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Copyright © National Academy of Sciences. All rights reserved. Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html 440 RISING ABOVE THE GATHERING STORM Administration has a separate authority under the 1958 Space Act and the 1989 National Space Policy. 27 As of FY 2001, there were 3,603 active CRADAs, 80% of which in- volved DOD, DOE, or the Department of Health and Human Services. 28 CRADAs can range from focused collaboration on a specific technol- ogy to large programs, such as FreedomCAR, a successor to the Partnership for a New Generation of Vehicles (PNGV) CRADA between DOE and the big three automakers. 29 PNGV was reviewed by a standing National Acad- emies committee. 30 Although the research made impressive technological progress, only with the recent rapid rise in gasoline prices are advanced technologies for high-fuel-economy vehicles becoming a competitive factor in the marketplace. THE BAYH–DOLE ACT The Bayh–Dole Act of 1980, which allowed universities to own and license patents of university inventions (even inventions supported by fed- eral funds), ushered in an explosion of university patenting and licensing activity. 31 There is broad recognition that Bayh–Dole has encouraged a va- riety of university–industry collaborations and small-firm startups. Figures EL-3 and EL-4 show how industry support for university research and uni- versity licensing income has gone up. There has been continuing research and debate on the ultimate impacts. 32 Calls to amend or rethink Bayh–Dole have come from several quarters in recent years. Some companies and universities have found it difficult to work out the intellectual-property aspects of collaboration. 33 There also have been cases in which university intellectual-property rights might have 27 National Aeronautics and Space Administration. Space Act Manual. Washington, DC: National Aeronautics and Space Administration, 1998. Available at: http://nodis3.gsfc. nasa.gov/1050-1.html. 28 National Science Board. Science and Engineering Indicators 2004. NSB 04-01. Arlington, VA: National Science Foundation, 2004. See summary points for Chapter 4 at: http:// www.nsf.gov/sbe/srs/seind04/c4/c4h.htm. 29 US General Accounting Office. “Lessons Learned from Previous Research Could Benefit FreedomCAR Initiative.” Statement of Jim Wells. GAO-02-810T. Washington, DC: General Accounting Office, 2002. 30 National Research Council. Review of the Research Program of the Partnership for a New Generation of Vehicles. Washington, DC: National Academy Press, 2001. 31 Council on Government Relations. The Bayh-Dole Act: A Guide to the Law and Imple- menting Regulations. Washington, DC: Council on Government Relations, 1999. Available at: www.ucop.edu/ott/bayh.html. 32 D. C. Mowery and A. A. Ziedonis. Numbers, Quality and Entry: How Has the Bayh-Dole Act Affected US University Patenting and Licensing? In A. B. Jaffe, J. Lerner, and S. Stern, eds. Innovation Policy and the Economy, Volume 1. Cambridge, MA: MIT Press, 2001. 33 S. Butts and R. Killoran. “Industry-University Research in Our Times: A White Paper.” 2003. Available at: http://www7.nationalacademies.org/guirr/IP_background.html. Copyright © National Academy of Sciences. All rights reserved. Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html APPENDIX D 441 FIGURE EL-3 Industry support of science and engineering research at US colleges and universities, in millions of dollars, 1960-1999. SOURCE: R. Killoren and S. Butts. Industry-University Research in Our Times. Background paper for Re-Engineering Intellectual Property Rights Agreements in Industry-University Collaborations. Government-University-Industry Research Roundtable, National Academies, June 26, 2003. Available at: http://www7. national academies.org/guirr/IP_background.html. FIGURE EL-4 License income to North American universities and research insti- tutes, in millions of dollars, 1991-2000. SOURCE: R. Killoren and S. Butts. Industry-University Research in Our Times. Background paper for Re-Engineering Intellectual Property Rights Agreements in Industry-University Collaborations. Government-University-Industry Research Roundtable, National Academies, June 26, 2003. Available at: http://www7. nationalacademies.org/guirr/IP_background.html. 2,500 2,000 1,500 1,000 500 0 Millions of Dollars 1960 1963 1966 1969 1972 1975 1978 1981 1984 1987 1990 1993 1996 1999 Fiscal Year 1,400 1,200 1,000 800 600 400 200 0 Millions of Dollars 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 Fiscal Year Copyright © National Academy of Sciences. All rights reserved. Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html 442 RISING ABOVE THE GATHERING STORM impeded the flow of a superior medical treatment to the market, to the detriment of public health. 34 Possible options for federal action include the following: • Evaluate and amend the Bayh–Dole Act to promote collaborations between university technology-transfer offices, local community colleges, local economic-development planning agencies, federal laboratories, select managers of venture funds, and industry leaders. This would respond to the increasing pressure on university technology-transfer specialists to become stewards of their regional economic development. Cooperative Economic Development Agreements (CEDAs) can accomplish this goal. 35 COMMISSIONS AND COUNCILS ON SPECIFIC INDUSTRIES AND TECHNOLOGIES Over the years, a number of national advisory bodies have been set up to develop policy ideas and recommendations affecting specific industries. These bodies have sometimes taken on science and engineering issues as a central part of their work. The National Advisory Committee on Semicon- ductors, which operated in the late 1980s and early 1990s, is one example. A more recent example is the Commission on the Future of the United States Aerospace Industry. 36 A followup effort, the National Aerospace Ini- tiative, has sought to involve the relevant agencies in the development of technology roadmaps for the industry. 37 The President’s Information Technology Advisory Committee, which was disbanded in June 2005, issued a final report recommending that fed- eral agencies change the way they fund computational science and calling on the National Academies to lead a roadmapping effort. 38 Several years ago, an advisory committee to NSF recommended the launch of an effort to boost cyberinfrastructure for research enabled by information technology. 39 34 A. B. Shalom and R. Cook-Deegan. “Patents and Innovation in Cancer Therapeutics: Lessons from CellPro.” The Milbank Quarterly 80(December 2002):iii-iv, 637-676. 35 C. Hamilton. “University Technology Transfer and Economic Development: Proposed Cooperative Economic Development Agreements Under the Bayh-Dole Act.” John Marshall Law Review (Winter 2003). 36 Commission on the Future of the United States Aerospace Industry. Final Report. Arling- ton, VA: Commission on the Future of the United States Aerospace Industry, 2002. Available at: http://www.ita.doc.gov/td/aerospace/aerospacecommission/AeroCommissionFinalReport. pdf. 37 National Research Council. Evaluation of the National Aerospace Initiative. Washington, DC: The National Academies Press, 2004. 38 President’s Information Technology Advisory Committee. Computational Science: Ensur- ing America’s Competitiveness. Washington, DC: National Coordination Office for Informa- tion Technology Research and Development (NCO/ITR&D), 2005. 39 Blue-Ribbon Advisory Panel on Cyberinfrastructure. Revolutionizing Science and Engi- neering Through Cyberinfrastructure. Arlington, VA: National Science Foundation, 2003. Copyright © National Academy of Sciences. All rights reserved. Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html APPENDIX D 443 Possible options for federal action include the following: • Make coordinated, fundamental, structural changes that affirm the integral role of computational science in addressing the 21st century’s most important problems, which are predominantly multidisciplinary, multi- agency, multisector, and collaborative. To initiate the required transforma- tion, the federal government, in partnership with academe and industry, must create and execute a multidecade roadmap directing coordinated ad- vances in computational science and its applications in science and engi- neering disciplines. • Commission the National Academies to convene one or more task forces to develop and maintain a multidecade roadmap for computational science and the fields that require it, with a goal of ensuring continuing US leadership in science, engineering, the social sciences, and the humanities. • Direct NSF to establish and lead a large-scale, interagency, and in- ternationally coordinated Advanced Cyberinfrastructure Program to cre- ate, deploy, and apply cyberinfrastructure in ways that radically empower all scientific and engineering research and allied education. Sustained new NSF funding of $1 billion per year is required to achieve “critical mass” and to leverage the necessary coordinated coinvestment from other federal agencies, universities, industry, and international sources required to em- power a revolution. 40 MANUFACTURING AND INNOVATION EXTENSION The Manufacturing Extension Partnership (MEP) program of NIST was established in 1989 and now comprises about 350 nonprofit MEP centers that collectively receive a little over $100 million annually from NIST. 41 The centers have been successful in attracting support from states, industry, and other entities. Several recent recommendations for federal action are related to manu- facturing technology and extension services: • Establish a program of Innovation Extension Centers to enable small and medium-sized enterprises to become first-tier manufacturing partners. 42 • Create centers for production excellence that include shared facili- ties and consortia. 43 40 Ibid. 41 See the NIST Web site. Available at: http://www.mep.nist.gov/about-mep/about.html. 42 Council on Competitiveness. Innovate America. Washington, DC: Council on Competi- tiveness, 2004. 43 Ibid. Copyright © National Academy of Sciences. All rights reserved. Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html 444 Understanding Trends in Science and Technology Critical to US Prosperity This paper summarizes findings and recommendations from a variety of recently published reports and papers as input to the deliberations of the Committee on Prospering in the Global Economy of the 21st Century. Statements in this paper should not be seen as the conclusions of the National Academies or the committee. SUMMARY Sound policies rest on a solid foundation of information and analysis. The collection and analysis of data have become key components of the innovation system. During the late 1980s and early 1990s, policy-makers expressed a grow- ing interest in assessments and international comparisons of critical tech- nologies. This interest was prompted by the rapid (and unexpected) emer- gence during the 1980s of Japanese companies in high-technology fields, such as microelectronics, robotics, and advanced materials. Policy-makers proposed that regular efforts to identify the technologies likely to underlie future economic growth and to assess the relative international standing of the United States in those technologies would yield information useful for making investment decisions. Today, a number of government and private groups undertake a vari- ety of technology assessments that enhance our understanding of America’s relative standing in specific science and engineering fields. More detailed and innovative measures could provide important additional information on the status and effects of scientific and technological research. Recommendations for federal actions in these areas include the following: Copyright © National Academy of Sciences. All rights reserved. Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html APPENDIX D 445 International Benchmarking of US Research Fields • Establish a system to conduct regular international benchmarking assessments of US research to provide information on the world leadership status of key fields and subfields of scientific and technologic research. Critical Technologies • Establish a federal office that would coordinate ongoing private and public assessments of critical technologies and initiate additional assess- ments where needed. Data Collection and Dissemination • Mandate that the White House Office of Science and Technology Policy prepare a regular report on innovation that would be linked to the federal budget cycle. • Provide the National Science Foundation (NSF) Division of Science Resources Statistics (SRS) with resources to launch a program of innova- tion surveys. • Ensure that research and innovation survey programs, such as the NSF R&D survey, incorporate emerging, high-growth, technology-intensive in- dustries, such as telecommunications and biotechnology, and industries across the service sector—financial services, transportation, and retailing, among others. SCIENCE AND TECHNOLOGY BENCHMARKING As part of the technology and international-competitiveness debates of the 1980s and 1990s, several initiatives were launched to assess national capabilities in specific fields of science and engineering. Many of the early assessments looked at Japanese capabilities and were performed by US or international panels. 1 In the late 1980s, the Japan Technology Evaluation Center started as an interagency federal initiative managed by SAIC; it evolved into an NSF-contracted center at Loyola College of Maryland and is now an independent nonprofit known as WTEC, Inc. 2 WTEC assess- ments cover a variety of countries and fields and are undertaken on an ad hoc basis. They are funded by the federal agencies most interested in the specific field being assessed. 1 National Research Council, National Materials Advisory Board. High-Technology Ceram- ics in Japan. Washington, DC: National Academy Press, 1984. 2 See the WTEC, Inc., Web site. Available at: http://www.wtec.org/welcome.htm. Copyright © National Academy of Sciences. All rights reserved. Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html 446 RISING ABOVE THE GATHERING STORM A 1993 National Academies report recommended that the world lead- ership status of research fields be evaluated through international bench- marking. 3 A followup report that reviewed three benchmarking experiments (mathematics, immunology, and materials science and engineering) con- cluded that the approach of using expert panels could yield timely, accurate “snapshots” of specific fields. 4 The report also suggested that benchmarking assessments be conducted every 3-5 years to capture changes in the subject fields. Figure UT-1 illustrates one such assessment. The factors considered most important in determining US leadership status, on the basis of all the international benchmarking experiments, were human resources and graduate education, funding, innovation process and industry, and infrastructure. In addition, the Bureau of Industry and Security of the US Department of Commerce undertakes assessments of the US industrial and technology base in areas considered important for national defense. 5 These assessments often take into account international competitiveness. Possible federal action includes the following: • Establish a system to conduct regular international benchmarking assessments of US research to provide information on the world leadership status of key fields and subfields of scientific and technological research. An example of the potential utility of this information is shown in Fig- ures UT-2 to UT-5 which show funding and innovation process metrics for nanotechnology. CRITICAL TECHNOLOGIES In 1990, Congress mandated that a biennial review be conducted of America’s commitment to critical technologies deemed essential for “main- taining economic prosperity and enhancing the competitiveness of the US research enterprise.” The legislation required that the number of technolo- gies identified in the report not exceed 30 and include the most economi- cally important civilian technologies expected after the decade following the report’s release with the estimated current and future size of the domes- 3 NAS/NAE/IOM. Science, Technology, and the Federal Government. Washington, DC: Na- tional Academy Press, 1993. 4 NAS/NAE/IOM. Experiments in International Benchmarking of U.S. Research Fields. Washington, DC: National Academy Press, 2000. 5 See http://www.bis.doc.gov/defenseindustrialbaseprograms/osies/DefMarketResearchRpts/ Default.htm. Copyright © National Academy of Sciences. All rights reserved. Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html APPENDIX D 447 tic and international markets for products derived from the identified tech- nologies. However, the exact definition of critical technologies was not in- cluded in the legislation. The Office of Science and Technology Policy (OSTP) prepared National Critical Technologies Reports (NCTR) to Congress in 1991, 6 1993, 7 1995, 8 and 1998. 9 The content of and methods used to prepare the NCTRs varied Current Position Likely Future Position Sub-Subfield 1 Fore- front 2 3 Among world leaders 4 5 Behind world leaders 1 Gaining/ Extending 2 3 Main- taining 4 5 Losing Comments Tissue engineering • • Clear US leadership; tremendous worldwide interest. Molecular architecture • • Strong US competition from Germany and Japan. Protein analogs • • US dominates, driven by a basic-science approach. Biomimetics • • Strong players in North America, UK, Japan. Contemporary diagnostic systems • • Large European Community investments in biosensors research could lower US ranking. Advanced controlled- release systems • • US leads; extremely high worldwide interest could change this. Bone biomaterials • • Important developments in Europe and Japan. FIGURE UT-1 Example of international benchmarking for several materials science and engineering subfields. SOURCE: NAS/NAE/IOM. Experiments in International Benchmarking of US Research Fields. Washington, DC: National Academy Press, 2000. 6 National Critical Technologies Panel. Report of the National Critical Technologies Panel. Washington, DC: US Government Printing Office, 1991. 7 National Critical Technologies Panel. The Second Biennial Report of the National Critical Technologies Panel. Washington, DC: US Government Printing Office, 1993. 8 National Critical Technologies Panel. The National Critical Technologies Report. Wash- ington, DC: US Government Printing Office, 1995. 9 S. W. Popper, C. S. Wagner, and E. V. Larson. New Forces at Work: Industry Views Critical Technologies. Santa Monica, CA: RAND, 1998. Copyright © National Academy of Sciences. All rights reserved. Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html 448 RISING ABOVE THE GATHERING STORM FIGURE UT-2 Share of total government investment for nanotechnology, in billions of dollars. SOURCE: S. Murdock. Testimony before the Research Subcommittee of the Committee on Science of the United States House of Representatives. Hearing on “Nanotechnology: Where Does the US Stand?” June 29, 2005. FIGURE UT-3 Venture capital, global corporate, and global government nanotech- nology funding, in billions of dollars. SOURCE: S. Murdock. Testimony before the Research Subcommittee of the Committee on Science of the United States House of Representatives. Hearing on “Nanotechnology: Where Does the US Stand?” June 29, 2005. Copyright © National Academy of Sciences. All rights reserved. Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html APPENDIX D 449 FIGURE UT-5 US patents awarded to US institutions, 2003. SOURCE: S. Murdock. Testimony before the Research Subcommittee of the Committee on Science of the United States House of Representatives. Hearing on “Nanotechnology: Where Does the US Stand?” June 29, 2005. This figure was based on an analysis done by Jim Murday and Mike Roco of the Nano Business Alliance. FIGURE UT-4 Number of US nanotechnology startups, 2000-2003. SOURCE: S. Murdock. Testimony before the Research Subcommittee of the Committee on Science of the United States House of Representatives. Hearing on “Nanotechnology: Where Does the US Stand?” June 29, 2005. Number of US Nanotechnology Startups [...]... clinton1.nara.gov/White_House/EOP/OSTP/CTIformatted/AppA/appa.html Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html 451 Copyright © National Academy of Sciences All rights reserved Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html 452 RISING ABOVE THE GATHERING STORM. .. Copyright © National Academy of Sciences All rights reserved Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html 454 RISING ABOVE THE GATHERING STORM • NSF should increase the analytic value of its data by improving comparability and linkages among its data sets and between its data and data from other sources, such as the. .. areas.” Figure UT-6 illustrates the NCTR analyses for materials research Each of the 27 areas was identified on a competitive scale ranging from lagging to leading, and each area was then compared with Europe and Japan.11 Over the 199 0s, the RAND Corporation played an increasingly important role in the preparation of the NCTRs RAND assisted with the background research for the 199 3 report and was a. .. of a critical national goal The candidate fields for such a challenge include energy, space, and healthcare Copyright © National Academy of Sciences All rights reserved Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html 458 RISING ABOVE THE GATHERING STORM Support for Regional Innovation • Establish a program of national... of American Innovation, 2005 455 Copyright © National Academy of Sciences All rights reserved Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html 456 RISING ABOVE THE GATHERING STORM as the market and regulatory environment, trade policy, intellectual-property policies, policies that affect the accumulation of human.. .Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html 450 RISING ABOVE THE GATHERING STORM throughout the decade.10 The 199 5 report, for example, identified seven “technology categories” (energy, environmental quality, information and communication, living systems, manufacturing, materials, and transportation),... National Academy Press, 199 9 6See the Alfred P Sloan Foundation Web site Available at: http://www.sloan.org Copyright © National Academy of Sciences All rights reserved Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html APPENDIX D 4 59 This literature underscores the importance of the environment for innovation and points... Senate Hearing on “Broadcast to Broadband: Completing the Digital Television Transition Can Jumpstart Affordable Wireless Broadband.” July 12, 2005 19American Electronics Association, 2005, p 26 18M Copyright © National Academy of Sciences All rights reserved Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html 463 APPENDIX... Farrell, M Laboissière, R Pascal, J Rosenfeld, C de Segundo, S Stürze, and F Umezawa The Emerging Global Labor Market New York: McKinsey Global Institute, 2005 32NAS/NAE/IOM, 199 9 Copyright © National Academy of Sciences All rights reserved Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html 468 RISING ABOVE THE GATHERING. .. Copyright © National Academy of Sciences All rights reserved Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html 462 RISING ABOVE THE GATHERING STORM Rank Country Broadband Subscribers per 100 Inhabitants FIGURE EI-2 Ranking of select countries by broadband subscribers per capita SOURCE: M Calabrese, Vice President and Director, . Dollars 196 0 196 3 196 6 196 9 197 2 197 5 197 8 198 1 198 4 198 7 199 0 199 3 199 6 199 9 Fiscal Year 1,400 1,200 1,000 800 600 400 200 0 Millions of Dollars 199 1 199 2 199 3 199 4 199 5 199 6 199 7 199 8 199 9 2000 Fiscal Year Copyright © National Academy. Sciences. All rights reserved. Rising Above the Gathering Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html 442 RISING ABOVE THE GATHERING STORM impeded. Storm: Energizing and Employing America for a Brighter Economic Future http://www.nap.edu/catalog/11463.html 446 RISING ABOVE THE GATHERING STORM A 199 3 National Academies report recommended that the