美国研究型大学技术转移政策研究
摘要
当今世界,技术创新和国家竞争力提升已成为推动知识经济发展的决定因素。为应对知识经济带来的各种挑战,世界各国纷纷成立了国家或区域创新系统,大学技术转移在其中发挥着极其重要的作用。20世纪90年代后期以来,中国政府把创新型国家建设作为提升国家竞争力的重要发展战略。在创新型国家建设中,大学技术转移领域中存在的诸多现实问题亟待政府政策引导和调控。从国际视角看,美国是开展研究型大学技术转移最成功的国家,这主要得益于其有效的政策引导。基于此,本文对美国研究型大学技术转移政策进行了全面深入研究,进而为我国大学技术转移提出了适宜的政策建议。
本文依公共政策分析的一般逻辑,运用三重螺旋理论、利益集团理论和政策网络理论,采取历史分析法、文献法、个案法、比较法等研究方法,首先从美国研究型大学技术转移政策历史、政策文本、政策过程、政策结果几方面分别论述,然后对美国研究型大学技术转移政策的价值取向、经验和问题进行了总体分析,并结合我国实际需要,为我国高校技术转移提出适宜的政策建议。
论文共有七部分构成,各部分内容如下:
“导论”部分主要包括论文的选题缘由、文献综述、核心概念界定以及所采用的主要理论基础等几方面。
第一章,美国研究型大学技术转移政策的历史发展。美国研究型大学技术转移政策最早可追溯到19世纪中后期的“赠地运动”,大致经历了萌芽期、探索期和成熟期三个历史阶段。社会经济环境和科研思想变革是影响美国研究型大学技术转移政策发展的两大主要因素。
第二章,美国研究型大学技术转移政策的内容。第一,与技术转移相关的科学研究资助政策,这里主要指“科学和工程学领域”的科学研究,它主要包括联邦政府直接资助政策、联邦政府鼓励产业资助政策。第二,与技术转移相关的科研成果所有权政策,这里主要指具有产业应用价值的科研成果所有权,它主要包括联邦资助的科研成果所有权、州政府资助的科研成果所有权、产业或其它资助的科研成果所有权。第三,美国研究型大学技术转移程序与项目开发政策,主要分析了美国研究型大学“专利——许可”程序政策、与技术转移相关的大学与产业合作项目开发政策。第四,利益冲突协调政策,主要包括时间和职务冲突协调政策、财政利益冲突协调政策、目标和使命冲突协调政策、资源利用与科研成果所有权冲突协调政策。
第三章,美国研究型大学技术转移政策的制定与实施。这部分主要以《贝多法案》为例,运用利益集团理论和公共政策网络理论,首先分析了美国研究型大学技术转移政策制定的背景、程序及影响因素。接下来论述了《贝多法案》的实施政策、实施机构及其实施策略。最后,分析了美国研究型大学技术转移政策制定和实施过程中各利益相关者在创议网络、决策网络和实施网络中的角色关系。
第四章,美国研究型大学技术转移政策的实施结果。美国研究型大学技术转移政策的实施首先使美国高等教育获得了新的发展,不但改变了大学与政府和产业的关系,促进了大学科学知识生产方式和学术使命的变革,但也给美国高等教育的发展带来了新问题。同时这些政策的实施也促进了美国产业创新和经济的快速发展,加快了美国研究型大学科研成果转化,完善和拓展了美国研究型大学技术转移程序和途径。另外,《贝多法案》在美国的成功实施也给其它国家大学技术转移政策产生了一定影响
第五章,美国研究型大学技术转移政策与实施的价值取向、经验与问题。美国研究型大学技术转移政策的价值取向主要表现在以下几点:学术资本主义的价值取向、大力提升国家竞争力和技术创新的价值取向、公共利益最大化的价值取向、从“命令-控制”到“成本-效益”的价值取向。美国研究型大学技术转移政策与实施的经验可归纳为以下几点:“自下而上”的激励措施为技术转移提供了政策保障;创新科研体系是技术转移的重要源泉;明晰的科研成果所有权是技术转移的核心要素;独特的高等教育体制为技术转移提供了良好的学术环境;研究密集、自由竞争的产业体制为技术转移提供了良好的企业环境;科研理论变革是推动技术转移政策发展的重要思想基础。美国研究型大学技术转移政策及其实施中的问题主要包括:国家安全战略亟待完善研究型大学技术转移政策;研究型大学科研成果商业化政策的负面效应;早期技术开发资金的缺失;在现有政策框架下有待于提升技术转移能力。
第六章,美国研究型大学技术转移政策及其实施对我国的启示。根据上述研究结果和我国的现实需求,这部分主要提出了以下几点政策建议:第一,转变传统学术观念,创建适宜的学术环境;第二,制定和完善大学技术转移政策体系;第三,完善大学科研成果所有权与技术许可政策;第四,健全高校技术转移管理体系;第五,疏通高校技术转移资金渠道;第六,积极发展大学与产业伙伴关系;第七,大力协调技术转移利益相关者的合作关系。
Technical innovation and improvement of national competitiveness have become the determinants enhancing development of knowledge-based economy. Responding to various challenges by knowledge-based economy, many countries have been founding national or regional innovation systems in which university technology transfer plays a very important role. Since the late 1990s, Chinese government has considered construction of innovative country as a significant strategy for improving national competitiveness. During constructing innovative country, government should urgently make relevant policies guiding and controlling many practical problems in the field of university technology transfer. From international perspective, technology transfer in American research universities is the most successful in the world, which is mainly due to its effective policies' guidance. Therefore, the dissertation studies policies of technology transfer in American research universities completely and deeply, and further puts forward some proper suggestions for Chinese university technology transfer policy.
Based on general process of public policy analysis, using the Triple Helix theory, The Interest Group theory and Policy Network theory, with adopting methods of historical analysis, literature analysis, case study and comparative analysis, the dissertation firstly examines irrespectively the history, content, process and outcome of American research university technology transfer policies; Then, the dissertation analyses the value orientation, experiences and issues systematically, putting forward some policy suggestions for Chinese university technology transfer according to Chinese practical needs.
The dissertation comprises of seven sections, as follows:
The introduction section is composed by reasons of selecting the topic, Literature Review, the definition of core terminologies and the theoretical foundations.
Chapter One "The Historical Development of American Research University Technology Transfer Policies" American research university technology transfer policies can trace back to the "land-granted movement" during the mid- and late 19th century and have experienced germination, exploration and maturation stages. The changes of social economic environment and scientific research ideas are two key factors influencing the development of American research university technology transfer policies.
Chapter Two "The Content of American Research University Technology Transfer Policies" This chapter includes four points. The first point is about scientific research fund policies related to technology transfer (refer to science and engineering fields) which cover policies of direct fund from federal government and industry's fund encouraged by federal government. The second point is about policies of the ownership of research results related to technology transfer (mainly refer to research results with industrial application value) which include the ownership of research results funded by federal government, state government, industry and others. The third point is about the policies of American research university technology transfer procedure and program development which consist of policies for "patent- license" procedure and university-industry cooperation programs related to technology transfer. The fourth point is about policies of interest conflict coordination which comprise of policies coordinating time and commitment conflict, financial conflict, aims aim or mission conflict, resource application and ownership of research results conflict.
Chapter Three "Formulation and Implementation of American Research University Technology Transfer Policies" Taking "Bayh-Dole Act" as an example and using interest group theory and public policy network theory, the section firstly analyzes the background, process and influencing factors of formulation of American research university technology transfer policies. Further, the section discusses the implementation policies, institutions and their strategies of "Bayh-Dole Act", and finally the role relationship of various stakeholders in the initiative, policymaking and implementation networks during formulating and implementing American research university technology transfer policies is analyzed.
Chapter Four "The Results of American Research University Technology Transfer Policies" Firstly, the effective implementation of American research university technology transfer policies promotes the development of American higher education, changing not only university-industry-government relationship but also university scientific knowledge production method and academic missions. However, it also brings about some new issue for American higher education development. Secondly, it rapidly enhances the development of American industrial innovation and economy. Thirdly, it accelerates the pace of application of scientific research findings in American research universities. Fourthly, it improves and extends the procedures and approaches of American research university technology transfer. Meanwhile, due to the successful implementation of "Bayh-Dole Act" in U.S., many other countries are deeply influenced.
Chapter Five "The Value Orientations, Experiences and Issues of American Research University Technology Transfer Policies and Their Implementation" Value orientations of American research university technology transfer policies are mainly as follows: academic capitalism orientation, promotion of national competitiveness and technical innovation orientation, maximization of public interest orientation, from "order-control" to "cost-benefit" orientation. The experiences can be conclude as follows: bottom-up incentive measures provide policy guarantee for technology transfer practice; innovative research system is the important source for technology transfer; clear ownership of research results is the core element for technology transfer; unique higher education system provides favorable academic environment for technology transfer; research-intensive and competition-free industrial system provides favorable enterprise environment; changes of research theories are the ideological basis for technology transfer policies development. The issues of American research university technology transfer policies and their implementation include: national security strategies' need to improve American research university technology transfer policies, the negative effects brought out by commercialization of research results in research universities; the lack of funds for early technology stage; the need to improve technology transfer capability under the framework of existing policies.
Chapter Six "The Inspiration of American Research University Technology Transfer Policies and Implementation to China" Based on the research results above and the actual need in China, the section put forward some policy suggestions as follows: the first one is that traditional academic ideas should be changed, with creating favorable academic environment; the second one is to formulate and improve policy system for university technology transfer; the third one is to improve the policies of university research results ownership and technology license; the fourth one is to perfect the management system of university technology transfer; the fifth one is to unblock channels of funds for university technology transfer; the sixth one is to actively develop university-industry partnership; the last one is to coordinate cooperative relations among the stakeholders in university technology transfer.
本文依公共政策分析的一般逻辑,运用三重螺旋理论、利益集团理论和政策网络理论,采取历史分析法、文献法、个案法、比较法等研究方法,首先从美国研究型大学技术转移政策历史、政策文本、政策过程、政策结果几方面分别论述,然后对美国研究型大学技术转移政策的价值取向、经验和问题进行了总体分析,并结合我国实际需要,为我国高校技术转移提出适宜的政策建议。
论文共有七部分构成,各部分内容如下:
“导论”部分主要包括论文的选题缘由、文献综述、核心概念界定以及所采用的主要理论基础等几方面。
第一章,美国研究型大学技术转移政策的历史发展。美国研究型大学技术转移政策最早可追溯到19世纪中后期的“赠地运动”,大致经历了萌芽期、探索期和成熟期三个历史阶段。社会经济环境和科研思想变革是影响美国研究型大学技术转移政策发展的两大主要因素。
第二章,美国研究型大学技术转移政策的内容。第一,与技术转移相关的科学研究资助政策,这里主要指“科学和工程学领域”的科学研究,它主要包括联邦政府直接资助政策、联邦政府鼓励产业资助政策。第二,与技术转移相关的科研成果所有权政策,这里主要指具有产业应用价值的科研成果所有权,它主要包括联邦资助的科研成果所有权、州政府资助的科研成果所有权、产业或其它资助的科研成果所有权。第三,美国研究型大学技术转移程序与项目开发政策,主要分析了美国研究型大学“专利——许可”程序政策、与技术转移相关的大学与产业合作项目开发政策。第四,利益冲突协调政策,主要包括时间和职务冲突协调政策、财政利益冲突协调政策、目标和使命冲突协调政策、资源利用与科研成果所有权冲突协调政策。
第三章,美国研究型大学技术转移政策的制定与实施。这部分主要以《贝多法案》为例,运用利益集团理论和公共政策网络理论,首先分析了美国研究型大学技术转移政策制定的背景、程序及影响因素。接下来论述了《贝多法案》的实施政策、实施机构及其实施策略。最后,分析了美国研究型大学技术转移政策制定和实施过程中各利益相关者在创议网络、决策网络和实施网络中的角色关系。
第四章,美国研究型大学技术转移政策的实施结果。美国研究型大学技术转移政策的实施首先使美国高等教育获得了新的发展,不但改变了大学与政府和产业的关系,促进了大学科学知识生产方式和学术使命的变革,但也给美国高等教育的发展带来了新问题。同时这些政策的实施也促进了美国产业创新和经济的快速发展,加快了美国研究型大学科研成果转化,完善和拓展了美国研究型大学技术转移程序和途径。另外,《贝多法案》在美国的成功实施也给其它国家大学技术转移政策产生了一定影响
第五章,美国研究型大学技术转移政策与实施的价值取向、经验与问题。美国研究型大学技术转移政策的价值取向主要表现在以下几点:学术资本主义的价值取向、大力提升国家竞争力和技术创新的价值取向、公共利益最大化的价值取向、从“命令-控制”到“成本-效益”的价值取向。美国研究型大学技术转移政策与实施的经验可归纳为以下几点:“自下而上”的激励措施为技术转移提供了政策保障;创新科研体系是技术转移的重要源泉;明晰的科研成果所有权是技术转移的核心要素;独特的高等教育体制为技术转移提供了良好的学术环境;研究密集、自由竞争的产业体制为技术转移提供了良好的企业环境;科研理论变革是推动技术转移政策发展的重要思想基础。美国研究型大学技术转移政策及其实施中的问题主要包括:国家安全战略亟待完善研究型大学技术转移政策;研究型大学科研成果商业化政策的负面效应;早期技术开发资金的缺失;在现有政策框架下有待于提升技术转移能力。
第六章,美国研究型大学技术转移政策及其实施对我国的启示。根据上述研究结果和我国的现实需求,这部分主要提出了以下几点政策建议:第一,转变传统学术观念,创建适宜的学术环境;第二,制定和完善大学技术转移政策体系;第三,完善大学科研成果所有权与技术许可政策;第四,健全高校技术转移管理体系;第五,疏通高校技术转移资金渠道;第六,积极发展大学与产业伙伴关系;第七,大力协调技术转移利益相关者的合作关系。
Technical innovation and improvement of national competitiveness have become the determinants enhancing development of knowledge-based economy. Responding to various challenges by knowledge-based economy, many countries have been founding national or regional innovation systems in which university technology transfer plays a very important role. Since the late 1990s, Chinese government has considered construction of innovative country as a significant strategy for improving national competitiveness. During constructing innovative country, government should urgently make relevant policies guiding and controlling many practical problems in the field of university technology transfer. From international perspective, technology transfer in American research universities is the most successful in the world, which is mainly due to its effective policies' guidance. Therefore, the dissertation studies policies of technology transfer in American research universities completely and deeply, and further puts forward some proper suggestions for Chinese university technology transfer policy.
Based on general process of public policy analysis, using the Triple Helix theory, The Interest Group theory and Policy Network theory, with adopting methods of historical analysis, literature analysis, case study and comparative analysis, the dissertation firstly examines irrespectively the history, content, process and outcome of American research university technology transfer policies; Then, the dissertation analyses the value orientation, experiences and issues systematically, putting forward some policy suggestions for Chinese university technology transfer according to Chinese practical needs.
The dissertation comprises of seven sections, as follows:
The introduction section is composed by reasons of selecting the topic, Literature Review, the definition of core terminologies and the theoretical foundations.
Chapter One "The Historical Development of American Research University Technology Transfer Policies" American research university technology transfer policies can trace back to the "land-granted movement" during the mid- and late 19th century and have experienced germination, exploration and maturation stages. The changes of social economic environment and scientific research ideas are two key factors influencing the development of American research university technology transfer policies.
Chapter Two "The Content of American Research University Technology Transfer Policies" This chapter includes four points. The first point is about scientific research fund policies related to technology transfer (refer to science and engineering fields) which cover policies of direct fund from federal government and industry's fund encouraged by federal government. The second point is about policies of the ownership of research results related to technology transfer (mainly refer to research results with industrial application value) which include the ownership of research results funded by federal government, state government, industry and others. The third point is about the policies of American research university technology transfer procedure and program development which consist of policies for "patent- license" procedure and university-industry cooperation programs related to technology transfer. The fourth point is about policies of interest conflict coordination which comprise of policies coordinating time and commitment conflict, financial conflict, aims aim or mission conflict, resource application and ownership of research results conflict.
Chapter Three "Formulation and Implementation of American Research University Technology Transfer Policies" Taking "Bayh-Dole Act" as an example and using interest group theory and public policy network theory, the section firstly analyzes the background, process and influencing factors of formulation of American research university technology transfer policies. Further, the section discusses the implementation policies, institutions and their strategies of "Bayh-Dole Act", and finally the role relationship of various stakeholders in the initiative, policymaking and implementation networks during formulating and implementing American research university technology transfer policies is analyzed.
Chapter Four "The Results of American Research University Technology Transfer Policies" Firstly, the effective implementation of American research university technology transfer policies promotes the development of American higher education, changing not only university-industry-government relationship but also university scientific knowledge production method and academic missions. However, it also brings about some new issue for American higher education development. Secondly, it rapidly enhances the development of American industrial innovation and economy. Thirdly, it accelerates the pace of application of scientific research findings in American research universities. Fourthly, it improves and extends the procedures and approaches of American research university technology transfer. Meanwhile, due to the successful implementation of "Bayh-Dole Act" in U.S., many other countries are deeply influenced.
Chapter Five "The Value Orientations, Experiences and Issues of American Research University Technology Transfer Policies and Their Implementation" Value orientations of American research university technology transfer policies are mainly as follows: academic capitalism orientation, promotion of national competitiveness and technical innovation orientation, maximization of public interest orientation, from "order-control" to "cost-benefit" orientation. The experiences can be conclude as follows: bottom-up incentive measures provide policy guarantee for technology transfer practice; innovative research system is the important source for technology transfer; clear ownership of research results is the core element for technology transfer; unique higher education system provides favorable academic environment for technology transfer; research-intensive and competition-free industrial system provides favorable enterprise environment; changes of research theories are the ideological basis for technology transfer policies development. The issues of American research university technology transfer policies and their implementation include: national security strategies' need to improve American research university technology transfer policies, the negative effects brought out by commercialization of research results in research universities; the lack of funds for early technology stage; the need to improve technology transfer capability under the framework of existing policies.
Chapter Six "The Inspiration of American Research University Technology Transfer Policies and Implementation to China" Based on the research results above and the actual need in China, the section put forward some policy suggestions as follows: the first one is that traditional academic ideas should be changed, with creating favorable academic environment; the second one is to formulate and improve policy system for university technology transfer; the third one is to improve the policies of university research results ownership and technology license; the fourth one is to perfect the management system of university technology transfer; the fifth one is to unblock channels of funds for university technology transfer; the sixth one is to actively develop university-industry partnership; the last one is to coordinate cooperative relations among the stakeholders in university technology transfer.
引文
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3 U.S.Department of Commerce.2000.Tech Transfer 2000:Making Partnerships Work[R].Office of Technology Policy Technology Administration U.S.Department of Commerce.
4 David C.Mowery,Bhaven Sampat.2000.University Patents and Patent Policy Debates:1925-1980[J].Industrial and Corporate Change,Volume 10,Number 3.pp.781-814.
5 Fishman,Eliot.1996.MIT Patent Policy 1932-1946:Historical Precedents in University-Industry Technology Transfer[D].Philadelphia:University of Pennsylvania.
1 Pavitt,K.1999.What makes basic research economically useful?[J].Research Policy,1991(20).pp.109-119.
2 Henrekson,M.and Rosenberg,N.2001.Designing Efficient Institutions for Science-Bused Entrepreneurship:Lesson from the US and Sweden[J].Journal of Technology Transfer,2001(26).pp.207-231.
3 U.S.Department of Commerce.2000.Tech Transfer 2000:Making Partnershipss Work[R].Office of Technology Policy Technology Administration U.S.Department of Commerce.
4 Bo Carlsson.2005.Universities,Entreprenenrship,and Public Policy:Lessons from the U.S.and Abroad[R].International Council for Small Business.
5 Remarks delivered at the 25th Anniversary[R].AAAS Science and Technology Policy Colloquium,held April 11-13,2000,in Washington,DC.
6 New York State Science and Technology Law Center.2006.University-industry Sponsored Research:Opportunities and Obstacles[R].The New York State Office of Science,Technology and Academic Research.
7 Henderson,Smith.2002.Academia,Industry,and the Bayh-Dole Act:An Implied Duty to Commercialize[R].The Center for Integration of Medicine and Innovative Technology.
1 具体报告见于美国审计总署(USGAO)官方网站:http://www.gao.gov/
2 详见于美国大学技术管理者协会官方网站:http://www.autm.net/about/
3 “Innovation's Golden Goose”[J].The Economist Technical Quarterly,December 12,2002.
4 Michael J.Remington,JD.2005.The Bayh-Dole Act at Twenty-Five Years:Looking Back,Taking Stock,Acting for the Future[J].The Journal of the Asseciation of University Technology Managers.Summer 2005 issue,Volume XVII Number 1.pp.15-31.
5 Dominique Foray.2003.Higher Education and Universities in the Knowledge Economy of the Industrialized World:a General Framework[R].UNESCO,Higher Education Forum.
6 The Subcommittee on Technology and Innovation of the Committee on Science and Technology.2007.HEARING CHARTER “Bayh-Dole-The Next 25 Years”[R].July 17,2007.
7 Bayh-Dole Act:The Law of Unintended Consequences[J]-Fortune Sun,25 Sep.2005.
1 Thursby,J.G,Jensen,R.,& Thurby,M.C.2001.Objectives,characteristics and outcomes of university licensing:A survey of major U.S.universities[J].Journal of Technology Transfer,2001(26).pp.59-72.
2 David C.Mowery,Richard R.Nelson,Bhaven N.Sampat,and Arvids A.Ziedonis.2004.Ivory Tower and Industrial Innovation:University-Industry Technology Transfer before and after the Bayh-Dole Act[M].Stanford,CA:Stanford University Press.
3 David C.Mowery and Bhaven N.Sampat.2005.The Bayh-Dole Act of 1980 and University-Industry Technology Transfer:A Model for Other OECD Governments?[J].the Journal of Technology Transfer.Volume 30,issue 4,2005.pp.115-127.
4 Boettiger,S.and Bennett,A.2005.The Bayh-Dole Act's Effects on Developing Countries:Topics for Discussion[R].Background paper drafted for the Rockefeller Foundation.
1 易红郡.美国高等院校技术转移的成功经验初探[J].比较教育研究,2002(2).27-31.
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3 计红梅.《贝多法案》的中国启示—对科技成果转化的思考[N].科技时报,2006.11.30.
4 吴磊琦.美国科技转移政策及其对我国的启示[J].今日科技,2005(12).22-25.
5 郑笑.美国技术转让法律政策简介[J].全球科技经济瞭望,2004(11).4-7.
6 刘正平.快速发展的美国大学技术转移[J].国外创业瞭望,2005(6).6l-62.
7 邵景波,张立新.美日政府在高校技术转移中的作用比较[J].哈尔滨工业大学学报(社会科学版),2003(4).62-67
8 王斌.美国科技成果推广转化机制研究[EB/OL].http://www.costind.gov.cn/
9 雷朝滋,黄应刚.中外大学技术转移比较[J].研究与发展管理,2003(5).45-52.
10 林风.美国科学技术:战略、政策、创新[M].福建科学技术出版社,2005.
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13 杨红霞.美国大学技术转让的现状研究[J].咸宁学院学报,2007(27).99-101.
1 南佐民.《拜杜法案》与美国高校的科技商业化[J].比较教育研究,2004(8).75-78.
2 杨艳玲.“贝多法案”与美国大学技术转让[J].国家教育行政学院学报,2004(1).7-11.
3 何建坤,史宗凯.论研究型大学的技术转移[J].清华大学教育研究,2002(4).8-12.
4 徐辉.高等教育发展的新阶段:论大学与工业的关系[M].杭州:杭州大学出版社,1990.
5[美]德里克.博克著,徐小洲,陈军译.走出象牙塔:现代大学的社会责任[M].杭州:浙江教育出版社,2001.
6 何建坤等著.研究型大学技术转移:模式研究与实证分析[M].北京:清华大学出版社,2007.
7 郑友德,金明浩.从Madey诉杜克大学案谈实验使用抗辩原则的适用——兼论我国大学知识产权政策的调整[J].调处·仲裁·诉讼,2006(2).50-54.
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9 国务院学位委员办公室,中国研究生院院长联席会编.透视与借鉴—国外著名高等院校调研报告[C].北京:高等教育出版社,2004.
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11 马玲,赵文华.大学对国民经济和社会发展的贡献——马里兰大学和加州大学技术转移的个案研究[J].复旦教育论坛,2004(05).34-37.
12 小泉贤吉郎,邓雪明.哈佛大学与DNA公司——大学的技术转移[J].中国生物工程杂志,1981(02).35-37.
1 章琰.大学技术转移的界面移动及模式选择研究[D].清华大学2004年博士论文.45.
2 安丽.国际技术转让法[M].北京:国法制出版社,2003.1.
1[美]亨利·埃茨科维兹著,周春彦译.三螺旋[M].北京:东方出版社,2005.6.
2 Jeffrey M.Berry.1989.The Interest Group Society[M].Glenview,Ill:Scott,Foresman.p.4.
1 Heclo,H.1978.Issue networks and the executive establishment[A].In A.King(Ed.),the new American political system[C].Washington:American Enterprise Institute for Public Policy.p.87.
1 Fishman,Eliot.1996.MIT Patent Policy 1932-1946:Historical Precedents in University-Industry Technology Transfer[D].Philadelphia:University of Pennsylvania.p.268.
2 Ibid.pp.262-270.
3 当时美国确立研究型大学的标准是:该大学是否设有研究生院和是否为美国大学学会成员.参见:Geiger,Roger L.1986.To advance knowledge:the powth of American research universities,1900-1940[M].New York:Oxford University Press.p.126.
1 Palmer,Archie M.1962.University research and patent policies,practices,and procedures[M].Washington:National Academy of Sciences-National Research Council.p.68.
1[美]万尼瓦尔·布什等著.范岱年等译.科学——没有止境的前沿[R].北京:商务印书馆,2004.66.
2[美]万尼瓦尔·布什等著.范岱年等译.科学——没有止境的前沿[R].北京:商务印书馆,2004.64.
3 U.S.General Accounting Office.1968.Problem Areas Affecting Usefulness of Results of Government-Sponsored Research in Medicinal Chemistry:A Report to the Congress[R].Washington,D.C.,U.S.Government Printing Office.pp.25-26.
1 David C.Mowery,Richard R.Nelson,Bhaven N.Sampat,and Arvids A.Ziedonis.2004.Ivory Tower and Industrial Innovation:University-Industry Technology Transfer before and after the Bayh-Dole Act[M].Stanford,CA:Stanford University Press.p.77.
1 Ernest J.Breton.1979.Inventor's Beaten Path Leads to a Mousetrap[R].The Hearings before the Subcommittee on Science,Research and Technology of the Committee on Science and Technology,U.S.House of Representatives,October 16-17,1979.U.S.Govemment Printing Office,Washington.p.174.
1 Gilpin,Robert.1975.Technology,Economic Growth and International Competitiveness[R].the Subcommittee on Economic Growth.p.13.
2 Kendrick,John.1980.Policies to Promote Productivity Growth[A].in Thomas Stauffer(ed.),Agenda for Business and Higher Education[C].Washington,DC:American Council on Education.p.69.
3 Birch Bayh.1979.In S.414'the University and Small Business Patent Procedures Act',Hearings on S.414 before the Committee on the Judiciary,96th Congress,First Session(16 May and 6 June),Washington,DC:Government Printing Office.p.458.
4 Institutional Patent Agreements.1978.'Government Patent Policies:Institutional Patent Agreements',Hearings on Government Patent Policies before the Subcommittee on Monopoly and Antimonopoly Activities Subcommittee,95th Congress,Second Session(22,23 May;20,21,26 June).Washington,DC:Government Printing Office.p.375.
5 Clark.1979.in S.414'the University and Small Business Patent Procedures Act',Hearings on S.414 before the Committee on the Judiciary,96th Congress,First Session(16 May and 6 June),Washington,DC:Government Printing Office.p.77.
1 PCAST.2003.Technology Transfer of Federally Funded R&D[R].PCAST Subcommittee on Federal Investment in Science and Technology,President's Council of Advisors on Science and Technology.pp.8-13.
2 Electronic Industries Alliance.2004.The Technology Industry at an Innovation Crossroads[R].Electronic Industries Alliance.pp.57-58.
3 NSTC.2004.Science for the 21st century.The National Science and Technology Council,Washington,D.C.pp.21-23.
4 BHEF.2001.Working Together,Creating Knowledge.The University-Industry Research Collaboration Initiative.Business-Higher Education Forum.
1[美]西奥多·W·施利.政府资助研发的理论根据:传统的论点与新的现实.载:[美]A.杰斯顿费尔德编,王恩光等译.美日科学政策透析[C].北京:科学出版社,1986.162.
1 National Science Foundation,Division of Science Resources Statistics.2008.Chapter 5 Academic Research and Development,Science and Engineering Indicators.5-11.
2 Ibid.
1[美]万尼瓦尔·布什等著.范岱年等译.科学——没有止境的前沿[R].北京:商务印书馆,2004.69.
2[美]万尼瓦尔·布什等著.范岱年等译.科学——没有止境的前沿[R].北京:商务印书馆,2004.66.
3[美]万尼瓦尔·布什等著.范岱年等译.科学——没有止境的前沿[R].北京:商务印书馆,2004.69-70.
4[美]万尼瓦尔·布什等著.范岱年等译.科学——没有止境的前沿[R].北京:商务印书馆,2004.86.
1.The Research and Policy Committee of the Committee for Economic Development.1998.America's basic research:prosperity through discovery:a policy statement.Committee for Economic Development.p.4.
2 National Science Foundation,Division of Science Resources Statistics.2008.Chapter 5 Academic Research and Development,Science and Engineering Indicators.5-14.
1 Gerald Hane.1999.Comparing University-Industry Linkages in the United States and Japan,in Lewis M.Bramscomb et al.ed.,Industrializing Knowledge:University-Industry Linkages in Japan and the United States[C].Cambridge,Mass:the MIT Press.p.30.
2 James Tumer.2006.the Next Innovation Revolution:laying the Groundwork for the United States[J].Innovations,spring 2006.pp.123-144.
1 US 96th Congress.The Economic Recovery Tax Act of 1981.
2 Kevles,D.1977.The National Science Foundation and the Debate over Postwar Research Policy,1942-45:A Political Interpretation of Science-The Endless Frontier.” Isis,1977,68.pp.5-26.
1 Arno & Davis,supra n.3,at 642.Citing Memorandum for the Heads of Executive Departments and Agencies,Govemment Patent Policy.;see also 3 C.F.R.§861(1963).
2 Arno & Davis.1979 supra n.3,at 693 n.11(citing H.R.Subcomm.on Sci.,Research & Tech.of the House Comm.on Sci.& Tech.,Government Patent Policy,96th Cong.4-5(1979);see also Sen.Rpt.No.96-480,27-30,at 16.
3 Bayh-Dole University and Small Business Patent Act(P.L.96-517)(1980).U.S.C.Chapter 38.Patent Rights in Inventions Made with Federal Assistance.Section 200,Policy and Objective.
4 Ibid.Section 202,Disposition of rights.
1 US 96th Congress.Bayh-Dole University and Small Business Patent Act(P.L.96-517)(1980).U.S.C.Chapter 38.Patent Rights in Inventions Made with Federal Assistance.Section 202,Disposition of rights.
2 Ibid.
3 Trademark Clarification Act of 1984(PL 98-620).Title V-Government Research and Development Patent Policy.pp.30-34.
4 Ibid.
5 National competitiveness technology transfer act 1989(P.L.101-189).
1 Stevenson-Wydler Technology Innovation Act of 1980(PL 96-480).
2 Ronald Reagan.Executive Order 12591-Facilitating Access to Science and Technology April 10th,1987.
3 National Technology Transfer and Advancement Act of 1995(Public Law 104-113).
1 California Council on Science and Technology.2006.Policy Framework for Intellectual Property Derived From State-Funded Research.p.52.
2 Ibid.p.54.
3 Ibid.p.56.
4 Ibid.p.53.
5 Rev.Proc.97-14.Section 5.02;Rev.Proc.2007-47.http://www.irs.gov/irb/2007-29_IRB/ar12.html
1 The Arizona Board of Regents.Intellectual Property Policy 2001[EB/OL].http://www.abor.asu.edu/1_the_Regents/policymanual/chap6/6-908.pdf.(2008-10-12)
2 AUTM.2007.Nine Points to Consider in Licensing University Technology.AUTM.p.13.
3 MIT,TLO.The University of Michigan's“Inventor's Guide to Technology Transfer[EB/OL]http://web.mit.edu/tlo/.2008-07-09.
1 UC Office of Technology Licensing(OTL).University of California Patent Policy(1997)[EB/OL].http://www.spo.berkeley.edu/Policy/patentpolicy.html.
2 Georgia Institute of Technology-Faculty Handbook April 2007.Office of Faculty Career Development Services.pp.188-190.
3 University Policies affecting Technology Transfer.a presentation made at the 6th APRU Annual Presidents' Meeting at University of California,Berkeley on June 21,2002
1 Magnus Karlsson.2004.Commercialization of Research Results in the United States:an Overview of Federal and Academic Technology Transfer[R].Swedish Institute for Growth Policy Studies.pp.42-45.;University of California Patent Policy(1997)
1 Hatch Act of 1887 Establishing Agricultural Experiment Stations.Approved March 2,1887(24 Stat.440).sectionl.
2 Smith-Lever Act.May 8,1914,Chapter.79.Section.2.
3 Ibid.Section.4.
4 National Agricultural Research,Extension,and Teaching Policy Act of 1977((Public Law 95-113).Section.1402.
1 Ibid.Section.1403.
2 Agricultural Research,Extension,and Education Reform Act of 1998.Public Law 105-185.section401、402、403、405.
1 Stevenson-Wydler Technology Innovation Act of 1980(Public Law 96-480).Section.6.(a).
2 Ibid.Section.6.(b).
3 Ibid.Section.6.(c).
1 Ibid.Section.6.(e).
2 Federal Technology Transfer Act of 1986(Public Law 99-502).Approved October 20,1986.Section.6.
1 FLC.2005.Federal Technology Transfer Legislation and Policy.Universal Technical Resources Services,Inc.ix
2 Ibid.p.29.
3 National Competitiveness Technology Transfer Act of 1989(Public Law 101-189).Section.3133.
4 National Cooperative Rssearch Act of 1984(Public Law 98-462).Star.18.
5 Link,A.N.1996.Research Joint Ventures:Patterns from Federal Register Filings.Review of Industrial Organization.p.65.
1 Cooperative Research and Technology Enhancement of 2004.Section.2.Or.2007.Consolidated Patent Laws.United States Code Title 35-Patents.p.22.
2 Cooperative Research and Technology Enhancement of 2004.Section:2.Or.2007.Consolidated Patent Laws.United States Code Title 35-Patents.p.22.
3 Ibid.
4 Ronald Reagan.Executive Order 12591—Facilitating Access to Science and Technology.April 10th,1987.Section.2.
5 American Technology Preeminence Act of 1991(Public Law 102-245).Title Ⅱ.Advanced Technology Program Amendments.
6 House of Representativeness Senate.110~(th)Congress.2007.America COMPETES Act(P.L.110-69).Section.3012.
7 Stevenson-Wydler Technology Innovation Act of 1980(Public Law 96-480).Section.13
1 Ronald Reagan.Executive Order 12591—Facilitating Access to Science and Technology.April 10th,1987.Section.3.
2 AAU.1993.Framework Document on Managing Financial Conflicts of Interest.http://www.aau.edu/publications/reports.aspx?Id=6900.(2003-05-01/2009-02-26).
1 On Preventing Conflicts of Interest in Government-Sponsored Research at Universities,A Joint Statement of The Council of the American Association of University Professors and The American Council on Education,December,1964.
2 UCOP.Policy on Conflict of Commitment and Outside Activities of Faculty Members(July 1,2001),Academic Personnel Manual,Section 025.http://www.ucop.edu/ucophome/policies/bfb/g39toc.pdf.
3 Katherine Bick.1989.Request for Comment on Proposed Guidelines for Policies on Conflict of Interest,18 NIH Guide for Grant and Contracts 1
1 60 Fed.Reg.35810-01,July 11,1995.To be codified at 42 CFR Section 50.p.604.
2 60 Fed.Reg.35810-01,July 11,1995.To be codified at 42 CFR Section 50.p605.
3 Federal Register/Vol.60,No.132/Tuesday,July 11,1995/Notices.35822-23
4 Mildred Cho.Policies on Faculty Conflicts of Interest at U.S.Universities[J].Journal of the American Medical Association,Vol.284(2000),pp.2203-8.
5 AAUP.Legal Issues in Academic Research.http://www.aaup.org/AAUP/issues/.(2003-05-01/2009-02-26).
1 BHEF.2001.Working Together,Creating Knowledge:The University-Industry Research Collaboration Initiative[R].Business-Higher Education Forum.p.32.
2 The Political Reform Act of 1974,Government Code Section 87100 et seq.
1 Bulletin NO:G-44.2002.http://www.universityofcalifornia.edu/research/techtransfer.html
1 Grant,P.A.1986.Senator Hoke Smith,southern congressmen,end agriculture education,1914-1917[J].Agriculture History,volume 60,number 2.Retrieved October 12,2001,from:http://cals.ncsu.edu/agexed/aee501/grant.html
2 Gilpin,Robert.1975.Technology,Economic Growth and International Competitiveness[R].Report to the Subcommittee on Economic Growth.pp.24-26.
1 James Tumer.The Next Innovation Revolution:Laying the Groundwork for the United States[J].Innovation,Spring 2006.pp.123-144.
2 Gilpin,Robert.1975.Technology,Economic Growth and International Competiveness[R].Report to the Subcommittee on Economic Growth.pp.41-45.
3 James Turner.2006.the Next Innovation Revolution:laying the Groundwork for the United States[J].Innovations,spring 2006,pp.123-144.
1 Stevenson-Wydler Technology Innovation Act of 1980(Public Law 96-480).Section 2.
2 David C.Mowery,Richard R.Nelson,Bhaven N.Sampat,and Arvids A.Ziedonis.2004.Ivory Tower and Industrial Innovation:University-Industry Technology Transfer Before and After the Bayh-Dole Act[M].Palo Alto:Stanford Business Books.p.87.
1 David C.Mowery,Richard R.Nelson,Bhaven N.Sampat,and Arvids A.Ziedonis.2004.Ivory Tower and Industrial Innovation:University-Industry Technology Transfer Before and Aftet the Bayh-Dole Act[M].Palo Alto:Stanford Business Books.p.88.
2 Broad,W.1979.Patent Bill Returns Bright Idea to Inventor[J].Science 205:473-76.
1 Statement of Elmer B.Staats.S.414'the University and Small Business Patent Procedures Act',Hearings on S.414 before the Committee on the Judiciary,96th Congress,First Session(16 May and 6 June,1979).Washington,DC:Government Printing Office.p.16.
2 Senator Birch Bayh.Bayh-Dole:Don't Turn Back The Clock.Speech of Birch Bayh at the Licensing Executives Society 2006 Annual Meeting,New York,New York Tuesday,September 12,2006.
3 S.414.1979.The University and Small Business Patent Procedures Act,Hearings on S.414 before the Committee on the Judiciary,96th Congress,First Session(16 May and 6 June),Washington,DC:Government Printing Office.p.458.
4 Government Patent Policy.Hearings before the Committee on Science and Technology U.S.House of Representatives.The 96th Congress.October 16,17,1979.p.178.
1 Senator Birch Bayh.Bayh-Dole:Don't Turn Back The Clock.Speech of Birch Bayh at the Licensing Executives Society 2006 Annual Meeting,New York,New York Tuesday,September 12,2006
2 Ashley J.Stevens.The Enactment of Bayh-Dole[J].Journal of Technology Transfer,2004(29).pp.93-99.
1 Jeffrey M.Berry.1989.The Interest Group Society[M].Glenview,Ⅲ:Scott,Foresman.p.4.
1 Broad,W.1979.Whistle Blower Reinstated at HEW LJ].Science 205.13.476.
1 Executive Office of the President,Office of Management and Budget.1982.Circular No.A-124.Patent-Small Business Firms and Nonprofit organization.General Accounting Office.Section.16.
2 Ibid.
3 Ibid.Section.18.
1 Cottrell,F.the Research Corporation,an Experiment in the Public Administration of Patent Rights[J].Journal of Industrial and Engineering Chemistry,1912(4).pp.864-67.
2“史密森协会”是唯一由美国政府资助、半官方性质的第三部门博物馆机构.由英国科学家詹姆斯·史密森(James Smithson)遗赠捐款,根据美国国会法令于1846年创建于美国首都华盛顿.董事会由美国最高法院首席大法官、副总统、3名参议员、3名众议员和6名非官方人士组成。下设14个博物馆,协会还领导着著名的W.威尔逊国际学者中心,J.F.肯尼迪表演艺术中心和若干分布在美国其他地区及一些国家的研究中心、天文台和科学实验室等机构。该协会主要是致力于资助那些原创性科学研究。
1 Research Corporation.1947-1987.Annual Report.New York and Tucson,AZ:Research Corporation.p.3.
2 Pugh,E.W.1984.Memories that Shaped an Industry:Decisions Leading to IBM System/360[M].Cambridge:MIT Press.p.211.
1 Research Corporation.1979.Report of the Committee on Goals and Objectives.Research Corporation Archives,Tucson,Az.k.p.5
1 Research Corporation Technologies.1996 Annual Report.Tucson,Az:Research Corporation Technologies.p.16.
1 GAO.1998.Technology transfer:Administration of the Bayh-Dole Act by Research Universities[R].GAO/RCED-98-126.USGAO.pp.42-45.
1 Wisconsin Alumni Research Foundation(WARF).A Leader in University Technology Transfer since 1925[EB/OL].http//www.warf.org/index.jsp.(2009-01-20.).
1 KCEL.2001.The Growth and Advancement of Entrepreneurship in Higher Education:An Environmental Scan of College Initiatives.The Kauffinan Center for Entrepreneurial Leadership.pp.4-6.
2 The University of Arizona,The McGuire Center for Entrepreneurship.tech/knowledge transfer courses[EB/OL].http://entrepreneurship.eller.arizona.edu/competitions/(2009-01-20)
1 FLC.Mission,Goals and Objectives[EB/OL].http://www.federallabs.org/home./about/(2008-09-10).
2 Federal Technology Transfer Act of 1986(Public Law 99-502).Section 3.
1 FLC.Strategic Plan for 2009[EB/OL].Federal Laboratory Consortium for Technology Transfer.www.federallabs.org.(2009-03-03).
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1 The Bayh-Dole Act,a Review of Patent Issues in Federally Funded Research Hearing.Before the Subcommittee on Patent,Copeyrights and Trademarks of Committee on the Judiciary United States Senate.Second Session on Public Law 96-517.April 19,1994.U.S.Government Printing Office.p.18.
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1 Daniel J.Kevles.The National Science Foundation and the Debate over Postwar Research Policy,1942-1945:A Political Interpretation of Science-the Endless Frontier.Isis,1977.Vo.68.pp.5-26.
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3 Ibid.p.325.
1 David Swenson.2003.The Economic Values of the ISU Research Park and its Tenants,Department of Economic,Iowa State Univeraity,February 2003,http://www.isupark.org/news/pdf/economic_value_study.pdf.
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1 UNDP.2001.Making New Technologies Work for Human Development[R].Oxford,United Nations Development Program.p.5.
1 OECD.2002.Benchmarking Science-Industry Relationships[R].Paris:OECD.p.3.
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1 National Competitiveness Technology Transfer Act of 1989(Public Law 101-189).Section.3132.
1 这里的“白衣骑士”是指,当公司成为其他企业的并购目标后(一般为恶意收购),公司的管理层为阻碍恶意接管的发生,去寻找一家“友好”公司进行合并,而这家“友好”公司被称为“白衣骑士”.一般来说,受到管理层支持的“白衣骑士”的收购行动成功可能性很大,并且公司的管理者在取得机构投资者的支持下,甚至可以自己成为“白衣骑士”,实行管理层收购.
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1 National Competitiveness Technology Transfer Act of 1989(Public Law 101-189).Section.3132.
2 American Technology Preeminence Act of 1991(Public Law 102-245).Title Ⅱ:Emerging Technologies and Advanced Technology Program Amendments Act of 1991.Section.1.
1 Bayh-Dole University and Small Business Patent Act(P.L.96-517)(1980).Chapter 38.Patent Rights in Inventions Made with Federal Assistance.Section.204.
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5[美]德里克.博克著,徐小洲,陈军译.走出象牙塔:现代大学的社会责任[M].杭州:浙江教育出版社,2001.
6 何建坤等著.研究型大学技术转移:模式研究与实证分析[M].北京:清华大学出版社,2007.
7 郑友德,金明浩.从Madey诉杜克大学案谈实验使用抗辩原则的适用——兼论我国大学知识产权政策的调整[J].调处·仲裁·诉讼,2006(2).50-54.
8 王玉林,熊军.美国大学技术转移的考察及其对中国的启示[J].科技广场,2004(10).69-71
9 国务院学位委员办公室,中国研究生院院长联席会编.透视与借鉴—国外著名高等院校调研报告[C].北京:高等教育出版社,2004.
10 杨光,王华丰.斯坦福大学技术转移对我国的经验与借鉴[J].技术经济与管理研究,2005(05).24-27.
11 马玲,赵文华.大学对国民经济和社会发展的贡献——马里兰大学和加州大学技术转移的个案研究[J].复旦教育论坛,2004(05).34-37.
12 小泉贤吉郎,邓雪明.哈佛大学与DNA公司——大学的技术转移[J].中国生物工程杂志,1981(02).35-37.
1 章琰.大学技术转移的界面移动及模式选择研究[D].清华大学2004年博士论文.45.
2 安丽.国际技术转让法[M].北京:国法制出版社,2003.1.
1[美]亨利·埃茨科维兹著,周春彦译.三螺旋[M].北京:东方出版社,2005.6.
2 Jeffrey M.Berry.1989.The Interest Group Society[M].Glenview,Ill:Scott,Foresman.p.4.
1 Heclo,H.1978.Issue networks and the executive establishment[A].In A.King(Ed.),the new American political system[C].Washington:American Enterprise Institute for Public Policy.p.87.
1 Fishman,Eliot.1996.MIT Patent Policy 1932-1946:Historical Precedents in University-Industry Technology Transfer[D].Philadelphia:University of Pennsylvania.p.268.
2 Ibid.pp.262-270.
3 当时美国确立研究型大学的标准是:该大学是否设有研究生院和是否为美国大学学会成员.参见:Geiger,Roger L.1986.To advance knowledge:the powth of American research universities,1900-1940[M].New York:Oxford University Press.p.126.
1 Palmer,Archie M.1962.University research and patent policies,practices,and procedures[M].Washington:National Academy of Sciences-National Research Council.p.68.
1[美]万尼瓦尔·布什等著.范岱年等译.科学——没有止境的前沿[R].北京:商务印书馆,2004.66.
2[美]万尼瓦尔·布什等著.范岱年等译.科学——没有止境的前沿[R].北京:商务印书馆,2004.64.
3 U.S.General Accounting Office.1968.Problem Areas Affecting Usefulness of Results of Government-Sponsored Research in Medicinal Chemistry:A Report to the Congress[R].Washington,D.C.,U.S.Government Printing Office.pp.25-26.
1 David C.Mowery,Richard R.Nelson,Bhaven N.Sampat,and Arvids A.Ziedonis.2004.Ivory Tower and Industrial Innovation:University-Industry Technology Transfer before and after the Bayh-Dole Act[M].Stanford,CA:Stanford University Press.p.77.
1 Ernest J.Breton.1979.Inventor's Beaten Path Leads to a Mousetrap[R].The Hearings before the Subcommittee on Science,Research and Technology of the Committee on Science and Technology,U.S.House of Representatives,October 16-17,1979.U.S.Govemment Printing Office,Washington.p.174.
1 Gilpin,Robert.1975.Technology,Economic Growth and International Competitiveness[R].the Subcommittee on Economic Growth.p.13.
2 Kendrick,John.1980.Policies to Promote Productivity Growth[A].in Thomas Stauffer(ed.),Agenda for Business and Higher Education[C].Washington,DC:American Council on Education.p.69.
3 Birch Bayh.1979.In S.414'the University and Small Business Patent Procedures Act',Hearings on S.414 before the Committee on the Judiciary,96th Congress,First Session(16 May and 6 June),Washington,DC:Government Printing Office.p.458.
4 Institutional Patent Agreements.1978.'Government Patent Policies:Institutional Patent Agreements',Hearings on Government Patent Policies before the Subcommittee on Monopoly and Antimonopoly Activities Subcommittee,95th Congress,Second Session(22,23 May;20,21,26 June).Washington,DC:Government Printing Office.p.375.
5 Clark.1979.in S.414'the University and Small Business Patent Procedures Act',Hearings on S.414 before the Committee on the Judiciary,96th Congress,First Session(16 May and 6 June),Washington,DC:Government Printing Office.p.77.
1 PCAST.2003.Technology Transfer of Federally Funded R&D[R].PCAST Subcommittee on Federal Investment in Science and Technology,President's Council of Advisors on Science and Technology.pp.8-13.
2 Electronic Industries Alliance.2004.The Technology Industry at an Innovation Crossroads[R].Electronic Industries Alliance.pp.57-58.
3 NSTC.2004.Science for the 21st century.The National Science and Technology Council,Washington,D.C.pp.21-23.
4 BHEF.2001.Working Together,Creating Knowledge.The University-Industry Research Collaboration Initiative.Business-Higher Education Forum.
1[美]西奥多·W·施利.政府资助研发的理论根据:传统的论点与新的现实.载:[美]A.杰斯顿费尔德编,王恩光等译.美日科学政策透析[C].北京:科学出版社,1986.162.
1 National Science Foundation,Division of Science Resources Statistics.2008.Chapter 5 Academic Research and Development,Science and Engineering Indicators.5-11.
2 Ibid.
1[美]万尼瓦尔·布什等著.范岱年等译.科学——没有止境的前沿[R].北京:商务印书馆,2004.69.
2[美]万尼瓦尔·布什等著.范岱年等译.科学——没有止境的前沿[R].北京:商务印书馆,2004.66.
3[美]万尼瓦尔·布什等著.范岱年等译.科学——没有止境的前沿[R].北京:商务印书馆,2004.69-70.
4[美]万尼瓦尔·布什等著.范岱年等译.科学——没有止境的前沿[R].北京:商务印书馆,2004.86.
1.The Research and Policy Committee of the Committee for Economic Development.1998.America's basic research:prosperity through discovery:a policy statement.Committee for Economic Development.p.4.
2 National Science Foundation,Division of Science Resources Statistics.2008.Chapter 5 Academic Research and Development,Science and Engineering Indicators.5-14.
1 Gerald Hane.1999.Comparing University-Industry Linkages in the United States and Japan,in Lewis M.Bramscomb et al.ed.,Industrializing Knowledge:University-Industry Linkages in Japan and the United States[C].Cambridge,Mass:the MIT Press.p.30.
2 James Tumer.2006.the Next Innovation Revolution:laying the Groundwork for the United States[J].Innovations,spring 2006.pp.123-144.
1 US 96th Congress.The Economic Recovery Tax Act of 1981.
2 Kevles,D.1977.The National Science Foundation and the Debate over Postwar Research Policy,1942-45:A Political Interpretation of Science-The Endless Frontier.” Isis,1977,68.pp.5-26.
1 Arno & Davis,supra n.3,at 642.Citing Memorandum for the Heads of Executive Departments and Agencies,Govemment Patent Policy.;see also 3 C.F.R.§861(1963).
2 Arno & Davis.1979 supra n.3,at 693 n.11(citing H.R.Subcomm.on Sci.,Research & Tech.of the House Comm.on Sci.& Tech.,Government Patent Policy,96th Cong.4-5(1979);see also Sen.Rpt.No.96-480,27-30,at 16.
3 Bayh-Dole University and Small Business Patent Act(P.L.96-517)(1980).U.S.C.Chapter 38.Patent Rights in Inventions Made with Federal Assistance.Section 200,Policy and Objective.
4 Ibid.Section 202,Disposition of rights.
1 US 96th Congress.Bayh-Dole University and Small Business Patent Act(P.L.96-517)(1980).U.S.C.Chapter 38.Patent Rights in Inventions Made with Federal Assistance.Section 202,Disposition of rights.
2 Ibid.
3 Trademark Clarification Act of 1984(PL 98-620).Title V-Government Research and Development Patent Policy.pp.30-34.
4 Ibid.
5 National competitiveness technology transfer act 1989(P.L.101-189).
1 Stevenson-Wydler Technology Innovation Act of 1980(PL 96-480).
2 Ronald Reagan.Executive Order 12591-Facilitating Access to Science and Technology April 10th,1987.
3 National Technology Transfer and Advancement Act of 1995(Public Law 104-113).
1 California Council on Science and Technology.2006.Policy Framework for Intellectual Property Derived From State-Funded Research.p.52.
2 Ibid.p.54.
3 Ibid.p.56.
4 Ibid.p.53.
5 Rev.Proc.97-14.Section 5.02;Rev.Proc.2007-47.http://www.irs.gov/irb/2007-29_IRB/ar12.html
1 The Arizona Board of Regents.Intellectual Property Policy 2001[EB/OL].http://www.abor.asu.edu/1_the_Regents/policymanual/chap6/6-908.pdf.(2008-10-12)
2 AUTM.2007.Nine Points to Consider in Licensing University Technology.AUTM.p.13.
3 MIT,TLO.The University of Michigan's“Inventor's Guide to Technology Transfer[EB/OL]http://web.mit.edu/tlo/.2008-07-09.
1 UC Office of Technology Licensing(OTL).University of California Patent Policy(1997)[EB/OL].http://www.spo.berkeley.edu/Policy/patentpolicy.html.
2 Georgia Institute of Technology-Faculty Handbook April 2007.Office of Faculty Career Development Services.pp.188-190.
3 University Policies affecting Technology Transfer.a presentation made at the 6th APRU Annual Presidents' Meeting at University of California,Berkeley on June 21,2002
1 Magnus Karlsson.2004.Commercialization of Research Results in the United States:an Overview of Federal and Academic Technology Transfer[R].Swedish Institute for Growth Policy Studies.pp.42-45.;University of California Patent Policy(1997)
1 Hatch Act of 1887 Establishing Agricultural Experiment Stations.Approved March 2,1887(24 Stat.440).sectionl.
2 Smith-Lever Act.May 8,1914,Chapter.79.Section.2.
3 Ibid.Section.4.
4 National Agricultural Research,Extension,and Teaching Policy Act of 1977((Public Law 95-113).Section.1402.
1 Ibid.Section.1403.
2 Agricultural Research,Extension,and Education Reform Act of 1998.Public Law 105-185.section401、402、403、405.
1 Stevenson-Wydler Technology Innovation Act of 1980(Public Law 96-480).Section.6.(a).
2 Ibid.Section.6.(b).
3 Ibid.Section.6.(c).
1 Ibid.Section.6.(e).
2 Federal Technology Transfer Act of 1986(Public Law 99-502).Approved October 20,1986.Section.6.
1 FLC.2005.Federal Technology Transfer Legislation and Policy.Universal Technical Resources Services,Inc.ix
2 Ibid.p.29.
3 National Competitiveness Technology Transfer Act of 1989(Public Law 101-189).Section.3133.
4 National Cooperative Rssearch Act of 1984(Public Law 98-462).Star.18.
5 Link,A.N.1996.Research Joint Ventures:Patterns from Federal Register Filings.Review of Industrial Organization.p.65.
1 Cooperative Research and Technology Enhancement of 2004.Section.2.Or.2007.Consolidated Patent Laws.United States Code Title 35-Patents.p.22.
2 Cooperative Research and Technology Enhancement of 2004.Section:2.Or.2007.Consolidated Patent Laws.United States Code Title 35-Patents.p.22.
3 Ibid.
4 Ronald Reagan.Executive Order 12591—Facilitating Access to Science and Technology.April 10th,1987.Section.2.
5 American Technology Preeminence Act of 1991(Public Law 102-245).Title Ⅱ.Advanced Technology Program Amendments.
6 House of Representativeness Senate.110~(th)Congress.2007.America COMPETES Act(P.L.110-69).Section.3012.
7 Stevenson-Wydler Technology Innovation Act of 1980(Public Law 96-480).Section.13
1 Ronald Reagan.Executive Order 12591—Facilitating Access to Science and Technology.April 10th,1987.Section.3.
2 AAU.1993.Framework Document on Managing Financial Conflicts of Interest.http://www.aau.edu/publications/reports.aspx?Id=6900.(2003-05-01/2009-02-26).
1 On Preventing Conflicts of Interest in Government-Sponsored Research at Universities,A Joint Statement of The Council of the American Association of University Professors and The American Council on Education,December,1964.
2 UCOP.Policy on Conflict of Commitment and Outside Activities of Faculty Members(July 1,2001),Academic Personnel Manual,Section 025.http://www.ucop.edu/ucophome/policies/bfb/g39toc.pdf.
3 Katherine Bick.1989.Request for Comment on Proposed Guidelines for Policies on Conflict of Interest,18 NIH Guide for Grant and Contracts 1
1 60 Fed.Reg.35810-01,July 11,1995.To be codified at 42 CFR Section 50.p.604.
2 60 Fed.Reg.35810-01,July 11,1995.To be codified at 42 CFR Section 50.p605.
3 Federal Register/Vol.60,No.132/Tuesday,July 11,1995/Notices.35822-23
4 Mildred Cho.Policies on Faculty Conflicts of Interest at U.S.Universities[J].Journal of the American Medical Association,Vol.284(2000),pp.2203-8.
5 AAUP.Legal Issues in Academic Research.http://www.aaup.org/AAUP/issues/.(2003-05-01/2009-02-26).
1 BHEF.2001.Working Together,Creating Knowledge:The University-Industry Research Collaboration Initiative[R].Business-Higher Education Forum.p.32.
2 The Political Reform Act of 1974,Government Code Section 87100 et seq.
1 Bulletin NO:G-44.2002.http://www.universityofcalifornia.edu/research/techtransfer.html
1 Grant,P.A.1986.Senator Hoke Smith,southern congressmen,end agriculture education,1914-1917[J].Agriculture History,volume 60,number 2.Retrieved October 12,2001,from:http://cals.ncsu.edu/agexed/aee501/grant.html
2 Gilpin,Robert.1975.Technology,Economic Growth and International Competitiveness[R].Report to the Subcommittee on Economic Growth.pp.24-26.
1 James Tumer.The Next Innovation Revolution:Laying the Groundwork for the United States[J].Innovation,Spring 2006.pp.123-144.
2 Gilpin,Robert.1975.Technology,Economic Growth and International Competiveness[R].Report to the Subcommittee on Economic Growth.pp.41-45.
3 James Turner.2006.the Next Innovation Revolution:laying the Groundwork for the United States[J].Innovations,spring 2006,pp.123-144.
1 Stevenson-Wydler Technology Innovation Act of 1980(Public Law 96-480).Section 2.
2 David C.Mowery,Richard R.Nelson,Bhaven N.Sampat,and Arvids A.Ziedonis.2004.Ivory Tower and Industrial Innovation:University-Industry Technology Transfer Before and After the Bayh-Dole Act[M].Palo Alto:Stanford Business Books.p.87.
1 David C.Mowery,Richard R.Nelson,Bhaven N.Sampat,and Arvids A.Ziedonis.2004.Ivory Tower and Industrial Innovation:University-Industry Technology Transfer Before and Aftet the Bayh-Dole Act[M].Palo Alto:Stanford Business Books.p.88.
2 Broad,W.1979.Patent Bill Returns Bright Idea to Inventor[J].Science 205:473-76.
1 Statement of Elmer B.Staats.S.414'the University and Small Business Patent Procedures Act',Hearings on S.414 before the Committee on the Judiciary,96th Congress,First Session(16 May and 6 June,1979).Washington,DC:Government Printing Office.p.16.
2 Senator Birch Bayh.Bayh-Dole:Don't Turn Back The Clock.Speech of Birch Bayh at the Licensing Executives Society 2006 Annual Meeting,New York,New York Tuesday,September 12,2006.
3 S.414.1979.The University and Small Business Patent Procedures Act,Hearings on S.414 before the Committee on the Judiciary,96th Congress,First Session(16 May and 6 June),Washington,DC:Government Printing Office.p.458.
4 Government Patent Policy.Hearings before the Committee on Science and Technology U.S.House of Representatives.The 96th Congress.October 16,17,1979.p.178.
1 Senator Birch Bayh.Bayh-Dole:Don't Turn Back The Clock.Speech of Birch Bayh at the Licensing Executives Society 2006 Annual Meeting,New York,New York Tuesday,September 12,2006
2 Ashley J.Stevens.The Enactment of Bayh-Dole[J].Journal of Technology Transfer,2004(29).pp.93-99.
1 Jeffrey M.Berry.1989.The Interest Group Society[M].Glenview,Ⅲ:Scott,Foresman.p.4.
1 Broad,W.1979.Whistle Blower Reinstated at HEW LJ].Science 205.13.476.
1 Executive Office of the President,Office of Management and Budget.1982.Circular No.A-124.Patent-Small Business Firms and Nonprofit organization.General Accounting Office.Section.16.
2 Ibid.
3 Ibid.Section.18.
1 Cottrell,F.the Research Corporation,an Experiment in the Public Administration of Patent Rights[J].Journal of Industrial and Engineering Chemistry,1912(4).pp.864-67.
2“史密森协会”是唯一由美国政府资助、半官方性质的第三部门博物馆机构.由英国科学家詹姆斯·史密森(James Smithson)遗赠捐款,根据美国国会法令于1846年创建于美国首都华盛顿.董事会由美国最高法院首席大法官、副总统、3名参议员、3名众议员和6名非官方人士组成。下设14个博物馆,协会还领导着著名的W.威尔逊国际学者中心,J.F.肯尼迪表演艺术中心和若干分布在美国其他地区及一些国家的研究中心、天文台和科学实验室等机构。该协会主要是致力于资助那些原创性科学研究。
1 Research Corporation.1947-1987.Annual Report.New York and Tucson,AZ:Research Corporation.p.3.
2 Pugh,E.W.1984.Memories that Shaped an Industry:Decisions Leading to IBM System/360[M].Cambridge:MIT Press.p.211.
1 Research Corporation.1979.Report of the Committee on Goals and Objectives.Research Corporation Archives,Tucson,Az.k.p.5
1 Research Corporation Technologies.1996 Annual Report.Tucson,Az:Research Corporation Technologies.p.16.
1 GAO.1998.Technology transfer:Administration of the Bayh-Dole Act by Research Universities[R].GAO/RCED-98-126.USGAO.pp.42-45.
1 Wisconsin Alumni Research Foundation(WARF).A Leader in University Technology Transfer since 1925[EB/OL].http//www.warf.org/index.jsp.(2009-01-20.).
1 KCEL.2001.The Growth and Advancement of Entrepreneurship in Higher Education:An Environmental Scan of College Initiatives.The Kauffinan Center for Entrepreneurial Leadership.pp.4-6.
2 The University of Arizona,The McGuire Center for Entrepreneurship.tech/knowledge transfer courses[EB/OL].http://entrepreneurship.eller.arizona.edu/competitions/(2009-01-20)
1 FLC.Mission,Goals and Objectives[EB/OL].http://www.federallabs.org/home./about/(2008-09-10).
2 Federal Technology Transfer Act of 1986(Public Law 99-502).Section 3.
1 FLC.Strategic Plan for 2009[EB/OL].Federal Laboratory Consortium for Technology Transfer.www.federallabs.org.(2009-03-03).
2 CCST.California's Federal Laboratories:A State Resource[R].California Council on Science and Technology.2006.pp.21-30.;Berkeley Lab's technology transfer program and its accomplishments[EB/OL].http://www.lbl.gov/Tech-Transfer/index.html.(2009-01-12).
1 The Bayh-Dole Act,a Review of Patent Issues in Federally Funded Research Hearing.Before the Subcommittee on Patent,Copeyrights and Trademarks of Committee on the Judiciary United States Senate.Second Session on Public Law 96-517.April 19,1994.U.S.Government Printing Office.p.18.
1[美]万尼瓦尔·布什 等著.范岱年等译.科学——没有止境的前沿[R].北京:商务印书馆,2004.85-86.
1 转引自:李正风.科学知识生产方式及其演变[M].北京:清华大学出版社,2006.250.
2[美]万尼瓦尔·布什.范岱年等译.科学——没有止境的前沿[R].北京:商务印书馆,2004.64.
3 Clinton,William J.;Gore,Albert.Science in the National Interest[R].Executive Office of the President,Washington,DC.January 31-February 1,1994.p.23.
4[美]科学、工程与公共政策委员会等.张京京译.科学技术和联邦政府:新时代的国家目标[R].北京:科学技术文献出版社,1999.7.
1[美]布鲁克斯.高等教育哲学[M].郑继伟等译.杭州:浙江教育出版社,1998.P.18.
1 Henry Etzkowitz.2008.The Triple Helix:University-Industry-Government Innovation in Action[M].New York:Routledge.p.9.
1 Gibbons M,et al.,eds.1994.The New Production of Knowledge:the Dynamics of Science and Research in Contemporary Societies[M].London:Sage Publications Inc.p.6.
1 Sheila Jasanoff,et al.,eds.1995.Handbook of Science and Technology Studies[M].Thousand Oaks,Calif.:Sage Publications.p.501.
1 Henry Etzkowitz.1999.Bridging the Gap:the Evolution of Industry-University Links in the United States[A].In:Lewis M.Branscomb,et al.,eds.Industrializing Knowledge:University-Industry Linkages in Japan and the United States[C].Massachusetts,London:the MIT Press.p.231.
1 Fumio Kodama,Lewis M.Branscomb.1999.Contrasting Two Systems of University-Industry Links[A].In:Lewis M.Branscomb,et al.,eds.Industrializing Knowledge:University-Industry Linkages in Japan and the United States[C].Massachusetts,London:the MIT Press.pp.3-19.
2[美]德里克·博克著.徐小洲等译.走出象牙塔——现代大学的社会责任[M].杭州:浙江教育出版社,2001.160.
1 Albert N.Link.John T.Scott.2006.U,S.university research parks[J].Journal of Productivity Analysis,2006(25).pp.43-55
1 Battelle Memorial Institute.2007.Characteristics and Trends in North American Research Park:21st Century Directions.Association of University Research Parks.p.13.
2 Battelle Memorial Institute.2007.Characteristics and Trends in North American Research Park:21st Century Directions[R].Association of University Research Parks.p.14.
1 William Little.An Emerging Dimension of the Research Triangle:Technology-based Start-ups and Spin-offs[R].Presentation to the Triangle Area Research Directors Club,October 2005.
1 Rick L.Weddle.2006.Research Triangle Park:Evolution and Renaissance[R].Research Triangle Foundation:IASP 2006 World Conference Paper Submission.The Research Triangle Foundation of North Carolina.pp.35-38.
1 Leyden and Link.Federal laboratories as research partners[J],International Journal of Industrial Organization 17(1999).pp.557-574.
1 Leyden and Link.Federal laboratories as research partners[J].International Journal of Industrial Organization 17(1999).pp.557-574.
1 NIST.Non-Profit Participation in ATP[EB/OL].http://www.atp.nist.gov/factsheets/3-d-8.htm.
1 AUTM.U.S.Licensing Activity Survey:FY2006[EB/OL].http://www.autm.net/.
2 AUTM.U.S.Licensing Activity Survey:FY2006[EB/OL].http://www.autm.net/.
1 AUTM.U.S.Licensing Activity Survey:FY2000,2002,2004,2006[EB/OL].http://www.autm.net/.
2 AUTM.U.S.Licensing Activity Survey:FY2006[EB/OL].http://www.autm.net/.
1 Claudia S.Hofmann et al.2006.Poster:.Benchmarking Technology Transfer Metrics from Different Countries.http://www.autm.net/pubs/international surveys.cfm.2008-08-20.
1 Daniel J.Kevles.The National Science Foundation and the Debate over Postwar Research Policy,1942-1945:A Political Interpretation of Science-the Endless Frontier.Isis,1977.Vo.68.pp.5-26.
2 National Academies.2006.Rising Above the Gathering Storm:Energizing and Employing America for a Brighter Economic Future[R].Washington:the National Academies Press.p.45.
3 Ibid.p.325.
1 David Swenson.2003.The Economic Values of the ISU Research Park and its Tenants,Department of Economic,Iowa State Univeraity,February 2003,http://www.isupark.org/news/pdf/economic_value_study.pdf.
2 Vera Pavlakovich-Kochi and Alberta H.Charney,Economic and Tax Revenue Impacts of The University of Arizona Science and Technology Park During FY 2003-2004[R].The University of Arizona,March 2005,http://oepa.arizona.edu/Lib/Media/Docs/2005_uastp_impact_study.pdf.
1 Heher,A.D.2004.Return on Investments in Innovation:Implications for Institutions and National Agencies[J].The Journal of Technology Transfer.2006,Vo.31,Issue 4.pp.403-414.
1 UNDP.2001.Making New Technologies Work for Human Development[R].Oxford,United Nations Development Program.p.5.
1 OECD.2002.Benchmarking Science-Industry Relationships[R].Paris:OECD.p.3.
2 Thomas J.Siepmann.The Global Exportation of the U.S.Bayh-Dole Act[J].University of Dayton Law Review,2004,Vol.30:2.pp.209-243.
3 European Commission,European Trend Chart on Innovation,October 2001-September 2002,http://trendchart.cordis.lu/Reports/Documents/Sweden_CR_September_2002.pdf,34(accessed April16,2003).
1 Slaughter,et al.1997.Academic Capitalism:Politics,Policies,and the Entrepreneurial University[M].Johns Hopkins University Press.p.8.
1 Slaughter,et al.2004.Academic Capitalism and the New Economy:.Markets,State,and Higher Education[M].Baltimore,MD:Johns Hopkins University Press.
1 Feldman,M.,I.Feller,J.Bercovitz,and R.Burton.2002.Equity and the Technology Transfer Strategies of American Research University[J].Management Science 48(1).pp.105-121.
1 National Competitiveness Technology Transfer Act of 1989(Public Law 101-189).Section.3132.
1 这里的“白衣骑士”是指,当公司成为其他企业的并购目标后(一般为恶意收购),公司的管理层为阻碍恶意接管的发生,去寻找一家“友好”公司进行合并,而这家“友好”公司被称为“白衣骑士”.一般来说,受到管理层支持的“白衣骑士”的收购行动成功可能性很大,并且公司的管理者在取得机构投资者的支持下,甚至可以自己成为“白衣骑士”,实行管理层收购.
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