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Technology Transfer and US Public Sector Innovation

Albert N. Link and Zachary T. Oliver

Technology Transfer and US Public Sector Innovation provides an overview of US technology policies that are the genesis for observed technology transfer activities. By describing the technology transfer process from US federal laboratories and other public sector organizations, this exploration informs the reader in detail of how the transfer process behaves and the social benefits associated with it.
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Index

Albert N. Link and Zachary T. Oliver

academic literature 4958, 67, 166
Accelerating Technology Transfer Presidential Memorandum (2011) 235
and measures of ‘pace’ or ‘effectiveness’ 150, 151
and NIST 25, 65
RTI International study motivated by 68
Adams, J.D. 52, 56, 166
Advanced Technology Program 166
agencies see federal agencies
American Recovery and Reinvestment Act (ARRA) 27
Bayh-Dole Act of 1980 42
Bozeman, B. 13, 29, 61, 656, 68
Bush, G.H.W. 223
Bush, V. 1516, 32, 12930, 144
Carter, J. 17, 29, 1578
Chen, C. 29, 47, 55, 578, 70
Cochrane, R.H. 1424
CRADAs (Cooperative Research and Development Agreements)
in academic literature 4952, 556, 578
in Accelerating Technology Transfer Presidential Memorandum 234
agencies’ authority to enter into 29
in Federal Technology Transfer Act 19, 2023, 47
as market for new technological knowledge 113
metrics
active traditional 745, 83103
aggregated across all federal agencies 78
growth rates 756, 79, 11011, 11314
number of new 735, 83103
by selected federal agencies 107, 10911, 113
total active 735, 83103
in policy literature 5961, 64, 67
Department of Agriculture see US Department of Agriculture (USDA)
Department of Commerce (DOC)
background information 71
calculated filing ratios 152, 154
calculated license success rates 152, 153
calculated transfer rates 153, 155
estimated public sector knowledge production function 124, 126
federal R&D allocations 1045
increase in CRADAs 73
National Bureau of Standards transferred to 142, 144
number of US STEM employees 106
organizations within 134
reportings
biannual, submission to Congress 245
CRADA information 52
of scientific publication information 134
on technology transfer 65
on trends in emerging technologies 1478
technology transfer
examples of successful 117
mechanisms and metrics 845
reportings on 65
willingness to participate in RTI study 68
Department of Defense (DOD)
background information 71
calculated filing ratios 152, 154
calculated license success rates 152, 153, 154
calculated transfer rates 153, 155
CRADAs
new 10911, 114
potential impact of increasing growth rate in 113
distribution of funded projects 15960, 161
distribution of mean value of new patent applications 163
estimated public sector knowledge production function 124, 126
federal R&D allocations 1045
licensing activities study 67
National Bureau of Standards research funded by 144
new inventions disclosed 107, 111, 114
new licenses 10911, 114
new patent applications 108, 11112, 114, 163
new patents issued 73, 108, 10911, 114
number of US STEM employees 106
SBIR funded projects
distribution of 15960, 161
negative binominal regression results 164
variables 162
technology transfer
examples of successful 117
mechanisms and metrics 867, 10715
policy literature 61, 63, 65
Technology Transfer Consortium 19
willingness to participate in RTI study 68
Department of Energy (DOE)
absence from RTI study 68
background information 71
best practice document by 67
calculated filing ratios 152, 154
calculated license success rates 152, 153
calculated transfer rates 153, 155
collaborations 49
estimated public sector knowledge production function 1245, 126
federal R&D allocations 1045
increased patenting activity in 1980s 56
new CRADAs 109, 111, 114
new inventions disclosed 107, 10911, 114
new licenses 109, 111, 114
new patent applications 108, 11112, 114, 163
new patents issued 108, 11112, 114
number of US STEM employees 106
reports on 656
SBIR funded projects
distribution of 15960, 161
negative binominal regression results 164
variables 162
technology transfer
academic literature 5051, 53, 57
examples of successful 118
mechanisms and metrics 889, 10715
policy literature 59, 60, 62
Department of Homeland Security (DHS)
background information 71
calculated filing ratios 152, 154
calculated license success rates 152, 153
calculated transfer rates 153, 155
federal R&D allocations 1045
number of US STEM employees 106
technology transfer
examples of successful 118, 121
mechanisms and metrics 923
Department of Interior (DOI)
background information 72
calculated filing ratios 152, 154
calculated license success rates 152, 153
calculated transfer rates 153, 155
estimated public sector knowledge production function 1245, 126
federal R&D allocations 1045
number of US STEM employees 106
technology transfer
examples of successful 119
mechanisms and metrics 945
willingness to participate in RTI study 68
Department of Transportation (DOT)
background information 72
calculated filing ratios 152, 154
calculated license success rates 152, 153
calculated transfer rates 153, 155
estimated public sector knowledge production function 1245, 126
federal R&D allocations 1045
number of US STEM employees 106
technology transfer
examples of successful 119
mechanisms and metrics 967
willingness to participate in RTI study 68
Department of Veterans Affairs (VA)
background information 72
calculated filing ratios 152, 154
calculated license success rates 152, 153
calculated transfer rates 153, 155
estimated public sector knowledge production function 124, 126
federal R&D allocations 1045
number of US STEM employees 106
technology transfer
examples of successful 119
mechanisms and metrics 989
Domestic Policy Review (1979) 17, 1578
Economic Recovery Tax Act (ERTA) of 1981 42
economics see technology transfer economics
Environmental Protection Agency (EPA)
background information 72
calculated filing ratios 152, 154
calculated license success rates 152, 153
calculated transfer rates 153, 155
estimated public sector knowledge production function 124, 126
federal R&D allocations 1045
number of US STEM employees 106
technology transfer
examples of successful 120
mechanisms and metrics 100101
willingness to participate in RTI study 68
evaluation
counterfactual method 1678
of CRADAs 59
of federal laboratory activities 166
reasons for 1678
use of term 166
federal agencies
in Federal Technology Transfer Act 1920
in President’s Management Agenda 26
in Technology Transfer Commercialization Act 24
technology transfer mechanism metrics
by agency and fiscal year 82103
federal R&D allocations 1045
graphical view over time 6973
growth rates 739, 10715
new metrics 15056
number of US STEM employees 106
technology transfers
examples of successful 11620
impact of R&D spending on 12833
patent data analysis 28
terminology 4
see also federal laboratories
federal laboratories
numbers in United States 12
technology transfer
downside risk 378
economic arguments for 30, 32, 33
evaluation of activities 1668
genesis of scholarly studies 9
impact of Federal Technology Transfer Act 437
impact of Stevenson-Wydler Act 437
literature on mechanisms 4968
policies toward 1729
publications as mechanism 1349
simple view of process 6970
terminology 4
see also federal agencies
Federal Laboratory Consortium (FLC) for Technology Transfer
CRADAs
benefits to laboratories 22
definition 21
date of origin 19
definition of technology transfer 2, 3
estimated number of federal laboratories 12
formalized through Technology Transfer Act 19
on management of federal laboratories 20
Playbook 67
Technology Transfer Desk Reference 21, 64, 67
federal R&D
allocations by agency 1045
in heuristic arguments 323
identifying R&D projects in need of support from 334, 367
innovation as output of 4
investments, private sector firms versus federal agencies 164
spending, relationship with productivity growth 437
toward return on investment to 289
Federal Technology Transfer Act of 1986 2023
amendment of Stevenson-Wydler Act with passage from 19
biannual reports required by 245
effectiveness 30
establishment of FLC 19
impact
on CRADA activity at NIST 55, 578, 59
on effectiveness of intramural federal R&D on total factor productivity 437
on patenting activity at NIST and Sandia 48, 523, 56
on technology transfer from federal laboratories 437
fiscal accountability 167
FLC see Federal Laboratory Consortium (FLC) for Technology Transfer
Galvin Report 60, 65
government owned, contractor
operated (GOCO) laboratories 12, 2021, 29, 60, 65
government owned, government operated (GOGO) laboratories 20, 29
Government Performance and Results Act (GPRA) 167, 168
Health and Human Services (HHS)
background information 71
calculated filing ratios 152, 154
calculated license success rates 152, 153, 154
calculated transfer rates 153, 155
estimated public sector knowledge production function 124, 126
federal R&D allocations 1045
new CRADAs 10911, 114
new inventions disclosed 107, 11012, 114
new licenses 109, 111, 114
new patent applications 108, 111, 112, 114
new patents issued 108, 111, 112, 114
number of US STEM employees 106
SBIR funded projects 15960
technology transfer
early report on 59
examples of successful 118
in history of 15
mechanisms and metrics 9091, 111, 114
willingness to participate in RTI study 68
heuristic arguments 30, 323
High Technology Research and Development Joint Ventures Act of 1983 40, 42
Information Technology and Innovation Foundation (ITIF) 62, 66
innovation
definition 7, 128
and federal technology transfer 150
fueling economic growth 24
goal to improve transition to marketplace 26
industrial 23
post-productivity slowdown technology-related and innovation-related policies 42
public sector 46
in R&D, technology, transfer chain 2
report on unleashing 267
scientific discovery as source 1289
in Small Business Innovation Development Act 158
small firms as engine for 157
supported by public and private sector 12
technological 3, 18, 40, 158
technology transfer as driver of 24
terminology 4
Institute for Defense Analysis (IDA) 6061, 65
Interagency Workgroup on Technology Transfer (IAWGTT) 245
inventions disclosed
across individual agencies 82103
agency metrics across technology transfer mechanisms 74
average annual growth rate 79
graphical description
aggregated across all federal agencies 73, 76
by selected federal agencies 107, 110
and knowledge production function 1256
leading to new patent applications 1313
number at NIST 135
as possible measure of knowledge 127
R&D investments leading to 1313
relation to R&D and publications 1369
relations to licensing success rate 15051, 152, 154
by selected federal agencies
generalization re technology 108
graphical description 107, 110
growth rates 11011, 114
and new patent applications 11112
as starting point for patenting and licensing activity 69
in technology transfer process 69, 111, 128, 130, 139
knowledge
as fundamental to economic growth 129
historical context 1416
new inventions disclosed as measure of 127
origin of 122
R&D-based 36, 129
from SBIR projects 16164
science as search for new 7
scientific 1516, 12930
spillovers 56, 160
tacit or codified 3, 5, 7, 8, 113, 143
technology as application of 7
see also technical knowledge
knowledge-based technical innovation 56
knowledge production function 1227, 128, 16061
kutils 113
Leyden, D.P. 4, 10, 1213, 16, 42, 47, 147, 165
licenses
in academic literature 51, 53, 57, 58
across individual agencies 82103, 11720
agency metrics across technology transfer mechanisms 74
graphical description
income from, aggregated across all federal agencies 78
new, aggregated across all federal agencies 77
new, by selected agencies 10910
growth rates
for all federal agencies 79
for selected agencies 111, 11214
income from 28, 73, 75, 78
leading to new technology being adopted 1313
and new patent applications 125, 1313
number of new 73, 77
in policy literature 60, 61, 63, 67
in technology transfer process 6970, 111, 128, 130, 139
as transfer technology mechanism 23
Licensing Success Rate metric 15056
Link, A.N. 4, 10, 1213, 16, 289, 36, 39, 40, 42, 478, 52, 55, 56, 578, 63, 69, 70, 80, 122, 125, 127, 147, 165, 1668
Matthew Effect 8
mechanisms see CRADAs; inventions disclosed; licenses; patents; publications
metrics
by agency and fiscal year 82103
exploring new 15056
federal R&D allocations 1045
growth rates 739, 10715
number of US STEM employees 106
Morrill Act of 1862 15
Morris, C.A. 80, 122, 125
Mowery, D.C. xi, 4950, 52, 56, 68
National Aeronautics and Space Administration (NASA)
background information 72
calculated filing ratios 152, 154
calculated license success rates 152, 153
calculated transfer rates 153, 155
estimated public sector knowledge production function 124, 126
evaluation of International Space Station 166
federal R&D allocations 1045
new CRADAs 107
new inventions disclosed 107, 109, 111, 114
new licenses 73, 109
new patent applications 108, 109, 11112, 114, 163
new patents issued 108, 109, 11112, 114
number of US STEM employees 106
SBIR funded projects
distribution of 15960, 161
negative binominal regression results 164
variables 162
study of patenting 56
technology transfer
academic literature 51
examples of successful 120
mechanisms and metrics 1023, 10715
National Bureau of Standards
acting as host agency 19
background information 1424
renaming 144, 1479
National Competitiveness Technology Act of 1989 21
National Cooperative Research Act 42, 166
National Institute of Standards and Technology (NIST)
aggregated agency metrics across all technology transfer mechanisms, 74
biannual reports prepared and submitted by 25
commission of literature review on technology transfer research and evaluation 656
definition of technology transfer 2
formerly National Bureau of Standards 19
granting network safety technology license 117
historical background
National Bureau of Standards 1424
renaming 144, 1479
standard weights and measures 140142
impact of Federal Technology Transfer Act on CRADA activity at 55, 578, 59
on intellectual property 134
laboratory R&D budget 1369
NASA’s technology transfer activities 73
new inventions disclosed 135, 1379
patenting activity
impact of Federal Technology Transfer Act 48, 523, 56
impact of Stevenson-Wydler Act 48, 52, 56
policy literature on 634, 67
report on ROI initiative 26, 28
scientific and technical publications 1345, 1379
Technology Partnerships Office 12, 25, 678, 70, 73, 116, 134, 150, 151
National Research Council (NRC) 278, 159
National Science Foundation (NSF) 52, 130, 1578, 15961, 163
Nixon, R. 1920
Obama, B. 27, 29
see also Accelerating Technology Transfer Presidential Memorandum (2011)
Oliver, Z.T. 29, 47, 55, 578, 70
Organic Act of 1901 142, 144, 1456
patents
in academic literature 513, 556, 57, 58
and Licensing Success Rate 151, 1523
new applications
across individual agencies 82103, 11719
aggregated across all federal agencies 734, 76
elasticity 289, 131, 1323
growth rates 756, 79, 11114
inventions disclosed as starting point for 110, 1313
in public sector knowledge production function 1237
in SBIR projects 16164
by selected federal agencies 107, 108, 10910
new issues
across individual agencies 82103, 11719
aggregated across all federal agencies 734, 77
elasticity 131, 1323
growth rates 756, 79, 11114
leading to new licenses 110, 1313
new patent applications as starting point for 110, 1313
by selected federal agencies 107, 108, 10910
in policy literature 634, 67
under Technology Transfer Commercialization Act 25
in transfer technology process 6970, 111, 128, 130, 139
performance accountability 167
policies see technology transfer policies
policy literature 5867, 166
Popp, D. 545, 57, 68
President’s Management Agenda (PMA) 258, 150, 151
private sector
consumers in 56
cooperation with 32
and CRADAs 223, 58
demand side to technical knowledge market 112
investments in R&D 8
motivational differences with public sector 6
in National Competitiveness Technology Act 21
in President’s Management Agenda 267
and public sector’s investments 168
R&D elasticity of new licenses 132
SBIR Program 15764
as targeted party of legislation 42
in transfer technology process 6970, 111, 128, 130, 139
productivity
growth 40, 42, 43, 457, 147
slowdown 3, 1718, 289, 30, 40, 42, 47, 147, 166
see also total factor productivity (TFP)
public sector innovation 46
defining characteristics 5
definitions 5
drivers of 5
motivations 6
segue to concept of federal technology transfer 8
public sector knowledge production function 1227, 128
public sector, use of phrase 34
publications
effect of increasing R&D funding 57
as technology transfer mechanism 1349
R&D
relation to technology transfer 12
from SBIR projects 16164
study into private and social rates of return 338
toward ROI to federal 289
R&D funding
in academic literature 54, 57
as genesis element or catalyst of what is transferred 3, 64
R&D spending
in academic literature 54
increases in private sector 40
and new innovations disclosed 136
relationship with measured productivity growth 437
on technology transfer in federal agencies, impact of 12833
Reagan, R. 24
return on investment (ROI) 267, 289
Roosevelt, F.D. 1516, 12930
Sandia National Laboratories patenting activity
impact of Federal Technology Transfer Act 48, 523, 56
impact of Stevenson-Wydler Act 48, 52, 56
SBIR Program
background information 1579
data description 15960
preliminary evaluation 166
R&D and knowledge from projects 16164
science
ability of American people to harness 20
contribution to economic growth 27
definition 7
important role of 16
Scott, J.T. 13, 36, 39, 127, 165, 1668
Siegel, D.S. 29, 40, 478, 52, 56, 70, 147
Small Business Innovation Development Act of 1982 42, 158
standard weights and measures 14042
Stevens, A.J. 53, 567
Stevenson-Wydler Act of 1980 1720
amendments 19, 21, 23
Congress passing 3
effectiveness 30
evaluation completeness shortfall 166
impact on patenting activity at NIST and Sandia 48, 52, 56
impact on productivity growth 47
impact on technology transfer from federal laboratories 437
as response to productivity slowdown 30, 40, 42
technical knowledge
Carter encouraging flow of 17
either tacit or codified in nature 3, 7, 8, 143
example of Bureau-based 143
historical context 1415
market for 11213, 115
and new CRADAs 108, 110
from publications 139
technological innovation 3, 18, 40, 158
technology
concept 78
definition 7
Technology Competitiveness Act 149
technology transfer
definitions 23
evaluation 1668
examples of successful 11620
graphical view over time 6973
history in United States 1416
impact of R&D spending on 12833
origin of concept 89
publications as mechanism of 1349
redefining 79
relation to R&D 12
from SBIR Program 15764
study of 9
UNESCO’s explanation of 1415
use of phrase 7
see also metrics
technology transfer activity
academic literature related to 4958, 67, 166
historical context for 1416
policy literature related to 5867, 166
R&D study
downside risk 378
hurdle rates 338
private rate of return 337
social rate of return 334, 356, 38
spillover gap 356
theoretical arguments 338
technology transfer economics
benefits of SBIR Program 15960
DOD licensing activities 67
heuristic arguments 30, 323
innovation fueling growth 24
knowledge as fundamental to growth 129
new patent applications 125
in NIST definition 2
paucity of studies 156
policy literature 613
in President’s Management Agenda 267
R&D importance for continued growth 8
regional laboratories 66
small firms as vehicle for stimulating growth 157
Stevenson-Wydler Technology Innovation Act 1718, 23
theoretical arguments 338
in U.S. Technology Policy 22
technology transfer policies
effectiveness of 4047
Federal Technology Transfer Act of 1986 2023
heuristic arguments in support of 30, 323
impetus for 17
Obama’s accelerating memorandum 235
policy literature 5867, 166
Stevenson-Wydler Act of 1980 1720
towards ROI to federal R&D 289
Trump’s Management Agenda 258
theoretical arguments 338
total factor productivity (TFP) 3031, 39, 4041, 43, 445, 47, 147
Trump’s Management Agenda 258, 150, 151
US Department of Agriculture
(USDA)
background information 71
calculated filing ratios 152, 154
calculated license success rates 152, 153
calculated transfer rates 153, 155
estimated public sector knowledge production function 124, 126
federal R&D allocations 1045
number of US STEM employees 106
technology transfer
examples of successful 11617
in history of 15
mechanisms and metrics 823
willingness to participate in RTI study 68
USDA see US Department of Agriculture
van Fleet, D.D. 29, 478, 52, 56, 70
van Hasselt, M. 289, 80, 125