Successful Technology Transfer - Models

8/8/2019 Successful Technology Transfer - Models

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G O V E R N M E N T S U P P O R T E D I N D U ST R Y - U N IV E R S IT Y R E S E A R C HC E N T E R S: I SS U E S F O R S U C C E S S F U L T E C H N O L O G Y T R A N S F E R* M ic ha e l D . D e v ine , Thom a s E . J a m e s , J r ., a nd T im o thy I . Ad a m s

A B S T R A C TI n o r d e r t o i nc r e a se the u se o f fe de r a lly suppor t e d r e se a r c h a nd de ve lopm e n t t oincrease U.S . indus t r ia l compet i tiveness , new par tnerships a re be ing dev e lope d amon gthe r e se a r c h p r oduc e r s, u se rs , a nd f unde r s . Th i s pa pe r sum m a r iz e s t he e vo lu t ion o ffedera l technolog y t ransfe r mo de ls wi th par t icula r a t tent ion to univers i ty- indust ryc oope r a tive r e se a r c h c e n te rs sponso r e d by the Na t iona l S c ie nc e F ounda t ion . Th ea dva n tage s a nd po te n t i a l p r ob le m s a s soc ia te d w i th suc h c e n te r s a r e p r e se n te d a nd theimpl ica t ions for techno logy and innova t ion a re d iscussed .F E D E R A L I NIT IA T IV E S T O P R O M O T E T E C H N O L O G Y T R A N S F E RR e se a r c h a nd de ve lopm e n t ha s l ong be e n c ons ide r e d es se n ti a l t o t e c hno log ic a linnova t ion , indus t r ia l comp et i t iveness and eco nom ic growth . In respo nse to thena t ion ' s d im inishing abil ity to com pete successfu l ly in the in te rna t iona l m arke tp lace ,par t icula r ly growing defic i ts in manu fac tur ing and h igh techno logy t rade , n ewins ti t ut iona l pa r tne rsh ip s a m ong the pe r f o r m e r s , u se rs , a nd f unde r s o f r e se a r c h a ndde ve lopm e n t ( R & D) ha ve p ro l i fe r a t e d .At the federa l level , a t ten t ion has bee n focused on ins t i tu t iona l a r ran gem entswh ic h e nc ou r a ge p r ivat e s e cto r u se o f fe de r a l ly - suppor t e d R & D. F e de r a l R & Dspending is now ov er $60 b i l l ion per year . How ever , concerns cont inu e to be ra iseda bou t l ink ing f e de r a lly - sponso r e d R & D to the ne e ds o f t he p r iva t e s e c to r f o rinnova tion a nd t e c hno logy de ve lopm e n t . R e c e n t f e de r a l i n it ia t ive s t o p r om ote thec om m e r c ia l u se o f f e de r a l ly -suppor t e d ge ne r i c o r p r e - p r op r i e t a r y r e se a r c h inc lude the

* Dr . Devine is Assoc ia te Vice Pres iden t for Research , F lor ida S ta te U nivers i ty ,TaUahassee , FL 32306Dr . J a m e s i s a R e se a r c h F e l low in the S c ie nc e a nd P ub l i c P o li c y P r og r a m a nd a nAssoc ia t e P r o f e s so r o f P o l i t ic a l S c ie nc e , Un ive rs i ty o f O k la hom a , N or m a n , OKM r . A da m s i s w i th IC F , W a sh ing ton , DCThis p aper i s based on a s tudy ent i t led NImproving the T rans fe r o f Sc ient i f ic andTe c hn ic a l I n f o r m a t ion : The F e de r a l R o le ~ c onduc te d by the S c ie nc e a nd P ub l i c P o l i c yP r og r a m , Un ive r s i ty o f Ok la hom a unde r a g r a n t f r om the Na t iona l S c i e nc eF ounda t ion . The a u tho r s a c knowle dge the c on t r ibu t ions o f S te ve B a ll a rd , M a r k M e o ,a nd La n i M a lysa to t he ide a s p r e se n te d in t h is pa pe r .

Journal of Technology Transfer, 12( 1), 1987 27


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Unive r s i ty R e se a r c h I n i ti a ti ve o f t he D e pa r tm e n t o f De f e nse a nd the I nd us t r yUn ive r s i ty C oope r a t ive R e se a r c h C e n te r s ( I U C R C ) p r og r a m a nd Eng ine e r ing R e se a r c hC e n te r s ( ER C ) p r og r a m sponso r e d by the Na t iona l S c i e nc e F ound a t ion ( NS F ) . A F Y1988 inves tme nt of $529 mil l ion is proposed for these cen te r s . The se in i t iat ives a repa r t o f t he c on t inu ing a t t em p t s by the f e de r a l gove r nm e n t t o i nc r e a se the u se o ff e de r a l ly sponso r e d R & D.P os t W or ld W a r I I f e de r a l e ff o r t s f o r t e c hno logy t r a ns f e r c a n be d iv ide d in toth r e e s t a ges . I n e a c h s t a ge a pa r ti c u l a r "m odel " o r ou t look on ho wte c hno logyt r a ns f e r oc c u r s t e nde d to dom ina te a nd sha pe d f e de r a l e ff o r ts : t he a pp r op r i a b il i tymo de l (1945 to the la te 1950s); the d issem ina t ion mod e l ( la te 1950s to la te 1970s);and th e know ledge u t i l iza t ion mo de l ( la te 1970s to the present) . This i s not to implytha t no o the r m ode l s o f f e de r a l t ec hno logy tr a ns f e r e x i st e d du r ing the se pe r iods .O th e r a pp r oa c he s we r e pu r sue d bu t r e c e ive d le s s pub l ic suppor t a nd we r e som e wha ttangent ia l to the m ain thrus t of f edera l e f for ts .The A ppr op r i a b il i ty M ode lThe a pp r op ri a b il i ty m ode l o f t e c hno logy tr a ns f e r e m pha s i z e s t he supp ly o f h ighqua l i ty R & D a s the de t e r m in ing fa c to r in t e c hno logy t r a ns fe r . I t i s ba se d on theide a tha t m a r k e t p r e s su r e s w il l c om pe l f i r m s to u se the p r oduc t s o f f e de r a l r e se a r c h .B y e m pha s i z ing the im por t a nc e o f t he supp ly o f R & D, the a pp r op ri a b il i ty m od e lsugge st s t ha t t he m os t im p or t a n t r o l e t he f e de r a l gove r nm e n t c a n p l a y in t e c hno logyt r a ns f e r is i n f und ing a nd c onduc t ing R & D. De l ibe r a t e t e c hno logy t r a ns f e rm e c ha n i sm s a r e no t ne c e s sa r y ( c om m e r c ia l p re s su r e s w il l c om pe l f i r m s to u se ther e su lt s o f f e de r a l R & D) o r im pr a c t i c a l ( t he y w i ll no t wo r k i f no c o m m e r c ia l p r e s su r eexis ted for fi rms to use R& D resul ts ) .T h e D i s s e m in a t io n M o d e lTh e d i s se m inat ion m ode l o f t e c hno logy t r a ns f e r e m pha s i z e s t he ne e d tod i s se m ina te i n fo r m a t ion a bou t R & D to po te n t i a l u se r s f o r suc c es s f ul te c hno logyt r a ns f e r t o t a ke p l ac e . I t e m e r ge d in r e sponse to g r owing c onc e r ns tha t f e de r a l R & Dwa s und e r u t i li z e d a nd a r e c ogn i ti on tha t, wh i l e e xa m ple s o f unp la nn e d t e c hno logytrans fe r exis ted ( large ly in the ae ro space , med ica l and e lec t ro nic indus t r ie s) , thep r oc e s s r a r e ly wa s a u tom a t i c. The m o de l sugge st s tha t a s t e p shou ld be a dde d tothe t e c hno logy t r a ns f e r p r oc e s s by de ve lop ing d i s se m ina tion m e c ha n i sm s tode l ibe ra te ly ident i fy use ful know ledge and consc ious ly t r ansfe r i t to publ ic o r pr iva tesec tor use r s .Ge ne r a l ly , t he se d i s se m ina tion m e c ha n i sm s t a ke the f o r m o f c e n t r a l i z e dte c hno logy t ra ns f e r p r og r a m s a s soc iat e d w i th a pa r t ic u l a r gove r nm e n ta l a ge nc y o rr e se a r c h p r o j e c t. Age nc ie s de t e r m ine wha t R & D i s u se f ul , pa cka ge a nd pub l i c iz er e se a r c h p r oduc t s , a nd m a ke i t a va i la b le t o u se rs . F e w a t t e m p t s a r e m a de to i nvo lvepo te n t i a l u se r s i n t he s e l e c tion o f t r ans f e r a b le i n fo r m a t ion . The e f f o r t i s de e m e dsuc c e ss f u l whe n a po te n t i a l u se r be c om e s a wa r e o f t he r e se a r c h a nd r e que s t s2 8


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i n f o r m a t i o n f r o m t h e p r o d u c i n g a g e n c y .T h e K n o w l e d g e U t il i z a ti o n M o d e lT o a d d r e s s t h e p r o b l e m o f i de n t if y in g i n a d v a n c e w h a t i n f o r m a t i o n w o u l d b eu s e f u l to p r i v a t e s e c t o r u s e r s , a lt e r n a t iv e S T I g e n e r a t i o n a n d t r a n s f e r m e c h a n i s m sh a v e b e e n d e v e l o p e d. T h e k n o w l e d g e u t i li z a ti o n m o d e l i s a m o r e a c ti v e a p p r o a c h t ol i nk i n g p r o d u c e r s a n d u s e r s o f i n f o r m a t i o n a n d t e c h n o l o g y a n d c o n f r o n t s t w oi m p o r t a n t b a r r i e r s t o t h e t r a n s f e r a n d u s e o f S T I : ( 1 ) i n a d e q u a t e i n t e r p e r s o n a lc o m m u n i c a t i o n , b e t w e e n p r o d u c e r a n d u s e r t h r o u g h o u t t h e i n f o r m a t i o n g e n e r a t i o n a n dt r a n s f e r p r o c e s s ; a n d ( 2 ) i n a d e q u a t e a t t e n t i o n t o o r g a n i T a t i o n a l b a r r i e r s .

T h u s , t h e k n o w l e d g e u ti l i z a ti o n m o d e l s u g g e s t s a n a l t e r n a t iv e s t r u c t u r e f o r t h eS T / p r o d u c t i o n a n d t r a n sf e r sy s t em . R a t h e r t h a n b a s i n g t h e s y st e m o n t h ep r o d u c t i o n a n d s u p p ly o f S T I ( t h e a p p r o p r ia b i l it y m o d e l ) , o r f o c u s in g o n m e c h a n i s m st h a t m a k e a v a i la b l e S T I m o r e r e a d i l y a c c e ss i b l e ( t h e d i s s e m i n a t i o n m o d e l ) , t h ek n o w l e d g e u ti l i z a ti o n a p p r o a c h s u g g e s t s t h a t g r e a t e r a t t e n t i o n s h o u l d b e g i v e n t o t h er e l a t i o n s h i p s a m o n g a ll c o m p o n e n t s o f t h e p r o d u c t i o n , t ra n s f e r , a n d u s e p r o c e s s .R e c e n t f e d e r a l i n i ti a ti v es h a v e a t t e m p t e d t o a d d r e s s t h e s e c o n c e r n s w i t h r e s p e c tt o u n i v e rs i t y i n d u s t r y c o o p e r a t i v e r e s e a r c h a r r a n g e m e n t s . T h e s e f e d e r a l l y s u p p o r t e da r r a n g e m e n t s p r o v i d e f o r t h e i n v o l v e m e n t o f p r i v a t e s e c t o r u s e r s i n s e t t i n g a n di m p l e m e n t i n g t h e r e s e a r c h a g e n d a a n d c l o s e o n - g o in g c o m m u n i c a t i o n b e t w e e nu n i v e r s it y a n d i n d u s t r y re s e a r c h e r s . I n m a n y c a s e s , th i s r e q u i r e s c h a n g e s i n t h e w a yp u b l i c s e c t o r R & D o r g a n i z a t i o n s ( e .g . , u n i v e r s it i e s ) o p e r a t e . I s s u e s a s s o c i a t e d w i t ht h e d e v e l o p m e n t , i m p l e m e n t a t i o n , a n d i m p a c t o f t h e s e c o o p e r a ti v e r e s e a r c ha r r a i a g e m e n t s a r e d i s c u s s e d b e l o w .N S F C O O P E R A T I V E R E S E A R C H C E N T E R ST w o i m p o r t a n t f e d e r a l in i t ia t i ve s a r e s p o n s o r e d b y t h e N a t i o n a l S c i e n c eF o u n d a t i o n : t h e I n d u st r y U n i v e r s it y C o o p e r a t i v e R e s e a r c h C e n t e r s ( I U C R C ) p r o g r a ma n d t h e E n g i n e e r i n g R e s e a r c h C e n t e r s ( E R C ) p r o g r a m . W h i l e th e y r e p r e s e n t o n l y t w oo f m a n y t y p e s o f c o l la b o ra t iv e a r r a n g e m e n t s , t h e y a r e v i e w e d b y m a n y a s t h e m o d e lf o r o t h e r g o v e r n m e n t ag e n c ie s to f o ll o w . S u c h c e n t e r s a r e s e e n a s a m e c h a n i s m t oh e l p l e v e r a g e f e d e r a l R & D d o l l a rs , i m p r o v e t h e e f f e c ti v e n e s s o f k n o w l e d g e tr a n s f e r ,f o s te r e c o n o m i c co m p e t i t iv e n e s s , a n d h e l p r e s t o r e U . S . p r e e m i n e n c e i n w o r l d m a r k e t s( M a f l a c k 1 9 8 7; W a l s h 1 9 8 7) . E r i c h B l o c h , D i r e c t o r o f t h e N S F , h a s s a i d i n r e g a r d t ot h e E n g i n e e r i n g R e s e a r c h C e n t e r s , " T h e id e a o f t h e s e c e n t e r s is c e n t ra l t o e c o n o m i cc o m p e t i t i v e n e s s " ( q u o t e d i n W a l s h 1 9 87 ), w h i l e t h e O f f ic e o f T e c h n o l o g y A s s e s s m e n th a s c a l le d t h e s e a r r a n g e m e n t s t h e c o r n e r s t o n e o f t h e A m e r i c a n s t ra t e g y t o i n c r e a sei n d u s t r i a l c o m p e t i t i v e n e s s ( U . S . C o n g r e s s , O T A 1 9 85 ).T h e E n g i n e e r i n g R e s e a r c h C e n t e r p r o g r a m w a s i n it i a te d i n 1 98 4 t o ( N a t i o n a lS c i e n c e F o u n d a t i o n 1 9 8 5) :P r o v i d e c r o s s -d i s c ip l i n a ry e n g i n e e r i n g r e s e a r c h o p p o r t u n i t i e s f o r f a c u l t y a n ds t u d e n t s ;

Jour nal o f T e c hno l ogy T r ansf e r, 12 ( 1 ) , 198 7 29


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- De ve lop f unda m e n ta l e ng ine e ring knowle dge tha t c a n e nha nc e the na t ion 'sindust r ia l compet i t iveness ; andP r e pa r e e ng ine e r ing g r a dua te s who posse s s t he d iver s it y a nd qua l i ty ne e de d byU.S. industry.

S ix cente r s we re fun ded in 1985, f ive in 1986, and two we re fu nded in 1987.Tota l funding for the program in FY 87 was $30 mil lion, wi th an inc rease to $48mil l ion reques ted by the Adm inis t ra t ion for FY 88. The cente r s in it ia lly a re fun dedas f ive -year cont inuing grants ; successfu l cente r s could rece ive cont inu ed funding.Indus t ry and, wh ere appropr ia te , s ta te and loca l governm ents , a re expec ted tosuppor t t he c e n te r s t h r ough the c om m i tm e n t o f m one y , e qu ipm e n t , a nd pe op le .P r oposa l s a l so ha ve be e n o f f e r e d f o r e xpa nd ing the E R C c onc e p t t o i nc lude " sci e nc eand technolog y cente rs" .P r e - da t ing the ER C p r og r a m , the I ndus t r y Un ive r s i ty C oope r a t ive R e se a r c hC e n te r p r og r a m e nc ou r a ge s c oope r a t ion w i th the ob jec t ive s o f ( Na t iona l S c i e nceFou nda t io n 1984a , 2) :- Dev elopin g rese arch linkages;

- Le ve r ag ing non - gove r nm e n t r e sou rc e s ;- S t imula t ing fundam enta l , indus t r ia l ly re levant resea rch; and- I m p le m e n t ing f e de r a l p r og r a m s suc h a s t he S te ve nson -W ydle r Te c hno logy

Innova t ion Ac t of 1980.The I UC R P r og r a m w a s f unde d on a rt e xpe r im e n ta l ba s is f r om 1973 th r ough 1977 ,involving 3 cente r s . In recent yea rs the p rogra m has be en g r e a t l y e xpa nde d ; a s o fJuly 1987, 39 Cente r s were in opera t ion . Th e prog ram he lps in i t ia tein te rd isc ip l ina ry univers i ty resea rch p rogram s, wi th co- fund ing f rom groups ofindust r ia l fn-ms. NSF funding is phase d ou t ov er 5 yea rs ; mo st cen te r s leve l of f a tthe $500,000-$1,000,000 annua l leve l of non - federa l suppor t . Du r ing 1985, NSF 'sfunding share was $3 mil l ion and i t i s e s t im ated tha t indu s t ry and s ta te governm entswe r e c on t ribu t ing ove r $22 m i ll i on to t he I U C R C e n te r s ; ove r 200 c om pa n ie s we r epa r ti c ipat ing in t he p r og r a m ( Na t iona l S d e nc e F oun da t ion , N . d .) .

A D V A N T A G E S A N D P O T E N T I A L P R O B L E M S A S S O C I A T E D W I T HC O O P E R A T I V E R E S E A R C H C E N T E R STa b le 1 p r e sen t s a l is t o f a dva n ta ges a s soda te d w i th the im p le m e n ta t ion o fc oope r a t ive r e se a r c h c e n te rs . F r om the pe r spe c tive o f i ndus t r y par t ic ipa n ts ,coopera t ive resea rch ventures wi th univers it ie s he lp inc rease access to key80


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professors , the bes t gradua te s tudents , and inform at ion. Th ey a lso provideoppor tun i t ie s f o r i ndus t ry to in f lue nce the r e se a r c h a ge nda s o f t he r e s e a r c h c e n te r sso they a re m ore sensi tive to the need s of the pr iva te sec tor . Fo r the univers i t ies ,the cen te rs inc rease avai lable suppor t for research and educa t ion; addi t iona l incom ealso might resul t f rom grant ing pa tent r ights and l icenses for the resul ts o f researchef for ts . Th e in te rac t ion wi th indust ry a lso can be a source of research ideas an dprovide ins ights for gradua te s tudents tha t wi l l provide for a mo re we l l - roun dede duc a t ion ( De r inge r a nd M olna r 1983 ; B a ldwin a nd Gr e e n 1984) . F r om the pe r spe c tiveof the fede ra l governmen t , coopera t ive venture s can s t re tch the ava i lable funding sotha t m ore ins t i tu t ions can be involved and mo re topics explored. Th ey a lso he lp tose rve othe r goa ls tha t have broad er soc ie ta l benef i t s , such as increas ing theindust r ia l compet i t iveness of the U.S . in the in te rna t iona l m arke tplace .

Table 2 presents potent ia l problem s or i ssues assoc ia ted wi th coopera t iver e se a r c h c e n te rs . M os t o f t he indus t r y a nd un ive r s ity p r ob le m s a r e a f unc t ion o fthe i r d i f fe rent cul tures and miss ions. No t a l l univers i t ies a re cond i t ioned by a t t i tudeo r t r a d i t i on to a c c e p t c oope ra t ive r e se a rc h a r r a nge m e n t s w i th indus t r y a s pa r t o fthe i r m i s s ion ( R oy 1980). F o r e xa m ple , m a n y un ive rs i ty f a c u lty t e nd to dow ngr a dethe im por t a nc e a nd a ppr opr i at e ne s s o f i ndus t ry r e le va n t o r sponso r e d r e se a r c h a ndgive grea te r s ta tus to publ ic ly funde d bas ic or "pure" research. Univ ers i ty facul tya nd a dm in i s t r a to r s a l so f r e que n tly a re c onc e r ne d a bou t i s sue s re l a t e d to c on t r o l o fthe res earch agen da , conf lic ts of in te res ts , and the f re e and open f low ofinform at ion (Fow ler 1984; Ken ney 1986).Al th oug h indust ry a lso is in te res ted in bas ic research, genera l ly the nee ds o fpr iva te sec tor f'n'ms a re m ore spec i f ic and im med ia te . Fur th er , som e f i rms exhibi tt he " no t inve n te d he re " syndr om e a nd p l a c e l i t tl e va lue on a ny r e se a r c h no t

cond uc ted in the i r own labora tor ies (Sc ience and Pub l ic Pol icy Pro gram 1986; Fow ler1984). Fur th er , whi le univers i ties p lace h igh va lue on f ree and op en co mm unica t ionof research resul ts , the prof i t mot ive of indust ry leads to a des i re to prote c tinform at ion by secur ing propr ie ta ry rights and not d isclosing inform at ion tha t c ouldbe ne f i t a c om pe t i to r ( Gove r nm e n t - Un ive r s i ty - I ndus t r yR e se a r c h R o und ta b le 1986) .A t th e gov ernm ent leve l ques t ions a re ra ised, f requen t ly by the sc ient i f iccomm uni ty , about the re la t ive pr iori t ies for funding sc ience versus techno logyde ve lopm e n t a nd the be s t wa ys to u se r e se a r c h do l l a rs t o p r om ote innova t ion .C onc e r ns a r e e xp r e s se d a bou t a sh if t a wa y f r om ba s i c r e se a r c h to a pp l i e d r e se a r c hand f rom suppor t for individua l inves tiga tors to in te rdisc ip l inary resea rch ce nte rs( Na t iona l Ac a de m y o f S c ienc e s 1987) . T he se i s sue s a dd r e s s t he b r o a de r s c i e nc e a ndte c hno logy po l ic y d ir e ct ions . Am ong the po te n t i a l p r ob le m s a s soc iat e d wi th NS Fsuppor t e d c oope r a t ive re se a r c h c e n te rs , pe r ha ps the m os t s e r ious i s a s e t o fpotent ia l ly unrea l is t ic expec ta tions on the p ar t o f NS F (as wel l as Co ngress an d s ta tegov ernm ents) and conf l ic t ing goa ls amo ng the indust ry , universi ty , and g over nm entpar t ic ipants . To what extent i s the exp ec ta t ion rea l is tic tha t c ente rs wil l pro duc ecomm erc ia l izable innova t ions in the sho r t te rm tha t wi l l inc rease indust r ia l

Journal of Technology Transfer 12(1) , 1987 31


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8/11

c o m p e t i t i v e n e s s ? W h o s e s e t o f e x p e c t a t i o n s o r g o a ls w il l b e u s e d t o e v a l u a t e t h esu ccess o f th ese cen te r s , i . e. , th o s e o f th e f ed e ra l ag en cy , in d u s t ry , o r th eu n iv er s i ty ?I M PL IC A T IO N S F O R I N N O V A T IO N A N D T E C H N O L O G Y T R A N S F E RT h e c o o p e r a ti v e r e s e a rc h c e n t e r s b e i n g s p o n s o r e d by t h e N a t i o n a l S c i e n c eF o u n d a t i o n , a n d o t h e r a g e n c i e s w h ic h h a v e m o d e l e d p r o g r a m s a f t e r t h e N S F , c o n s is to f o n e o r t w o u n i v e r s it i e s , m u l t i p l e i n d u s t r y p a r t ic i p a n t s ( 1 0 -1 5 o r m o r e ) ,i n t e r d is c i p l i n a ry r e s e a r c h a c t i v i t ie s t a k i n g p l a c e w i t h i n a n d a m o n g e s t a b l i s h e d u n i t s( r a t h e r t h a n n e w , o f f -c a m p u s in s t i t u te s ) , a n d i n c l u s i o n o f e d u c a t i o n a l p r o g r a m s a s ak e y c o m p o n e n t . B e c a u s e o f t h e i r o r g a n i z a t i o n a l s t ru c t u r e , s u c h c e n t e r s e s s e n t i a ll ya r e p r e c l u d e d f r o m t h e d e v e l o p m e n t o f c o m m e r c i a li z a b le p r o d u c t s o r p r o c e s s e s a st h e i r p r i m a r y g o a ls . R a t h e r , t h e p r i m e o b j e c t i v e s i n c l u d e e x p a n s i o n o f g e n e r a lk n o w l e d g e , g r a d u a t e s t u d e n t e d u c a t i o n , a n d r e d i r e c t i o n o f u n i v e r s it y r e s e a r c h t o w a r din te rd isc ip l in ary , in d u s t r ia l ly r e lev an t p ro b lems .

T o c l a ri fy t h is p o i n t , it i s u s e f u l t o c o n t r a s t t h e e x p e c t a t i o n s o f t h e I U C RC e n t e r s p r o g r a m a n d t h e n o w d e fu n c t I U C R P r o j e c t s P r o g r a m . T h e I U C R P r o j e c t sp r o g r a m , b e g u n i n 1 9 7 8, u s u a l l y i n v o l v e d o n e i n v e s t i g a to r f r o m i n d u s t r y a n d o n e f r o ma u n i v e rs i ty . S u p p o r t w a s m a t c h e d b y f u n d s f r o m o n e o r m o r e o f t h e d i s c i p l i n a ryr e s e a r c h d i v is i o ns in N S F a n d t h e i n d u s t r i a l p a r t i c i p a n t p a i d f o r a t l e a s t 5 0 p e r c e n to f it s o w n c o s t s i n t h e c o o p e r a t i v e p r o j e c t ( 1 0 % f o r s m a l l b u s i n e s s e s ). T h e F Y ' 8 4I U C R P r o j e c t s b u d g e t w a s $ 7 m i l l io n , a n o t h e r $ 7 m i ll io n c a m e f r o m N S F R e s e a r c hD i r e c t o r i e s , a n d i n d u s t r y w a s e x p e c t e d t o f u n d a b o u t $ 1 4 m i l li o n . I n a s u r v e y o fu n i v e r s it y a n d i n d u s t r y p a r t i c i p a n t s , b o t h g r o u p s r a n k e d t h e t o p t h r e e g o a l s a s : ( 1)d e v e l o p p a t e n t a b l e p ro d u c t s ; ( 2 ) d e v e l o p c o m m e r c i a l p r o d u c t s ; a n d ( 3 ) i m p r o v em a n u f a c t u r i n g p r o c e s s e s (N a t i o n a l S c i e n c e F o u n d a t i o n 1 9 8 4b ). I n c o n t r a s t , a s u r v e yo f i n du s t ry p a rt i c ip a n t s in t h e I U C R C e n t e r s p r o g r a m i n d i c a te d t h a t t h e t o p f o u rg o a l s w e r e : ( 1 ) e x p a n s i o n o f g e n e r a l k n o w l e d g e ; (2 ) e n h a n c e m e n t o f g r a d u a t es t u d e n t s ' u n d e r s t a n d i n g o f i n d u s t ry ; ( 3 ) r e d i r e c t i o n o f u n i v e rs i t y r e s e a r c h t o w a r di n d u s t r i a l p r o b l e m s ; a n d ( 4 ) e n h a n c e m e n t o f t h e q u a l i ty o f in d u s t r i a l r e s e a r c h( N a t i o n a l S c i e n c e F o u n d a t i o n , N . d ). I m p o r t a n t l y , t h e l e a s t t w o i m p o r t a n t g o a l s fo rb o t h i n d u s tr y a n d f a cu l ty w e r e t h e d e v e l o p m e n t o f c o m m e r c i a l a n d p a t e n t a b l ep r o d u c t s i n t h e f ir m .I f o n e o f t h e m a j o r g o a l s o f i n c r e a s e d f e d e r a l f u n d i n g o f c o o p e r a t i v e i n d u s t r yu n i ve r s it y R & D i s t o e n h a n c e A m e r i c a n c o m p e t i t i v e n e ss i n t h e n e a r t e r m , t h e np e r h a p s t o o m u c h e m p h a s i s i s b e i n g p la c e d o n t h e c e n t e rs c o n c e p t . A d d i t i o n a ls t r a t e g i e s f o r li n k i n g i n d u s t r y a n d u n i v e r s i t y r e s e a r c h s h o u l d b e t r i e d w h i c h d o n o tc r e a t e t h e b a r r ie r s t o t h e d e v e l o p m e n t o f c o m m e r c i a li z a b l e p r o d u c t s a n d p r o c e s s e st h a t t h e c e n t e r s f a c e . W h i l e i t i s b e y o n d t h e s c o p e o f t h is p a p e r t o a d d r e s s s p e c i f ica l t e r n a ti v e s i n d e t a i l , t w o e x a m p l e s w i l l b e d i s c u s s e d t o i l l u s t r a t e p o s s i b l ea p p r o a c h e s .

8 4


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On e op t ion wou ld be to r e su r r e c t a m od i f i e d a nd e xpa nde d ve r s ion o f the I U C RP r o je c t s p r og r a m . B e c a use i t wa s lim i t e d to d i r e c t c o ll a bo r a tion be twe e n aunivers i ty and a com pany on a spec i f ic topic , a grea te r potent ia l ex is ted for d i rec t lypursuing com merc ia l ly re levant ideas , r a the r th an "generic" resea rch . To inc rease thec ha nc e s o f ha v ing a n im pa ct , t he p r og r a m shou ld be e m b r a c e d by o the r R & D a ge nc iesa nd e xpa nde d be yond the $14 m i l li on pe r ye a r l e vel p r ov ide d by the NS F . A l so , t heprog ram could encoura ge in te rd isc ip l ina ry team s (n ot jus t s ingle inves t iga tors a t theunivers i ty and indust ry) . In the case of the NSF, the req uirem ent for co- fundingf rom one of the d isc ip l ina ry resea rc h d iv is ions co uld be re laxed.A se c ond op t ion wou ld be m ode le d a f t e r t he S m a l l B us ine s s Innova t ion R e se a r c h( S B I R ) p r og r a m a s de ve lope d unde r t he S m a l l B us ines s I nnova tion De ve lop m e n t Ac t(P .L.97-219). Th e pr im ary purpose of the SBIR is to se t a s ide a smal l por t io n of ther e se a r c h a nd de ve lopm e n t f unds a pp r op r i a te d to f e de r a l a ge nc ie s t o t he f und ing o fhigh r isk technolog y deve loped by smal l bus inesses wh ich is potent ia l ly use ful both inthe c om m e r c ia l m a r ke tp l a c e a nd the f und ing age nc y . F unda m e n ta l t o i t s ob jec t ive o fprom ot ing innova t ion is the in tegra t ion o f four key pa r t ie s in the techno logica linnova t ion process : govern men t , smal l R& D in tens ive In 'ms, la rge r indus t r ia lcomp anies , and ventu re capital is ts . In Phase I o f the three phase p rogra m, theagency makes com pet i t ive awards of up to $50,000 for s ix months to de te rm inewh ether the re sea rch idea , of ten on h igh r isk advan ced concepts , i s technica llyfeas ib le . Phase I I i s the pr inc ipa l r e sea rch e f for t ; funding be tw een $100,000 and$500 ,000 m a y be p r ov ided f o r f u r the r r e se a r c h on P ha se I p r oposal s w i th the m os tp r om is ing c om m e r c ia l po te n ti a l. To im p le m e n t t h is ob je c t ive som e a ge nc ie s re que s t ,bu t do no t r e qu i re , t he p r opose r t o ob ta in a wr i t t e n f o llow on f und ing c om m i tm e n tf rom a th i rd pa r ty , cont ingent upo n winning the P hase I I award an d achievingcer ta in technica l objec tives . Phas e I I I i s to pursu e com merc ia l appl ica t ion andusua lly is suppor t e d so l e ly by non - f e de r a l f unding . The S B I R p r og r a m c ou ld beexten ded to inc lude univers i t ie s , e i the r w orking a lone in Phases I and I I or jo in t lywith a pr iva te company. Th e cur ren t SBIR p rogram a llows, and som e agenc ies (e .g .,the NSF ) encou rage , professors to pa r t ic ipa te throug h consul ting a r rang em ents ; theprop osed op t ion would a llow univers i tie s to pa r t ic ipa te in a mo re d i rec t and m ajorwa y . A l though the S B I R p r og r a m i s t oo ne w to be f u lly e va luat e d , p r e l im ina r yresul ts genera l ly have bee n assessed favorably (U.S . Congress 1986).

C O N C L U S I O NThe l a rge , i n te r d is c ip lina ry re se a r c h c e n te r s c a n b e ve r y im por t a n t t o t he longte rm hea l th of the sc ient if ic and techno logica l en te rpr ise in the U ni te d S ta tes .Tab le 1 li s ted many advantages for thes e cente r s f rom a n indust r ia l, unive rs ity , andpubl ic pol icy pe rspec t ive . T he o ne con c lus ion tha t mos t obse rvers wil l agree on istha t i t i s mu ch too ea r ly to eva lua te these cen te r s in depth ; i t wi ll take cont inu edsuppo r t over a t leas t 5-10 years be fore th ey can even begin to be fa i r ly judge d.Jour nal o f T e c hno l ogy T r ansf e r, 12 ( 1 ) , 198 7 35


10/11

T h i s i s v e ry m u c h a n " e x p e r i m e n t " . N e v e r t h e l e s s , b e c a u s e o f th e i r o r g a n i z a t i o n a ls t r u c t u r e t h e y a r e u n l i k e ly t o h a v e a d i r e c t e f f e c t O v e r t h e s h o r t t e r m o n t h ed e v e l o p m e n t o f c o m m e r c i a l p r o d u c t s a n d p r o c e s s es t h a t c a n i n c r e a s e t h e i n d u s tr i a lc o m p e t i t i v e n e s s o f t h e U n i t e d S t a t e s . T h e i r b e n e f i t s a r e l ik e l y t o b e i n d i r e c t a n dl o n g e r t e r m . T h e d a n g e r i s th a t t o o m u c h e m p h a s i s is b e i n g g iv e n t o t h e i r n e a rt e r m i n n o v a ti o n a n d c o m m e r c i a l b e n e fi t s; i f t h e y a re p e r c e i ve d a s n o t m e e t i n g s u c hu n r e a l i s t ic e x p e c t a t i o n s , t h e y m a y q u i c k l y l o s e p o l i t ic a l s u p p o r t .

R E F E R E N C E SB a l d w i n , D o n a l d , a n d J a m e s G r e e n , " U n i v e r s i t y - In d u s t r y R e l a t i o n s : A R e v i e w o f t h eL i t e r a t u re " , S o c i e t y o f R e s e a r c h A d m i n i s t r a t o r s J o u r n a l , S p r i n g 1 9 84 , p p . 5 -1 7 .D e r i n g e r , D o r o t h y , a n d A n d r e w M o l n a r , " U n i v e rs i ty , I n d u s t r y , F e d e r a l C o o p e r a t i o n - -A C ase S tudy" , Sc ience , Te chno logy , and H um an Values , 8 , Fa l l 1983 , pp . 40 -45 .F o w l e r , D o n a l d , " U n i v e r s i t y - In d u s t r y R e s e a r c h R e l a t io n s h i p s " , R e s e a r c hM a n a g e m e n t , 2 7, J a n u a r y / F e b r u a r y 1 9 84 , p p . 35 -4 1 .G o v e r n m e n t - U n i v e r s it y - I n d u st r y R e s e a r c h R o u n d t a b l e , N e w A l l ia n c e s a n dP a r t n e r s h ip s i n A m e r i c a n S c i e n c e a n d E n g i n e e r i n g , W a s h i n g t o n D C : N a t i o n a lA c a d e m y o f S c i e n c e s, 1 9 86 .K e n n e y , M a r t i n , B i o t e c h n o l o g y : T h e U n i v e r s i t y - t n d u s t r i a l C o m p l e x , N e w H a v e n :Ya le Un iv er s i ty P ress , 1986 .M at lack , C aro l , "S ign ing U p Sc ience" , Nat ion a l Jou rna l , M ay 23 , 1987, pp . 1348 -53 .N a t i o n a l A c a d e m y o f S ci e n ce s , S c i e n c e a n d T e c h n o l o g y C e n t e r s P r i n c ip l e s a n dG u i d e l in e s , A R e p o r t b y th e P a n e l o n S c i e n c e a n d T e c h n o l o g y C e n t e r s , W a s h i n g t o nD C : T h e A c a d e m y , 1 98 7.N a t i o n a l S c i e n c e F o u n d a t i o n , I n d u s t r i a l S c i e n c e & T e c h n o l o g i c a l I n n o v a t i o n :P r o g r a m R e p o r t , W a s h i n g t o n D C : T h e F o u n d a t i o n , 1 98 4a .

9 C o o p e r a t i v e S c ie n c e : A N a t i o n a l S t u d y o f U n i v e r s i t y a n d I n d u s t r yR e s e a r c h e r s , V o l . 1 . W a s h i n g t o n D C : T h e F o u n d a t i o n , 1 9 84 b .

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. prog ram An noun cemen t : Engineer ing Research Cente rs , F iscal Year 1986,Wash ington DC: The Foun da t ion , Di rec tora te for Engineer ing, 1985."Univers i ty / Indus t ry Coopera t ive Research Centers", W ashington DC: TheF ounda t i on . Unpub l i she d me m ora ndum , N.d.

Roy, Rus tom , "Univers i ty / Indus try Coupl ing: Phi losophica l Un derp innin g andEm pir ica l Learnings" in Indus t ry /Univers i ty Coopera t ive Programs, Proceed ings of awork shop he ld in conjunc t ion wi th the 20th annua l m ee t ing of the Counc i l ofGrad ua te Schools in the Un i ted S ta tes , W ashington DC, D ecem ber 2 , 1980.Sc ience and Publ ic Policy Program , Improv ing the Transfe r and Us e of Sc ienti fican__dTechnica l Informat ion: Th e Federa l Role , Prepa red for the Off ice of Pol icyResearch and Analys is , Na t iona l Sc ience Found a t ion , No rman OK: Th e Program ,1986.U.S . Congress , Hou se of Representa t ives , Reauthor iza t ion of the Smal l Bus inessInnova t ion Deve lopment Ac t o f 1982, Hear ings of the Su bcom mit tee on G enera lOvers ight and the Econo my of the Hous e Co mm it tee on Small Bus iness , May 15, 1986.Unpub l i she d .U.S . Congress , Off ice of Techn ologyA ssessme nt , Inform at ion Technology: Cri t ica lTren ds and Issues , Washington DC : Go vernm ent Pr in t ing Off ice , 1985.Walsh, John, "NSF Puts Big Stake o n Rese arch C enters", Science, 236 , Ap ri l 3, 1987,pp. 18-19.

Journal of Technology Transfer, 12(1 ), 1987 37

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