A Study On American Research University Technology Transfer Policies

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.