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What is Technology Transfer?
What are the main barriers for technology
transfer?
What
Legislation covers Federal Technology transfer
activities?
Why
Technology Transfer?
What factors were of major
importance in the articulation of a need to assess technologies?
Who uses the results of TA?
What components are of a
Technology Assessment?
What is Technology Transfer?
Technology transfer is the
process of utilizing technology, expertise, know-how or
facilities for a purpose not originally intended by the
developing organization. Technology transfers can result in
commercialization or product/process improvement.
See Technology Transfer Section of this
site for further definitions and references.
The key objective of
technology transfer policy in a liberalized trade and
investment environment is then to move domestic firms from
technologically simpler to more complex sourcing positions based
on dynamic learning.
Radosevic, S., international technology transfer and catch-
up in economic development, Oxford University, 2000
Technology transfer issues for
developing countries in a globalized economic context evolve
around several issues within what we call a "sourcing
framework":
-
The issue of simultaneous market and technology access which
is essential for dynamic learning.
-
The role of latecomer firms as the main carriers of
technology transfer and the ways they compensate for the
disadvantages in their immediate environment.
-
The position of national enterprises in regional or global
production networks and the possibilities for dynamic
learning through being plugged into these networks.
-
The issue of the macro-organizational and networking
strategies of governments in order to enhance production and
technology integration of the domestic economy.
Radosevic, S., international
technology transfer and catch- up in economic development,
Oxford University, 2000
http://unfccc.int/files/meetings/workshops/other_meetings/application/vnd.ms-powerpoint/2
What are the main barriers for technology
transfer?
•
Lack of data,
information, knowledge, awareness
•
High transaction
costs
•
Poor access to
capital, especially for smaller firms
•
Risk aversion in
financial institutions, incl. MDB’s
•
Trade barriers such
as tariffs
•
Insufficient human
and institutional capabilities
•
Poor understanding of
local needs
•
Lack of adequate
codes and standards for EST’s
•
Low, subsidised
conventional energy prices
•
Absence of full-cost
pricing
Successful technology transfer
involves cooperative work among people whose interests and
talents in development, research, and manufacturing are combined
to meet the requirements of a specific goal.
http://books.nap.edu/books/0309046300/html/17.html#pagetop
The potential benefits of dual-use technology
transfer efforts include:
•
Lower cost—Greater
competition and higher volume commercial production efficiencies
mean that dual-use products cost considerably less than
products developed for federal government use only.
•
Increased
industrial capacity and responsiveness—A
dual-use industrial base is stronger and more responsive to
surge demands.
•
Decreased
development time—Dual-use
products transition from an initial idea to a fielded system in
less time than exclusively federal government products.
•
Increased
innovation potential—Since
technologies required for military products are increasingly
developed in the commercial sector, dual use will increase the
opportunity for incorporating leading-edge commercial
technology into federal government products.
•
Increased U.S.
competitiveness—Dual
use increases economies of scale and strengthens the national
industrial base. The overall result is to strengthen the
competitiveness of the U.S. in the global economy.
Technology transfer desk reference Prepared by the
Federal Laboratory Consortium for Technology Transfer 950 North
Kings Highway, Suite 208 Cherry Hill, NJ 08034, April 2004.
http://www.nal.usda.gov/ttic/faq/t2faq.htm
What
Legislation covers Federal Technology transfer
activities?
Federal Technology Transfer
Legislation and Policy Commonly known as "The Green
Book", this publication from the FLC contains the current
sections of the U.S. Code related to technology transfer.
The Technology Transfer
Improvements Act of 1995 (Public Law 104-113),
was created to help reduce the time and effort required to
develop CRADAs (cooperative research and development agreements)
with the federal laboratories. This law also guarantees private
companies the option of choosing an exclusive license for an
invention created under a CRADA.
Bayh-Dole Act of 1980
. This link provides summary and status information for one of
the most important laws establishing federal policies that
promote technology transfer.
http://www.afrl.af.mil/techtran/handbk/transferdocs/introduction.pdf
Technology Transfer Revenue:
There are two types of
revenues: (1) Royalties and other payments from the licensing or
assignment of inventions: and (2) CRADA(cooperative research and
development agreement) income.
Royalties and
Other Technology Payments
The currently applicable rates of fees that may be
approved by NOTAP are as follows:
a) Royalty – Royalty in respect of know-how, patents and
other industrial property rights, ranges from 1% - 5% of net
sales value.
b) Trade Marks – As a matter of policy,
royalty payments for the use of foreign trade marks will not be
allowed except where the trade mark is an internationally
recognised one accompanied with licensed know-how, and the
product is allowed by the licensor for the export market.
In effect, a “Trade Mark Agreement” simpliciter
would not be approved for royalty payments, whilst a “Trade
Marks and Know- How Agreement” which does not preclude exports
would probably be approved.
(c) Technical Services – Fees in respect of
technical assistance/services range from 1% - 5% of net sales.
(d) Management Services – A management fee
ranging between 2% - 5% of profit before tax is the norm.
However, management services for projects where profit is not
anticipated during the early years may attract a fee ranging
between 1% - 2% of net sales during the first 3 to 5 years only.
For the management of a hotel within an international chain of
hotels – a basic or lump sum not exceeding 5% of turnover plus
an incentive fee not exceeding 12% of Gross Operating Profit
(“GOP”) is currently applicable. Other payments which are
internationally accepted within the hotel industry may also be
allowed. Our experience, however indicate that only hotels
located in the economically disadvantaged areas of the country
will attract the upper limits of the basic and incentive fees
herein stated.
(e) Consultancy Services – Lump sum payments
are allowed in line with the international technology market
prices which are in themselves based on man/day or month rates
taking into account the nature of services to be performed.
However, all such payments may not exceed 5% of the total
project cost.
The applicable man/day-month rates will, of course,
take account of the complexity and the sophistication of the
technological services to be rendered.
(f) Agricultural and Agro-Allied Projects –
Payments for services in this sector is based on a lump sum
amount in the initial years (i.e. gestation period) when no
sales or profit are anticipated. However, after the gestation
period, payments are often based on net sales value as in other
sectors.
(g) Incentive Remuneration – Incentive
remuneration is allowed in deserving cases where:-
- the local value added is not lower than 70%;
- the products are intended for the export market;
- the benefit to be derived by the enterprise is considered
desirable in the national interest.
(h) Renewals – Generally, payments in
respect of Renewal Agreements attract lower remuneration. Such
renewals which are not automatic are considered on merit by
NOTAP based on its own monitoring processes and assessments.
(i) Definition of Net Sales – Net Sales
shall generally be defined as “Net ex-factory sales price of the
product exclusive of excise duties, and other taxes minus the
cost of the standard bought out components and the landed cost
of imported components irrespective of the source of procurement
including customs duties, insurance and freight”.
http://www.nipc-nigeria.org/rules.htm
TOOLS
OF TECHNOLOGY TRANSFER
The laws,
orders, and regulations that have been written to implement
federal technology transfer have created, or encouraged the
development of, the tools of technology transfer in the form of:
•
Organizations
➣
Offices
of Research and Technology Applications (ORTAs)
➣
Federal
Laboratory Consortium for Technology Transfer (FLC)
➣
Regional Technology Transfer Centers (RTTCs)
➣
National Technology Transfer Center (NTTC)
➣
State
and local resources
✦
Chambers of Commerce
✦ Small Business
Development Centers
✦
Other
state and local resources
• Programs
➣ Advanced Technology
Program (ATP)
➣ Dual-Use Science and
Technology Program
➣ Small Business Innovation
Research (SBIR)
➣ Small Business Technology
Transfer (STTR)
•
Mechanisms
➣
Cooperative research/Cooperative Research and Development
Agreements (CRADAs)
➣
Intellectual property
✦ Patents
✦ Licenses
➣
Incubators
➣
Promotional materials
➣
Personnel exchanges
➣
Technical assistance
➣
Collegial interchanges, conferences, and publications
➣
Grants and cooperative agreements
➣
Education partnership agreements
➣
Use of facilities
➣
Memorandum of Understanding (MOU)
➣
Commercial test agreements
➣
Partnership intermediaries
➣
Alliances
➣
Other
transactions
• Other
resources
➣
National Technical Information Services (NTIS)
➣
Defense Technical Information Center (DTIC)
➣
Various technical information databases
Technology
transfer desk reference, Prepared by the Federal Laboratory
Consortium for Technology Transfer 950 North Kings Highway,
Suite 208 Cherry Hill, 2004
http://www.afrl.af.mil/techtran/handbk/transferdocs/introduction.pdf
Why
Technology Transfer?
Since 1980, major legislative
changes have been implemented to more fully optimize the private
sector utilization of the research results and research
capabilities of the federal laboratories. These changes were
fueled by the realization that although the United States was a
world leader in scientific research, we were lagging behind our
allies in applying the fruits of our research. There are over
700 Federal laboratories employing more than 100,000 scientists
and engineers in every area of science and technology. The FY
1999 federal budget of $1.73 trillion included $79.3 billion for
R&D. Further breakdown hows $41.2 billion for defense and $38.1
billion for nondefense R&D. According to the latest data from
the National Institute of Standards and Technology (NIST), funds
from all sources expended on R&D in the United States were
estimated at more than $250 billion. Industrial firms with their
own funds support approximately 65 percent of this R&D. The
Federal Government supports 30 percent. Academia, other
nonprofit institutions, and state and local government provide
the remainder. However, the Federal Government also funds 60
percent of the R&D performed by universities. Based on the total
federal investment in R&D, Congress felt that the American
taxpayers were not receiving sufficient dividends in terms of
economic and social well being. This is why over the past twenty
years there has been bipartisan support for continued
legislative initiatives to improve technology transfer within
the government. As we begin the 21st century, our nation faces
many political, economic, and defense challenges. As in the
past, the technologies developed by the Air Force will solve
many of the national defense problems.
TECHNOLOGY
TRANSFER PROCESS
Click on picture to see larger
The Technology Assessment Process
Click on picture to see larger
Types of technology
assessment:
-
Awareness Technology assessment (ATA)
-
Strategic Technology assessment (STA)
-
Constructive Technology assessment (CTA)
-
Backcasting
Den Ende, J.V, Mulder, K.,
Knot, M., Moors, E. & Vergragt, P., Traditional and modern
technology assessment: Toward a Toolkit, 1998
What factors were of major
importance in the articulation of a need to assess technologies?
Three factors that were of major
importance in the articulation of a need to assess technologies:
-
The concern about the consequences of new technologies,
visible in the upsurge of environmental and anti- nuclear
movements.
-
The need for ex ante assessment of large governmental
technological projects.
-
The demand for more involvement by stakeholder and members
of the public.
Van Eijndhoven, J. C. M.,
Technology assessment: Product or Process, 1997
Who uses the results of TA?
-
most federal executive departments
-
state legislatures
-
universities
-
many "high- technology" industries throughout the developed
country
Porter, A., & Roper, A., A
guidebook for technology assessment and impact analysis, Vol.4,
1980
What are the uses of a TA?
-
Modify the project.
-
Specify a program of environmental or social monitoring.
-
Stimulate research and development, particularly to deal
with adverse effects of the technology.
-
Stimulate research to specify or define risks.
-
Develop latent benefits.
-
Identify regulatory and legal changes to promote or control
the technology.
-
Define institutional arrangements appropriate to the
technology.
-
Define intervention experiments to reduce negative or
enhance positive consequences.
-
Delay the project or technology until some of the preceding
steps are completed.
-
Stop the technology.
-
Provide a reliable base of information to parties at
interest.
Porter, A., & Roper, A., A
guidebook for technology assessment and impact analysis, Vol.4,
1980
What components are of a
Technology Assessment?
-
Problem Definition.
-
Technology Description.
-
Technology Forecast.
-
Social Description.
-
Social Forecast.
-
Impact Identification.
-
Impact analysis.
-
Impact Evaluation.
-
Policy Analysis.
-
Communication of Results.
Porter, A., & Roper, A., A
guidebook for technology assessment and impact analysis, Vol.4,
1980
Content and Process dimensions
of an Assessment:
ü
Content
o
Purpose
o
Focus
o
Spatial inclusion
o
Magnitude of intrusion
o
Technological alternatives
o
Developmental level
o
Time horizon
ü
Process
o
Procedural flexibility
o
Study resource
o
Time for study
o
Value aspect
Porter, A., & Roper, A., A
guidebook for technology assessment and impact analysis, Vol.4,
1980
Functions of Technology
Assessment
o
support
decision-making and legislation,
o
support the
allocation of funds for R&D,
o
cope with
technology-related conflicts, and
o
contribute to a
socially acceptable shaping of technology.
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