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Joel Gotkin - The United States Bayh-Dole Act and its Effect on University Technology Transfer

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Joel Gotkin

The United States Bayh-Dole Act and its Effect on University Technology Transfer

Series: Munich Intellectual Property Law Center - MIPLC Studies

Volume 18 2012

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The Growth of Federal Funding on Academic Research S. 19

„… Growth of Federal Funding on Academic Research The priorities of the federal government with respect to …” „… a competitive marketplace.21 This increased mobility motivated researchers to seek commercial …” „… applications for inventions and allowed for the diffusion of new ideas and novel research approaches.22 The …”

Policy and Scope of the Act S. 22-23

„… "The Bayh-Dole Act was intended to enable universities to profit from their federally-funded research …” „… utilization of inventions arising from federally supported research or development; to encourage maximum …” „… participation of small business firms in federally supported research and development efforts; to promote …”

University Patenting and Patent Policy Trends Prior to Bayh-Dole S. 19-20

„… Growth of Federal Funding on Academic Research The priorities of the federal government with respect to …” „… a competitive marketplace.21 This increased mobility motivated researchers to seek commercial …” „… applications for inventions and allowed for the diffusion of new ideas and novel research approaches.22 The …”

Licenses and Assignments Used by Universities in Technology Transfer S. 15-17

„… government funding, yet Emory was able to attain ownership and sell the drug for profit. Emory was able to …” „… transaction will be "reinvested in [its] research mission following the terms of the Bayh-Dole Act... to …” „… encourage commercialization of research by universities."3 This statement echoes one of the main policy …”

Abstract S. 9-12

„… funding certain research. Finally, the case creates the possibility that there will be multiple parties …” „… promote utilization of inventions that arise from federally funded research and development. The United …” „… States Government had a renewed focus on research and development after World War II, and the Act …”

The Disclosure and Election S. 23-24

„… when the Act should apply. Of note, the BDA applies only for funding by federal agencies for "the …” „… performance of experimental, developmental, or research work funded in whole or in part46 by the federal …” „… to practice in the performance of work under a funding agreement...."49 The use and placement of the …”

Definitions S. 23

„… when the Act should apply. Of note, the BDA applies only for funding by federal agencies for "the …” „… performance of experimental, developmental, or research work funded in whole or in part46 by the federal …” „… to practice in the performance of work under a funding agreement...."49 The use and placement of the …”

Shortfalls of the United States Bayh-Dole Act S. 60-62

„… created by its employees with government funding on its campus."271 This amendment includes distinct …” „… quarter-century, to which Bayh-Dole is at least partially responsible. The aforementioned research points in the …” „… , hereinafter "Indian Bayh-Dole.". 60 their research and patent their inventions, which is not possible under …”

Future Implications S. 54-57

„… technology transfer, where the government may be less willing to engage in funding certain research …” „… university research, WASH. POST, June 7, 2011, available at …” „… http://www.washingtonpost.com/politics/supreme-court-limitspatent-rights-of-university-research/2011/06/06/AG0UpbKH_story.html. 55 presumption that an inventor is the owner of his invention.250 …”

Perceived Advantages of the March-in Provision S. 37-39

„… funding."138 This carries a positive effect on negotiations and implicitly supports Bayh-Dole's policy …” „… Funded Research, 3 MARQ. INTELL. PROP. L. REV. 155, 179 (1999) (stating that it appears a public health …” „… investing in the commercialization, and some researchers from participating in the participating in federal …”

Misallocated Research Priorities S. 32-33

„… commercialize under Bayh-Dole.96 Misallocated Research Priorities A major criticism of Bayh-Dole is that it …” „… "distorts research priorities" by "redirecting resources away from basic research to more commercially …” „… viable lines of inquiry."97 Scholars note that the nature and direction of academic research may be …”

Historical Characteristics of the United States Higher Education System S. 18-19

„… of new ideas and novel research approaches.22 The Growth of Federal Funding on Academic Research The …” „… of a certain region.18 The ability for students and researchers to work on projects that could …” „… mobility motivated researchers to seek commercial applications for inventions and allowed for the diffusion …”

Undermining Research, Development, and Technology Transfer S. 31-32

„… century. Undermining Research, Development, and Technology Transfer Rai and Eisenberg argue that Bayh-Dole …” „… actually undermines the flow of biomedical research for several reasons.91 First, "patents on upstream …” „… upstream patenting could hinder subsequent research because a single entity will have monopoly control of …”

Japan S. 58-59

„… policy goals similar to the United States Act.261 A case study involving a research and development …” „… , all patent rights on inventions made with government funding were transferred to the government. 261 …” „… , notably that European researchers are not as interested in the exploitation of their research in the …”

Europe S. 59-60

„… substantive differences between the U.S. and European university systems, notably that European researchers …” „… are not as interested in the exploitation of their research in the private sector.269 Also notable is …” „… CEU Report on Research and Development, at 42-46, CEU 5402/1/02 REV 1, (22 January, 2002) A81 While …”

Titelei/Inhaltsverzeichnis S. 2-8

„… 1. 18 The Growth of Federal Funding on Academic Research2. 19 University Patenting and Patent Policy …” „… Undermining Research, Development, and Technology Transfer 2. 31 Misallocated Research Priorities3. 32 The …” „… 's Effect on Commercialization2. 46 Bayh-Dole's Effect on Research and Scientific Progress3. 47 Bayh-Dole …”

Who Develops a University Invention? S. 49-50

„… their funding were further developed and commercialized pre-Bayh- Dole.205 Now, empirical evidence shows …” „… monitoring.214 One of the named inventors, Mark Holodniy, was a researcher at Stanford in 1988. In 1988 …” „… , Holodniy became a research fellow at Stanford and signed a "Copyright and Patent Agreement" that obligated …”

Bayh-Dole's Effect on Patenting S. 43-46

„… and after Bayh-Dole. At first glance, the uptick in number of patents granted to U.S. research …” „… Licensed Commercialized Inventions Originating in University Research, 1996-200, Final Report to the …” „… the frequency with which patents were cited in subsequent research.179 To test the Henderson evidence …”

Perceived Weaknesses and Asserted Ineffectiveness of the March-In Provision S. 39-41

„… investing in the commercialization, and some researchers from participating in the participating in federal …” „… research efforts.146 Agency officials note that investors "are looking for profitable technologies and …” „… may negatively affect another inventor whose invention was not part of the Bayh-Dole funding scheme …”

Cases in Point: CellPro, Fabrazyme, and the Government Refusal to March-in S. 34-37

„… Research, 75 TULANE L. REV. 631, 661 (2001), citing Patent Policy: Joint Hearing Before the S. Comm. on …” „… biotechnological invention with federal funding from the NIH.114 Ultimately, the patent on the invention ("Civin …” „… care products yet to be developed from federally funded research."124 Criticism of the CellPro …”

The Proceedings S. 51-54

„… . Stanford's HIV research was partially funded by the NIH, which is a federal agency. This allowed Stanford …” „… that the contractor automatically gains rights to an invention if government funding is involved; the …” „… funded research and to regulate relationships between the federal Government and its small business and …”

doi.org/10.5771/9783845242217

Josef Schmid, Karin Amos, Josef Schrader, Ansgar Thiel - Welten der Bildung?

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Josef Schmid (ed.), Karin Amos (ed.), Josef Schrader (ed.), Ansgar Thiel (ed.)

Welten der Bildung?

Series: Wirtschafts- und Sozialpolitik

Volume 7 2011

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Åse Gornitzka, Peter Maassen University governance reforms, global scripts and the „Nordic Model”. Accounting for policy change? S. 149-178

„… Danish universities; it was not used for the funding of research. The interesting aspect of the Danish …” „… public funding basis for scientific research has changed quite dramatically. In the first place the …” „… Danish government has increased the level of public funding of research from around 0.7% to a little …”

Frieder Wolf, Carolin Knoll Lehren aus der bundesländervergleichenden Bildungspolitikanalyse: Zehn Thesen im Lichte des Wohlfahrtsstaats S. 101-120

„… We Know about the Development of Social Policy: Comparative and Historical Research in Comparative …” „… Division of Labour in Education Funding: A Cross-National Comparison of Public and Private Education …” „… Research, in: Journal of Mixed Methods Research 4:2, 144-167. Wolf, Frieder/Henkes, Christian, 2007: Die …”

doi.org/10.5771/9783845234076

Christian Förster - Nationale Hochschulpolitik im Europäischen Hochschulraum

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Christian Förster

Nationale Hochschulpolitik im Europäischen Hochschulraum

Series: Wirtschafts- und Sozialpolitik

Volume 9 2012

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Einführung in Institutionen und Akteure S. 136-142

„… Research Councils UK nahe legt, bestehen anders als bei den FundingCouncils keine getrennten Institutionen …” „… für den Bereich der einzelnen Funding Councils119 Die einzelnen Research Councils sind: Arts and …” „… eigenen115 Zum später ausführlich behandelten Fall des Research Excellence Framework (REF) istjedoch zu …”

Policy-Wandel im Beobachtungszeitraum S. 152-164

„… and have legislated to prevent them. Since 1997 wehave increased university funding by more than a …” „… billion pounds a year over the Parliament – and invested considerably more in research. Our new system of …” „… ensure that the funding system continues to promote access and excellence.” (Labour Party 2001)Die …”

Abkürzungen S. 13-16

„… (Österreich)HECS Higher Edcuation Contribution Scheme (Australien)HEFCE Higher Education Funding Council for …” „… Fair Access (England)OMK Offene Methode der KoordinierungPCFC Polytechnics and Colleges Funding Council …” „… (England)RAE Research Assessment Exercise (England)REF Research Excellence Framework (England)rel. relativs …”

Literatur S. 231-256

„… . Outcomes of the second consultation on the assessment and funding of research.Summary of Responses. Bristol …” „… Macrostructure. European Journal of Operational Research 30, 294-203.Axelrod, Robert. 1976. Structure of Decision …” „… : Oldenbourg, 313-345.Barr, Nicholas. 2004. Higher Education Funding. Oxford Review of Economic Policy …”

Historischer Überblick S. 142-152

„… . Various attempts havebeen made to establish “quasi-markets” in higher education and research.” (de Boer …” „… Einzelmaßnahmen:Einführung des Research Assesment ExerciseZum akademischen Jahr 1985/86 wurde der Research Assesment Exercise …” „… die Research Councils zugeteilten Drittmittel wechselseitig beeinflussten: Das Drittmittelvolumen …”

Hochschulgovernance S. 208-222

„… bureaucratic b) it was costly and c) it was against industry because it valued onlyacademic research and not …” „… industrial, applied research (…). And so, at a very senior levelat the treasury they were convinced that this …” „… was a bad, (…) a damaging system of fundingresearch. (…)” (IP E5.).209auch nur kleinere Verbesserungen …”

doi.org/10.5771/9783845238951

Martin Dietrich, Dieter K. Tscheulin - Akzeptanz des öffentlichen Ausgabeverhaltens

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Martin Dietrich (ed.), Dieter K. Tscheulin (ed.)

Akzeptanz des öffentlichen Ausgabeverhaltens

Series: Sonderheft ZÖGU

Volume 2013

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Martin Dietrich, Dieter K. Tscheulin s the Funding, not the Art(ist) – How Public Spending Affects the Acceptance of Public Art S. 105-116

„… could be activating further research in distinct fields of public activties. The effect of funding …” „… Martin Dietrich and Dieter K. Tscheulin It’s the Funding, not the Art(ist) – How Public Spending …” „… the acceptance of public art was significantly affected by the way of funding, whereas the artist’s …”

David Barrows, Olivia Dalton-Jez, Simone Harvey-Rioux Public Private Partnerships in the Canadian Health Care System: A Case Study S. 133-146

„… Equity Research 2008). Since, the UK has become one of the largest users of PPP arrangements (Raymond …” „… James Equity Research 2008). The model has been employed in several other countries with varying degrees …” „… the province to oversee the funding, planning and integration of health services in the province of …”

doi.org/10.5771/9783845248349

Axel Hoffmann - Erfindungsbezogene Auflagen in öffentlich-geförderten FuE-Projekten

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Axel Hoffmann

Erfindungsbezogene Auflagen in öffentlich-geförderten FuE-Projekten

Series: Schriften zum geistigen Eigentum und zum Wettbewerbsrecht

Volume 78 2016

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Anhang C: 35 U.S.C. § 200-212 (Patent Rights In Inventions Made With Federal Assistance) S. 204-211

„… experimental, developmental, or research work under a funding agreement as herein defined. (c) The term …” „… of inventions arising from federally supported research or development; to encourage maximum …” „… participation of small business firms in federally supported research and development efforts; to promote …”

Anhang E: 37 C.F.R. Part 401 (Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts, and Cooperative Agreements) S. 213-229

„… research performers while using private facilities which would preclude them from accepting research …” „… funding from other sources to expand, to aid in completing or to conduct separate investigations closely …” „… related to research activities sponsored by the government. Notwithstanding the right of research …”

Landesbericht USA S. 47-78

„… . F. »Bodewig, Forschungsförderung und Patentschutz in den USA«), S. 437 f. 69 Sargent, R&D Funding …” „… 2015, CRS 2014 (R43580), S. 1. 70 Sargent, R&D Funding 2015, CRS 2014 (R43580), Table 1, S. 5 f. 71 …” „… Schreiterer in Handbuch Wissenschaftspolitik, S. 484. 72 Sargent, R&D Funding 2015, CRS 2014 (R43580), S. 26 …”

Vergleichende Analyse S. 113-146

„… Definition der Subject Invention im Funding Agreement (»in the performance of work under a funding agreement …” „… License Policy im Funding Agreement Das US-amerikanische Recht kennt zwei Bereiche, in denen von der …” „… Umsetzung der License Policy im Funding Agreement abgesehen werden kann. Zum einen ist eine abweichende …”

Öffentlich geförderte FuE-Projekte S. 25-30

„… , siehe zuletzt: Sargent, John F. (Coord.): Federal Research and Development Funding: FY 2015 …” „… Ausgaben für »Research & Development« maßgeblich für die jährlich an den US-Kongress gerichteten Berichte …” „… des Congressional Research Services (CRS) zur Budgetierung der Forschungsfinanzierung in den USA …”

Titelei/Inhaltsverzeichnis S. 1-18

„… Professor Toshiko Takenaka und den Mitarbeitern des Centre for Advanced Study and Research on Intellectual …” „… zum Funding Agreement2. 59 Sachlicher Zusammenhanga) 60 Zeitlicher Zusammenhangb) 61 »Right to Retain …” „… Title«III. 62 Ausnahmen1. 62 »Research Tools«a) 63 Zukunftstechnologienb) 64 »Disclosure« und »Election«2 …”

Literaturverzeichnis S. 173-182

„… .: Economic Welfare and the Allocation of Resources for Invention. In: National Bureau of Economic Research …” „… Funded Research. In: Marquette Intellectual Property Law Review. Vol. 3 (1999), S. 155-180. Zitiert …” „… Anticommons in Biomedical Research. In: Science 1998, S. 698-701. Ho, Cynthia M.: Patents, Patients and Public …”

doi.org/10.5771/9783845270593

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