E. Gordon (Rice University). While these individuals have provided constructive comments and suggestions, it must be emphasized that responsibility for the final content of this report rests entirely with the authoring committee and the institution.

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