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Structuring Public–Private Research Partnerships for Success

Empowering University Partners

Gordon Rausser, Holly Amedon and Reid Stevens

As funding for universities and governmental research units has declined, these institutions have turned to the private sector to augment their research and development budgets. This book presents a framework for structuring public-private research partnerships that protect both these institutions’ academic freedom and the private firm’s corporate interests. This formulation is developed using insights originating from the incomplete contracting and collective decision making literatures. The book presents a number of template designs for a variety of research partnerships.
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Index

Empowering University Partners

Gordon Rausser, Holly Amedon and Reid Stevens

Abate, T. 176
absorption capacity 34
academic freedom 9, 1213, 81, 83, 93, 101, 103108, 111, 16971, 180, 1823, 188
see also faculty autonomy
active strategy 83, 160, 172,175, 182, 187
see also bargaining space; passive strategy; templates for PPRPs
adjunct faculty 14, 924, 978
Aghion, P. 131, 13940, 1556, 185
Agricultural Research Service (ARS) at the US Department of Agriculture 102, 26378
see also Cooperative Research and Development Agreement; guidelines; US Department of Agriculture
agricultural science
assets 162
funding trends 279
knowledge 70
see also biotechnology; land-grant universities
Alonso-Conde, A. 134, 147
Alston, J.M. 27
Ameden, H. 158
Anderson, M.S. 10
applied research 18, 225, 313, 3740, 512, 5460, 67, 81, 94, 99, 150, 166, 169
see also basic research; mousetraps; private goods; research models
appropriability 73, 767
Araujo, S. 138, 164
Arora, A. 34, 74
Arrow, K.J. 71, 73
ARS (Agricultural Research Service at the US Department of Agriculture) 102, 26378
see also Cooperative Research and Development Agreement; guidelines; US Department of Agriculture
Arthur, B.W. 70
Association of University Technology Managers (AUTM) 67, 189
AT&T Bell laboratories 24
Athias, L. 138, 164
Audretsch, D. 35
authority
assigned 12, 10612, 11819, 1214, 1317, 1436, 14953
joint 107, 129
see also background rights; control premium; control rights; decision making authority; governance structure; intellectual property; structure of research partnerships
AUTM (Association of University Technology Managers) 67, 189
automotive companies 88
see also Power Electronic Building Block
Azoulay, P. 32
background rights 82, 159, 186
see also authority; control premium; control rights; decision making authority; governance structure; intellectual property; structure of research partnerships
bargaining 72, 418, 5056, 10513, 12930, 140, 15760, 1678
axiomatic specification for cooperative versus non-cooperative outcomes 11517
impure goods 144, 146
interest subgroups 112
power coefficients 110
space 13, 39, 41, 158, 160, 172, 1747, 18087
see also collective choice and decision making; Nash–Harsanyi framework; Nash cooperative bargaining solution; negotiation; templates for PPRPs; structure of research partnerships
Barroso, Jose Manuel 11
basic research 18, 225, 37, 39, 54, 578, 6061, 67, 81, 90, 94, 9, 139, 1567, 16970, 183, 185
funding trends 4, 3034, 37
see also applied research; public goods; research models; theorems
Bayh–Dole Act 57, 28, 32, 37, 68
Beattie, B. 28
Beaudry, C. 35
Beggs, A.W. 166
Bekelman, J.E. 185
Bell Laboratories 245
benefit separability 46
see also research models
benefits of partnerships 5, 8, 10, 13, 17, 30, 32, 469, 81104, 113, 1316, 139, 14650, 1558, 161, 164, 167, 1848
see also risks of partnerships
Bennet, A. 79
Bennett, J. 1356
Berdahl, Robert 989
Bergman, K. 79
Berkeley–Novartis 878, 9299, 103104, 17482
see also College of Natural Resources; Department of Plant and Microbial Biology; Novartis Agricultural Discovery Institute; University of California, Berkeley
Bero, L.A. 10
Besley, T.J. 1323, 139, 1445
BHEF (Business–Higher Education Forum) 82, 8791, 93, 99
see also guidelines; Working Together, Creating Knowledge: The University–Industry Research Collaboration Initiative
Biolex, Inc. 88
see also spinoffs
bioprospecting 756
biotechnology 346, 8992
early-stage firms 33
intellectual property rights 67, 71, 7780, 140
knowledge 34, 7072, 74, 7680
research 17, 24, 157, 162, 176
see also agricultural science; land-grant universities
Biscotti, D. 35
Blanc-Brude, F. 137
Bloom, N. 131, 185
Blume-Kohout, M. 33
Blumenstyk, G. 95, 185
Blumenthal, D. 10, 32
Blundell, R. 131, 185
Bolton, P. 131, 13940, 1556
Boots Co. 911
BP (British Petroleum) 90, 14850
Breschi, S. 312
Brewer, M.B. 6, 334
bridging scientists 33
British Petroleum (BP) 90, 14850
Brooks, H. 186
Brown, C. 134, 147
Buchanan, Bob 956
Bush, Vannevar 214, 37
see also paradigms of scientific research
Business–Higher Education Forum (BHEF) 82, 8791, 93, 99
see also guidelines; Working Together, Creating Knowledge: The University–Industry Research Collaboration Initiative
C2B2 (Center for Biorefining and Biofuels) 15051
see also Center Executive Board; renewable energy
Cabral, S. 137, 146
Callaert, J. 312
Caltech Boeing Strategic Agreement 91
see also University–Industry Demonstration Project
Campbell, E. 10, 32
Carnegie Mellon University 7, 90
see also lablets; open collaborative research
case studies 87, 1369
Berkeley–Novartis 878, 9299, 103104, 17482
Biolex, Inc. and North Carolina State University 88
Boots Co. 911
Business–Higher Education Forum 8790
Caltech Boeing Strategic Agreement 91
Center for Biorefining and Biofuels 15051
Energy Biosciences Institute 90, 14850
General Electric’s University Strategic Alliance Program 8990
Global Climate and Energy Project 15051
IBM’s Open Collaborative Research Program 90
infrastructure 1478
Intel lablets 90
Iowa State University and ConocoPhilips 1512
Massachusetts Institute of Technology Media Lab 9091
Power Electronic Building Block 889
President’s Council of Advisors on Science and Technology 8991
renewable energy 14852
Ribozyme Pharmaceuticals, Inc. and University of Colorado 89
University–Industry Demonstration Partnership 912
University–Private Sector Research Partnerships in the Innovation Ecosystem8991
University of Tennessee, Scintillation Materials Research Center and Siemens Medical Solutions 912
Washington University Medical School and Monsanto 176
WU–Monsanto 87, 17482
see also empirical research
Causino, N. 10, 32
CEB (Center Executive Board) 15051
see also Center for Biorefining and Biofuels; research agenda
CEF (cooperative efficiency frontier) 11928
Center Executive Board (CEB) 15051
see also Center for Biorefining and Biofuels; research agenda
Center for Biorefining and Biofuels (C2B2) 150
see also Center Executive Board; renewable energy
Center for Studies in Higher Education (CSHE) 92, 96
see also evaluations; reviews
Center on Budget and Policy Priorities 1
CFS (complete feasibility set) 1216
Chan-Kang, C 27
Chapela, D.I. 95
Chong, E. 136, 138, 146, 161, 164
Christ, C.F. 19
Chung, A. 7
Clard, O. 10
clinical research and trials 87
see also types of PPRPs
CNR (College of Natural Resources) 13, 92, 96, 1767
see also Berkeley–Novartis; Department of Plant and Microbial Biology; University of California, Berkeley
Cockburn, A. 177
Cohen, W.M. 69
collective choice and decision making 12, 105, 11213, 183
see also bargaining; governance structure; Nash–Harsanyi framework; Nash cooperative bargaining solution; negotiation
College of Natural Resources (CNR) 13, 92, 96, 1767
see also Berkeley–Novartis; Department of Plant and Microbial Biology; University of California, Berkeley
complements 2934
see also crowding-in and crowding-out
complete feasibility set (CFS) 1216
confidentiality agreements 14, 73, 82, 85, 94, 100, 149, 188
conflict and controversies in PPRPs 8, 9, 12, 1415, 22, 85, 100103, 105, 115, 139, 156, 170, 176, 1834
Berkeley–Novartis 929, 174
ideology 107
land-grant university research 28
resolution 84, 106107, 163
strategies 115, 117, 124
see also conflicting research objectives; research agenda
conflict of interest 81, 99, 103, 170
conflicting research objectives 1115, 81
see also conflict and controversies in PPRPs; research agenda
ConocoPhillips 1512
see also impure goods; renewable energy
consortia 86, 135, 168, 172
see also types of PPRPs
control premium 15, 78, 107, 110, 12942
see also authority; background rights; control rights; decision making authority; governance structure; intellectual property; structure of research partnerships
control rights 1112, 15, 101102, 106, 110, 129, 13161, 16877, 18188
back-end 158, 159, 161, 1647, 1707, 1735, 177, 182, 187, 188
front-end 1579, 1612, 167, 17071, 175, 182, 187
see also authority; background rights; control premium; decision making authority; governance structure; intellectual property; structure of research partnerships
cooperative efficiency frontier (CEF) 11928
Cooperative Research and Development Agreement (CRADA) 102103, 26384
see also guidelines; US Department of Agriculture; US Department of Energy
cooperative solution 105107, 112, 116, 119, 120, 122, 129, 146
see also Nash–Harsanyi framework; Nash cooperative bargaining solution
core principles 10, 834, 98, 103, 108, 169
see also cultural differences; ideology
Cornell University 99102, 205
see also guidelines
cost of power to the partner 118, 119, 130
see also objective function
cost separability 46
see also research models
CRADA (Cooperative Research and Development Agreement) 102103, 26384
see also guidelines; US Department of Agriculture; US Department of Energy
cross-licensing agreements 72
see also intellectual property; licensing
crowding-in and crowding-out 2933, 3964, 93
see also complements; substitutes
Crozie, R. 25
CSHE (Center for Studies in Higher Education) 92, 96
see also evaluations; reviews
CU (University of Colorado) 89, 151
cultural differences 10, 14, 814, 88, 103, 108109, 169, 184, 186
see also core principles; ideology
Cyert, R.M. 19
Dalton, R. 176
Darby, M.R. 6, 334
DARPA (Defense Advanced Research Projects Agency) 17, 22
see also National Science Foundation
David, P. 7, 17, 2931
Debackere, K. 312
Debre, P. 24
Dechenaux, E. 166
decision-making authority 12, 106107, 111, 146, 149, 1513, 161, 167
see also authority; background rights; control premium; control rights; governance structure; intellectual property; structure of research partnerships
Defense Advanced Research Projects Agency (DARPA) 17, 22
see also National Science Foundation
Department of Agriculture 3, 102
guidelines 26378
see also Agricultural Research Service; Cooperative Research and Development Agreement
Department of Energy (DOE) 102103, 252, 27984
see also Cooperative Research and Development Agreement; guidelines
Department of Plant and Microbial Biology (PMB) 878, 928, 1746, 181
see also Berkeley–Novartis; College of Natural Resources; University of California, Berkeley
Deresiewicz, W. 9
Desai, S. 35
Desrieux, C. 138, 161, 164
Dewatripont, M. 131
Diamond, A.M. 3031
Diamond v. Chakrabarty 6, 69
Ding, W. 323
disagreement outcomes 412, 534, 106, 115, 123, 127
see also bargaining; negotiation; non-cooperative solution; renegotiation; threat points
Djulbegovic, B. 10
DOE (Department of Energy) 102103, 252, 27984
see also Cooperative Research and Development Agency; guidelines
Drago, R.W. 131, 1345
early-stage firms 35
see also early stage research
early-stage research 345, 14041, 157, 174
EBI (Energy Biosciences Institute) 90, 14850
see also renewable energy
economic efficiency frontier (EEF) 11928
economic feasibility set (EFS) 11928
EEF (economic efficiency frontier) 11928
EFS (economic feasibility set) 11928
Eisenberg, R.S. 72, 83, 185
empirical research 1920, 2738, 76, 108, 11314, 1369, 1411558, 1612, 1834
see also case studies
Energy Biosciences Institute (EBI) 90, 14850
see also renewable energy
Engel, E. 1467
equal feedback 55
see also equal weighting; research models
equal weighting 55
see also equal feedback; research models
Ervin, D. 35
Estache, A. 147
European Commission 11
European Economic Plan 11
evaluations 923, 967, 103104, 1379, 151, 158, 1678, 171, 181
see also Berkeley–Novartis; Center for Studies in Higher Education; Michigan State University; Price and Goldman; reviews
Evenson, R. 28
Fabrizio, K. R. 32
faculty
attitudes and opinions 89, 14, 22, 926, 989
autonomy 1314, 101, 103, 108
see also academic freedom
competition for 68
control rights 1768
incentives 8, 289, 68, 96
licensing 324, 180
research agenda 14, 84, 878, 923, 967, 1512, 163, 166
spinoffs 170
see also adjunct faculty
Fernald, J. 1
Fischer, R. 1467
Fosfuri, A. 74
Francesconi, M. 1446
free riding 108, 112
see also collective choice and decision making
Frick, P. 73
Fuglie, K.O. 27
Galetovic, A. 1467
Gallini, N.T. 166
Gambardella, A. 34, 74
Gardner, B.L. 27
Gausch, J.L. 134, 147
GCEP (Global Climate and Energy Project) 15051
see also impure goods; renewable energy; Stanford University
Geertz, C. 109
General Electric’s University Strategic Alliance Program (GEUSAP) 8990
genetically modified organisms (GMOs) 6, 69, 78, 92, 176
see also biotechnology; Diamond v. Chakrabarty; Monsanto
GEUSAP (General Electric’s University Strategic Alliance Program) 8990
Ghatak, M. 1323, 139, 1445
Gill, M. 27
Gingras, Y. 32
Gittelman, M. 35
Glenna, L. 35
Global Climate and Energy Project (GCEP) 15051
see also impure goods; renewable energy; Stanford University
global ideal point 42, 54
see also research models
GMOs (genetically modified organisms) 6, 69, 78, 92, 176
see also biotechnology; Diamond v. Chakrabarty; Monsanto
Godin, B. 32
Goldman, L. 934, 98
Goldsmith, H. 137
governance structure 39, 84, 88, 103, 149, 1513, 159, 163, 17071, 1745, 177
Berkeley–Novartis 926
collective decision making 10530
criterion function 106107, 112, 11828
complete feasibility set (CFS) 1216
cooperative efficiency frontier (CEF) 11928
economic efficiency frontier (EEF) 11928
economic feasibility set (EFS) 11928
penalty function 11820, 1246
reward function 118, 120, 122, 1256
evaluation of 1379
joint authority 12930
see also authority; background rights; collective choice and decision making; decision making authority; control premium; control rights; structure of research partnerships
Government–University–Industry Research Roundtable (GUIRR) 912
see also guidelines
graduate students 9, 81, 857
academic freedom 101, 103
Berkeley–Novartis 936
funding 111, 187
University–Industry Demonstration Partnership 912
Graff, G.D. 76, 79, 87, 185
von Grebmer, K. 146
Green, J.R. 77
Greenberg, D. 28
Griffith, R. 131, 185
Gross, C.P. 185
Grossman, S.J. 1313, 1445
Guerzoni, M. 35
guidelines 91, 99103, 139, 1878, 20584
Business–Higher Education Forum
Cooperative Research and Development Agreement 102103, 27984
Cornell University 99102, 20516
Government–University–Industry Research Roundtable 912
Massachusetts Institute of Technology 21735
National Institutes of Health 85, 1645, 178
Stanford University 23650
University–Industry Demonstration Partnership 912
University of California 25162
US Department of Agriculture, Agricultural Research Service 26378
US Department of Energy 102103, 27984
Working Together, Creating Knowledge: The University–Industry Research Collaboration Initiative87, 91, 93
GUIRR (Government–University–Industry Research Roundtable) 912
see also guidelines
Gulbrandsen, M. 32
Gupta-Mukherjee, S. 323
Hall, B.H. 2931
Hamilton, K. 31
Hamm, S. 11
Harsanyi, J.C. 106, 111
see also Nash–Harsanyi framework
Hart, O.D. 1316, 1445, 156
Hartwich, F. 146
Harvard University
informal relationships 1734
research and growth 7
Hausman, D.M. 109
Heiman, A. 76, 185
Heller, M.A. 72, 83, 185
Hertzfeld, H.R. 82
hold-up rights 1011, 712, 77, 82, 183, 186
see also background rights; intellectual property; publication delay
Howitt, P. 131, 185
Huet, F. 136, 146
Huffman, W. E. 28, 367
Humphreys, C. 24
IBM’s Open Collaborative Research program 90
see also open collaborative research
ideology 9, 107113
see also core principles; cultural differences; objective function
IFAS (Institute for Food and Agricultural Standards) 93, 978see also evaluations; Michigan State University; reviews
impure goods 139, 14354
control rights 143, 145, 148
definition 143
degree of impurity 144, 145, 148
in developing countries 147
empirical research
infrastructure 1478
renewable energy 14852
public goods 133, 136
renewable energy 14352
theoretical research 1446
in-house research labs 24
incentives 17, 12, 18, 249, 35, 39, 445, 6061, 678, 725, 7980, 11314, 1326, 147, 153, 155, 168, 184, 1867
incomplete contracts 11, 12, 13142, 144, 1556, 158, 161, 184
bundling construction and operation 135
contractual and relational governance 138
definition 131
empirical research 1369
prisons 134
private good PPPs 13133
public good PPPs 1324, 136
theoretical research 1346, 161
theory 1313
see also uncertainty
informal relationships 356, 86, 138, 161, 1735, 181
see also Harvard University; templates for PPRPs; types of PPRPs
information technology (IT) 6971, 7980
infrastructure 13, 1339, 144, 1478, 153
innovation 3, 5, 1112, 14, 234, 27, 658, 73, 767, 81, 856, 89, 103, 1345, 14041, 1567, 161, 1646, 16973, 17980, 1845, 1869
see also impure goods; knowledge; patents
Institute for Food and Agricultural Standards (IFAS) 93, 978
see also evaluations; Michigan State University; reviews
Intel lablets 90
see also open collaborative research
intellectual property
assignment of rights 6, 25, 289, 746, 82, 85, 94, 100, 140, 159, 165, 173, 175, 186, 189
Bayh–Dole 689
Berkeley–Novartis 94, 967
fragmentation 712
see also cross-licensing agreements
GEUSAP 8990
guidelines 100104, 1789
IBM’s Open Collaborative Research Program 90
impure goods 143, 148, 153
knowledge 71, 74
law 57, 68
market structure 779
MIT Media Lab 90
research models 48
researcher incentives 557
sharing 86see also types of PPRPs
see also authority; background rights; control premium; control rights; decision making authority; governance structure; licensing; patents; structure of research partnerships
interest subgroup 110
organization for collective action 113
organized and unorganized 112
research partnership formation 112
see also bargaining; ideology; Nash–Harsanyi framework; Nash
cooperative bargaining solution; negotiation
invention disclosures 32, 35
Iossa, E. 1356, 162
Iowa State University 1512
see also renewable energy
Isis Innovation 6
iso-profit curves 412, 48
IT (information technology) 6971, 7980
Jensen, M.C. 1556
Jensen, R. 6, 34, 86, 166
Johns Hopkins University 6
Jones, B.F. 25
Jong, S. 36
Juan, E. 147
Just, R.E. 1, 29, 36
Kalt, J.P. 108
Kananian, R. 35
Kaplan, S. 156
Katz, M.L. 71
Kau, J.B. 108
Kealey, T. 18, 235, 67, 150
see also paradigms of scientific research
Kenney, M. 186
Kerr, N. 27
Kim, J. 25
Klotz, C. 27
knowledge
assets 658, 736, 7980, 162, 175
complementarity 76
conservation 756
patents and trade secrets 66
Bayh–Dole 689
codified 334, 66, 70, 74, 162see also public goods
creation 6580see also innovation
definition 66
markets and value 66, 6973, 779
and natural resource industries 73
tacit 336, 6671, 734, 1623
see also impure goods; innovation; intellectual property; licensing; patents
Kuhn–Tucker conditions 115, 121
Kuhn, Thomas 1822
see also Kuhn–Tucker conditions
Kumar, K. 33
lablets 9091
see also open collaborative research
Lach, S. 183
Lacy, W. 35
land-grant universities 279
see also agricultural science; biotechnology
Lapan, H.E. 73
Larsen, M.T. 312
Lau, C. 33
Lawrence Berkeley National Lab 90, 14850
see also renewable energy
Lerner, J. 140, 157, 159
Leslie, L.L. 185
lessons 1011, 8792, 1359, 1829
Levinthal, D.A. 69
Lewis, M.A. 1378, 161, 164
Lexchin, J. 10
Li, Y. 185
licensing 67, 12, 323, 68, 719, 8590, 133, 152, 159, 1646, 16973, 188
Bayh–Dole 68
Berkeley–Novartis 945, 978, 17980
Energy Biosciences Institute 14950
Global Climate and Energy Project 150
guidelines 99103
merger option 77
non-exclusive 5
see also innovation; intellectual property; knowledge; patents
Lim, K. 33
Link, A.N. 7, 24, 82
Lissoni, F. 312
local ideal point 42, 45, 55
see also research models
Louis, K.S. 10, 32
Lugar–Casey Global Food Security Act 11
Macho-Stadler, I. 166
maintained hypotheses 2021, 25
see also paradigms of scientific research
March, J.G. 19
Marco, A.C. 71, 77
markets for science and technology 6973
see also knowledge
Marra, M.C. 27
Martínez-Giralt, X. 166
Maskin, E. 131
Massachusetts Institute of Technology (MIT)
guidelines 99, 21735
Media Lab 9091
see also open collaborative research
research and growth 7
material transfer agreements 87
see also types of PPRPs
McPherson, M.S. 109
Meckling, W.H. 1556
Medlock, N. 6
Merges, R.P. 140, 157, 159
Michigan State University 968
see also evaluations; Institute for Food and Agricultural Standards; reviews
Milgrom, P. 7071
di Minin, A. 32
Missouri Botanical Garden 177
see also Monsanto; Washington University; WU–Monsanto
MIT (Massachusetts Institute of Technology)
guidelines 99, 21735
Media Lab 9091
see also open collaborative
research
research and growth 7
Monsanto 76, 87, 17482
see also Washington University; WU–Monsanto
Montobbio, F. 312
Moore, J. 1315, 1445
mousetraps 3944, 468, 5054, 569
see also applied research; private goods; research models
Mowery, D. 71
Muthoo, A. 1446
mutually optimal conflict strategies 117
see also bargaining; Nash cooperative bargaining solution; negotiation
Nash–Harsanyi framework 106, 11012, 120, 122
see also bargaining; collective choice and decision making; cooperative solution; Nash cooperative bargaining solution; negotiation
Nash cooperative bargaining solution 41, 423, 47, 53, 105, 115, 123
independence of irrelevant alternatives 106
individual rationality 106
linear invariance axiom 106
Pareto optimality 106
see also bargaining; collective choice and decision making; cooperative solution; Nash–Harsanyi framework; negotiation
National Defence Research Committee (NDRC) 21
National Economic Council 11
National Institutes of Health (NIH) 13, 17, 22, 33, 85, 99, 1646, 178
see also guidelines
National Science Foundation (NSF) 4, 9, 17, 223, 28, 185
see also Defence Advanced Research Projects Agency
natural resources 73, 1434, 1467
see also public goods
Nature92, 176
NDRC (National Defense Research Committee) 21
negotiation 438, 558, 8292, 1057, 108, 110, 11213, 141, 15768, 1878
guidelines 100103
leverage 435, 55, 177
see also crowding-in and crowding-out; Nash cooperative bargaining solution; research models; strategic interactions
see also bargaining; control premium; control rights; renegotiation; structure of research partnerships; templates for PPRPs
Nelson, R.R. 24
neoliberalism 9
neutrality
dynamic research model 556
static research model 458
see also non-neutrality
NIH (National Institutes of Health) 13, 17, 22, 33, 85, 99, 1646, 178
see also guidelines
Noma, E. 31
non-cooperative solution 41, 53, 106, 11517, 146
see also bargaining; disagreement outcomes; negotiation; threat points
non-neutrality
dynamic research model 5760
static research model 458
see also neutrality
North, D.C. 108109
North Carolina State University 88, 172
see also spinoffs
Novartis Agricultural Discovery Institute (Novartis) 87, 929, 174, 181
see also Berkeley–Novartis; College of Natural Resources; Department of Plant and Microbial Biology; University of California, Berkeley
NSF (National Science Foundation) 4, 9, 17, 223, 28, 185
see also Defence Advanced Research Projects Agency
objective function 52, 11013, 11821, 12930
see also ideology; Nash–Harsanyi framework; Nash cooperative bargaining solution
Office of Naval Research (ONR) 889
Office of Scientific Research and Development (OSRD) 212
Olson, M. 113
ONR (Office of Naval Research) 889
open collaborative research 867, 90, 173
see also lablets; research parks; templates for PPRPs; types of PPRPs
opposition to PPRPs 9, 12
see also conflict and controversies in PPRPs
OSRD (Office of Scientific Research and Development) 212
Owen-Smith, J. 35
Oxford 6
Ozdemir, S. 33
paradigms of scientific research 25, 67
conflict between 19
definitions 18
linear decomposition research paradigm 1718, 2023, 31, 60, 67, 186
see also Bush, Vannevar
non-linear, chaotic, feedback research paradigm 18, 235, 389, 48, 60, 67, 69, 150, 186
see also Kealey, T.
see also Kuhn, Thomas
Pardey, P.G. 27
passive strategy 13, 160, 170, 1745, 187
see also active strategy; bargaining space; templates for PPRPs
Pasteur, Louis 24
patents 512, 314, 66, 779, 825, 159, 1646, 186, 188
Berkeley–Novartis 957, 17880
blocking 11, 72, 83, 165, 1712, 17880, 1834
EBI 14850
guidelines 8892, 100103
licensing 856
litigation of 7, 69, 72, 85, 165
publication delay 85, 171
utility 689, 779
see also innovation; intellectual property; knowledge; licencing
PEBB (Power Electronic Building Block) 889
penalty function 11820, 1246
see also governance structure
Pérez-Castrillo, D. 166
performance function 4041, 468, 527
see also research models
performance separability 46
see also research models
performance unit 40
see also performance function; research models
pharmaceutical industry 911, 33, 89, 91, 157, 181
intellectual property rights 140
knowledge 7071
Plant Patent Act of 1930 689
see also patents
Plant Variety Protection Act of 1970 689
see also patents
PMB (Department of Plan and Microbial Biology) 878, 928, 1746, 181
see also Berkeley–Novartis; College of Natural Resources; University of California, Berkeley
Polanyi, M. 65
policy objective function 52, 11013, 11821, 12930
see also ideology; Nash–Harsanyi framework; Nash cooperative bargaining solution
Powell, W.W. 35
Power Electronic Building Block (PEBB) 889
President’s Council of Advisors on Science and Technology 3, 11, 8990, 149
see also case studies
Press, E. 10, 92, 176, 183
pressure function 118
see also objective function
Price, R.M. 934, 98
see also Berkeley–Novartis; evaluations; reviews
Price and Goldman 935, 98
see also Berkeley–Novartis; evaluations; reviews
prisons 1347
see also control rights; incomplete contracts
private goods 18, 2538, 60
collective action 113
control rights 139, 141
knowledge 667
land-grant universities 279
model: multi-period 5160
model: single-period 3951
partnerships 1313, 1456
substitutes and complements 2933, 369
tacit knowledge 336
university research 256
see also applied research; impure goods; mousetraps; research models
production possibilities frontier 40, 52, 56
see also research models
public goods 1, 15, 18, 2738, 6061, 81, 97, 183, 1856
control rights 13941
infrastructure 1334
knowledge 668
land-grant universities 279
model: multi-period 5160
model: single-period 3951
partnerships 1313, 1456
substitutes and complements 2933, 369
university research 18, 256
see also basic research; impure goods; research models; theorems
publication delay 1011, 81, 85, 89, 945, 159, 1645, 1713, 1789, 183, 188
guidelines 99103
see also background rights; control premium; control rights; hold-up rights
Ramamurti, R. 147
Ranga, L.M. 312
Rasmussen, W. 27
Rausser, G.C. 1, 10, 19, 29, 713, 75, 77, 131, 139, 146, 158, 167
recommendations 1839
renegotiation 1328, 1478, 1678, 181
see also negotiation; responding to shocks; reviewing and renewing the agreement
renewable energy 143, 14853
see also Center for Biorefining and Biofuels; Energy Biosciences Institute; Global Climate and Energy Project; impure goods; incomplete contracts
requests for proposals (RFPs) 13, 84, 88, 96, 151, 163, 1867
research agenda 12, 14, 24, 81, 84, 101, 151, 157, 1634, 17071, 1745, 1778, 1845, 188
call for proposals 84, 163, 172
see also conflict and controversies in PPRPs; conflicting research objectives
research models 82
dynamic 51
measuring crowding-in and crowding-out 54
neutrality 55
non-neutrality 57
static 39
measuring crowding-in and crowding-out 43
neutrality in 45
non-neutrality 48
see also mousetraps; theorems
research parks 7, 1723
see also open collaborative research; templates for PPRPs
research units/centers 867, 140, 156, 1723, 175
see also types of PPRPs
responding to shocks 158, 159, 1678, 180
see also negotiation; renegotiation; reviewing and renewing the agreement; structure of research partnerships; uncertainty
reviewing and renewing the agreement 158, 159, 1678, 180
see also negotiation; renegotiation; responding to shocks; structure of research partnerships; uncertainty
reviews 93
external 96
internal 93
see also Berkeley–Novartis; Center for Studies in Higher Education; evaluations; Michigan State University; Price and Goldman
reward function 118, 120, 122, 1256
see also governance structure
Rey, P. 131
RFPs (requests for proposals) 13, 84, 88, 96, 151, 163, 1867
Ribozyme Pharmaceuticals, Inc. (RPI) 89
see also University of Colorado
risks of partnerships 81104, 1334, 136, 1467, 161, 170, 181, 1846
see also benefits of partnerships
Roberts, J. 7071
Robinson, D. 6
Roehrich, J.K. 1378, 161, 164
Rojo-Suarez, J. 134, 147
Romero, M. 147
Rosenberg, N. 69
royalties 5, 289, 367, 523, 60, 68, 74, 8990, 100, 14950, 152, 166, 188
see also intellectual property; licensing
RPI (Ribozyme Pharmaceuticals, Inc.) 89
see also University of Colorado
Rubin, P.H. 108
Ruttan, V.W. 23, 67
Sadka, E. 146
Saussier, S. 1367, 138, 146, 161, 164
Schacht, W. 5
Schankerman, M. 183
Scintillation Materials Research Center 912
Scotchmer, S. 12, 72, 77, 1856
Scott, J. 7
selection of partners 84, 146, 15860, 1878
see also requests for proposals; structure of research partnerships
Shane, S. 170
Shapiro, C. 71
Sheridan, C. 13
Siemens Medical Solutions 912
Silanes, F.L. 131, 1345
Simon, L.K. 10, 72, 77, 139, 146, 167
single or multiple sponsored research projects 86
see also types of PPRPs
Slaughter, S. 1856
Small, A.A. 75
Smeby, J.C. 32
Soh, P. 33
Sood, N. 33
Spagnolo, G. 162
Spielman, D.J. 146
spinoffs 86, 88, 161, 170
see also North Carolina State University; startups; templates for PPRPs; types of PPRPs
Stanford University 36
Global Climate and Energy Project 150
guidelines 99102, 23650
renewable energy 150
research and growth 67
research park 172
startups 7
see also spinoffs
Steiner, F. 136, 146
Stevens, A.J. 5
Stevens, R. 10, 131, 139, 146, 158, 167
strategic interactions 15, 105108, 118
see also bargaining; collective decision making; Nash cooperative bargaining solution; negotiation; renegotiation; structure of research partnerships
strategic partnerships 82, 867, 17075
see also Berkeley–Novartis; types of PPRPs; WU–Monsanto
Strategy for American Innovation (Obama Administration) 11
Stromberg, P. 156
Strong, J. 147
structure of research partnerships 15582, 185
economics literature 155
stage 115861, 176
see also bargaining space
stage 21589, 1617, 17780
stage 31589, 167, 18081
stage 41589, 1678, 18081
see also responding to shocks; reviewing and renewing agreements
see also authority; bargaining; control premium; control rights; decision making authority; governance structure; negotiation
Stuart, T 323
Subramanian, A 33
substitutes 17, 2933, 36, 47
see also crowding-in and crowding-out
Sugden, R. 10910
Sutherland, D. 138, 164
Syngenta 94, 181
see also Novartis Agricultural Discovery Institute
Taylor, A. 35
technology licensing 867, 169, 179
see also types of PPRPs
technology transfer offices (TTOs) 67, 35, 88, 166, 168
Teece, D.J. 70, 767, 162
templates for PPRPs 16875, 182
template one: small, early-stage, basic research partnerships 16970, 175
template two: small, later-stage research partnerships 170, 175
template three: research partnerships between single private and single public partner 1712, 175, 182
template four: multiple partners and significant resources 1723, 175
template five: industry and university in form of informal gifts 1735
see also active strategy; bargaining space; basic research; informal relationships; open collaborative research; passive strategy; research parks; spinoffs; strategic partnerships; types of PPRPs
theorems 3944, 467, 5060
see also basic research; public goods; research models
theoretical research 19, 323, 368, 1346, 13942, 1446, 153, 1557, 1834
third-party interests 82, 85
threat points 412, 53
see also bargaining; disagreement outcomes; negotiation; non-cooperative solution
threat strategy 12023, 138, 167, 172
Thursby, J.G. 324, 86, 160, 166
Thursby, M.C. 6, 324, 86, 160, 166
Tijssen, R.J.W. 31
Tirole, J. 131, 140, 156, 185
Toole, A.A. 2931
Trujillo, L. 147
Tsoukas, H. 66
TTOs (technology transfer offices) 67, 35, 88, 166, 168
von Tunzelmann, N. 31
types of PPRPs 867, 103, 1812
see also templates for PPRPs
UC (University of California) 78
guidelines 99, 101102, 25162
intellectual property 12
Intel 90
UCSF (University of California, San Francisco) 910
UIDP (University–Industry Demonstration Partnership) 912
see also guidelines
UIUC (University of Illinois at Urbana-Champaign) 90, 148
see also Energy Biosciences Institute; renewable energy
uncertainty 1115, 81, 133, 138, 185, 188
see also incomplete contracts; renegotiation; responding to shocks; reviewing and renewing the agreement
University–Industry Demonstration Partnership (UIDP) 912
see also guidelines
University–Industry Partnership 91
see also guidelines; University–Industry Demonstration Partnership
University–Private Sector Research Partnerships in the Innovation Ecosystem89
University of California (UC) 78
guidelines 99, 101102, 25162
intellectual property 12
Intel 90
University of California, Berkeley 8, 22, 36, 8690, 929, 14850, 17481
Academic Senate 22
see also Berkeley–Novartis; College of Natural Resources; Department of Plant and Microbial Biology; Energy Biosciences Institute
University of California, San Francisco (UCSF) 910
University of Colorado (CU) 89, 151
University of Illinois at Urbana-Champaign (UIUC) 90, 148
see also Energy Biosciences Institute; renewable energy
University of Pittsburgh Medical Center 90
see also lablets; open collaborative research
University of Tennessee 912
University of Washington 6, 90
University of Wisconsin Alumni Research Foundation 7
university research parks 7, 1723
see also open collaborative research; templates for PPRPs
US Department of Agriculture 3, 102
guidelines 26378
see also Agricultural Research Service; Cooperative Research and Development Agreement
US Department of Energy (DOE) 102103, 252, 27984
see also Cooperative Research and Development Agreement; guidelines
Uzzi, B. 25
Valila, T. 137
Van Looy, B 312
Varian, H. 23
Vellez, M. 162
Veugelers, R. 166
Virginia Polytechnic Institute 88
see also Power Electronic Building Block
Vonortas, N.S. 82, 162
Wang, B. 1
Wang, C. 146
Washburn, J. 5, 10, 28, 68, 92, 149, 1513, 176, 183
Washington Post 7
Washington University (WU) 87, 17481
Washington University Medical School (WUMS) 176
Welsh, R. 35
Williamson, O.E. 108
Willis, C. 73
Working Together, Creating Knowledge: The University–Industry Research Collaboration Initiative, 87, 91, 93
see also Business–Higher Education Forum
World Bank Latin American and Caribbean Studies 134, 147
Wright, B.D. 166
WU–Monsanto 87, 17482
WU (Washington University) 87, 17481
Wuchty, S. 25
WUMS (Washington University Medical School) 176
Wyatt, T.J. 27
Zheng, J. 1378, 161, 164
Zilberman, D. 76, 79, 87, 185
Zimmerman, E. 312
Zucker, L.G. 6, 334
Zupan, M.A. 108
Zusman, P. 108