§3701. Findings
The Congress finds and declares that:
(1) Technology and industrial innovation are central to the economic, environmental, and social well-being of citizens of the United States.
(2) Technology and industrial innovation offer an improved standard of living, increased public and private sector productivity, creation of new industries and employment opportunities, improved public services and enhanced competitiveness of United States products in world markets.
(3) Many new discoveries and advances in science occur in universities and Federal laboratories, while the application of this new knowledge to commercial and useful public purposes depends largely upon actions by business and labor. Cooperation among academia, Federal laboratories, labor, and industry, in such forms as technology transfer, personnel exchange, joint research projects, and others, should be renewed, expanded, and strengthened.
(4) Small businesses have performed an important role in advancing industrial and technological innovation.
(5) Industrial and technological innovation in the United States may be lagging when compared to historical patterns and other industrialized nations.
(6) Increased industrial and technological innovation would reduce trade deficits, stabilize the dollar, increase productivity gains, increase employment, and stabilize prices.
(7) Government antitrust, economic, trade, patent, procurement, regulatory, research and development, and tax policies have significant impacts upon industrial innovation and development of technology, but there is insufficient knowledge of their effects in particular sectors of the economy.
(8) No comprehensive national policy exists to enhance technological innovation for commercial and public purposes. There is a need for such a policy, including a strong national policy supporting domestic technology transfer and utilization of the science and technology resources of the Federal Government.
(9) It is in the national interest to promote the adaptation of technological innovations to State and local government uses. Technological innovations can improve services, reduce their costs, and increase productivity in State and local governments.
(10) The Federal laboratories and other performers of federally funded research and development frequently provide scientific and technological developments of potential use to State and local governments and private industry. These developments, which include inventions, computer software, and training technologies, should be made accessible to those governments and industry. There is a need to provide means of access and to give adequate personnel and funding support to these means.
(11) The Nation should give fuller recognition to individuals and companies which have made outstanding contributions to the promotion of technology or technological manpower for the improvement of the economic, environmental, or social well-being of the United States.
(
Editorial Notes
Amendments
1986-Par. (10).
Statutory Notes and Related Subsidiaries
Short Title of 2017 Amendment
Short Title of 2000 Amendment
Short Title of 1996 Amendment
Short Title of 1992 Amendment
Short Title of 1989 Amendment
Short Title of 1988 Amendment
Short Title of 1987 Amendment
Short Title of 1986 Amendments
Short Title
Study on Economic Competitiveness and Innovative Capacity of United States and Development of National Economic Competitiveness Strategy
"(a)
"(1)
"(2)
"(A) An analysis of the United States economy and innovation infrastructure.
"(B) An assessment of the following:
"(i) The current competitive and innovation performance of the United States economy relative to other countries that compete economically with the United States.
"(ii) Economic competitiveness and domestic innovation in the current business climate, including tax and Federal regulatory policy.
"(iii) The business climate of the United States and those of other countries that compete economically with the United States.
"(iv) Regional issues that influence the economic competitiveness and innovation capacity of the United States, including-
"(I) the roles of State and local governments and institutions of higher education; and
"(II) regional factors that contribute positively to innovation.
"(v) The effectiveness of the Federal Government in supporting and promoting economic competitiveness and innovation, including any duplicative efforts of, or gaps in coverage between, Federal agencies and departments.
"(vi) Barriers to competitiveness in newly emerging business or technology sectors, factors influencing underperforming economic sectors, unique issues facing small and medium enterprises, and barriers to the development and evolution of start-ups, firms, and industries.
"(vii) The effects of domestic and international trade policy on the competitiveness of the United States and the United States economy.
"(viii) United States export promotion and export finance programs relative to export promotion and export finance programs of other countries that compete economically with the United States, including Canada, France, Germany, Italy, Japan, Korea, and the United Kingdom, with noting of export promotion and export finance programs carried out by such countries that are not analogous to any programs carried out by the United States.
"(ix) The effectiveness of current policies and programs affecting exports, including an assessment of Federal trade restrictions and State and Federal export promotion activities.
"(x) The effectiveness of the Federal Government and Federally funded research and development centers in supporting and promoting technology commercialization and technology transfer.
"(xi) Domestic and international intellectual property policies and practices.
"(xii) Manufacturing capacity, logistics, and supply chain dynamics of major export sectors, including access to a skilled workforce, physical infrastructure, and broadband network infrastructure.
"(xiii) Federal and State policies relating to science, technology, and education and other relevant Federal and State policies designed to promote commercial innovation, including immigration policies.
"(C) Development of recommendations on the following:
"(i) How the United States should invest in human capital.
"(ii) How the United States should facilitate entrepreneurship and innovation.
"(iii) How best to develop opportunities for locally and regionally driven innovation by providing Federal support.
"(iv) How best to strengthen the economic infrastructure and industrial base of the United States.
"(v) How to improve the international competitiveness of the United States.
"(3)
"(A)
"(B)
"(i)
"(ii)
"(I) who shall represent all major industry sectors;
"(II) a majority of whom should be from private industry, including large and small firms, representing advanced technology sectors and more traditional sectors that use technology; and
"(III) who may include economic or innovation policy experts, State and local government officials active in technology-based economic development, and representatives from higher education.
"(iii)
"(b)
"(1)
"(2)
"(A) Actions to be taken by individual Federal agencies and departments to improve competitiveness.
"(B) Proposed legislative actions for consideration by Congress.
"(C) Annual goals and milestones for the 10-year period of the strategy.
"(D) A plan for monitoring the progress of the Federal Government with respect to improving conditions for innovation and the competitiveness of the United States.
"(c)
"(1)
"(2)
"(A) The findings of the Secretary with respect to the study conducted under subsection (a).
"(B) The strategy required by subsection (b)."
Promoting Use of High-End Computing Simulation and Modeling by Small- and Medium-Sized Manufacturers
"(a)
"(1) the utilization of high-end computing simulation and modeling by large-scale government contractors and Federal research entities has resulted in substantial improvements in the development of advanced manufacturing technologies; and
"(2) such simulation and modeling would also benefit small- and medium-sized manufacturers in the United States if such manufacturers were to deploy such simulation and modeling throughout their manufacturing chains.
"(b)
"(c)
"(1)
"(2)
"(A) The access of small- and medium-sized manufacturers in the United States to high-performance computing facilities and resources.
"(B) The availability of software and other applications tailored to meet the needs of such manufacturers.
"(C) Whether such manufacturers employ or have access to individuals with appropriate expertise for the use of such facilities and resources.
"(D) Whether such manufacturers have access to training to develop such expertise.
"(E) The availability of tools and other methods to such manufacturers to understand and manage the costs and risks associated with transitioning to the use of such facilities and resources.
"(3)
"(d)
Congressional Findings; 2000 Amendment
"(1) the importance of linking our unparalleled network of over 700 Federal laboratories and our Nation's universities with United States industry continues to hold great promise for our future economic prosperity;
"(2) the enactment of the Bayh-Dole Act [35 U.S.C. 200 et seq.] in 1980 was a landmark change in United States technology policy, and its success provides a framework for removing bureaucratic barriers and for simplifying the granting of licenses for inventions that are now in the Federal Government's patent portfolio;
"(3) Congress has demonstrated a commitment over the past 2 decades to fostering technology transfer from our Federal laboratories and to promoting public/private sector partnerships to enhance our international competitiveness;
"(4) Federal technology transfer activities have strengthened the ability of United States industry to compete in the global marketplace; developed a new paradigm for greater collaboration among the scientific enterprises that conduct our Nation's research and development-government, industry, and universities; and improved the quality of life for the American people, from medicine to materials;
"(5) the technology transfer process must be made 'industry friendly' for companies to be willing to invest the significant time and resources needed to develop new products, processes, and jobs using federally funded inventions; and
"(6) Federal technology licensing procedures should balance the public policy needs of adequately protecting the rights of the public, encouraging companies to develop existing government inventions, and making the entire system of licensing government technologies more consistent and simple."
Congressional Findings; 1996 Amendment
"(1) Bringing technology and industrial innovation to the marketplace is central to the economic, environmental, and social well-being of the people of the United States.
"(2) The Federal Government can help United States business to speed the development of new products and processes by entering into cooperative research and development agreements which make available the assistance of Federal laboratories to the private sector, but the commercialization of technology and industrial innovation in the United States depends upon actions by business.
"(3) The commercialization of technology and industrial innovation in the United States will be enhanced if companies, in return for reasonable compensation to the Federal Government, can more easily obtain exclusive licenses to inventions which develop as a result of cooperative research with scientists employed by Federal laboratories."
Definitions of Terms; 1992 Amendment
"(1) the term 'high-resolution information systems' means equipment and techniques required to create, store, recover, and play back high-resolution images and accompanying sound;
"(2) the term 'advanced manufacturing technology' means numerically-controlled machine tools, robots, automated process control equipment, computerized flexible manufacturing systems, associated computer software, and other technology for improving manufacturing and industrial processes;
"(3) the term 'advanced materials' means a field of research including the study of composites, ceramics, metals, polymers, superconducting materials, materials produced through biotechnology, and materials production technologies, including coated systems, that provide the potential for significant advantages over existing materials;
"(4) the term 'Institute' means the National Institute of Standards and Technology;
"(5) the term 'Secretary' means the Secretary of Commerce; and
"(6) the term 'Under Secretary' means the Under Secretary of Commerce for Technology."
Congressional Statement of Policy; 1992 Amendment
National Commission on Reducing Capital Costs for Emerging Technology
"(a)
"(b)
"(1) How has the overall cost of capital paid by United States companies differed during the past decade from that paid by companies in other industrial economies such as Germany, Japan, and the United Kingdom?
"(2) To what extent has the cost of capital faced by technology companies differed from the overall cost of capital in each of these nations during the same period?
"(3) To what extent do high capital costs in general inhibit investment in projects with long-term payoffs, such as the development and commercialization of new technology?
"(4) To what extent does the structure of the financial services industry in the United States affect the flow of capital to advanced technology investment, and to what extent do current practices in the equity markets raise the cost of capital and inhibit the availability of capital to fund research and development, purchase advanced manufacturing equipment, and fund other investments necessary to commercialize advanced technology?
"(5) In what ways do Government regulations influence the cost of capital in the United States?
"(6) To what extent have national differences in capital costs facilitated the foreign acquisition of technology-based United States companies?
"(7) What macroeconomic and other policies would promote greater investment in advanced manufacturing techniques, in research and development, and in other activities necessary to commercialize and produce new technologies?
"(8) What specific policies should the Federal Government follow in order to reduce the cost of capital for United States companies to levels that are near parity with those faced by the Nation's principal trading partners?
"(c)
"(A) 3 individuals appointed by the President, one of whom shall chair the Commission.
"(B) 3 individuals appointed by the Speaker of the House of Representatives, 1 of whom shall be appointed upon the recommendation of the minority leader of the House of Representatives.
"(C) 3 individuals appointed by the President pro tempore of the Senate, 2 of whom shall be appointed upon the recommendation of the majority leader of the Senate and 1 of whom shall be appointed upon the recommendation of the minority leader of the Senate.
"(2) Each member shall be appointed for the life of the Commission. A vacancy in the Commission shall be filled in the manner in which the original appointment was made.
"(d)
"(2) Recommendations of the Commission shall require the approval of three-quarters of the members of the Commission.
"(3) The Commission may use such personnel detailed from Federal agencies as may be necessary to enable it to carry out its duties.
"(4) Members of the Commission, other than full-time employees of the Federal Government, while attending meetings of the Commission while away from their homes or regular places of business, shall be allowed travel expenses in accordance with subchapter I of chapter 57 of title 5, United States Code.
"(e)
"(f)
"(g)
"(h)
Research, Development, Technology Utilization, and Government Procurement Policy
"(a)
"(b)
"(1) To what extent, if any, should Federal Government technology purchase strategies be used to give domestic suppliers a competitive advantage in new generations of existing technologies and in initial market penetration for new technologies?
"(2) Under what conditions can Federal Government purchases of advanced technology-based products be based on performance specifications rather than on product specifications? Should Federal Government procurement first look to the commercial markets for products that will meet performance specifications before purchasing a unique product that has to be developed?
"(3) How can the Federal Government procurement laws, practices, and procedures be used as a strategic tool to foster the use of emerging technologies?
"(4) How can the Federal Government ensure that its suppliers adopt the principles embodied in the Malcolm Baldrige National Quality Award?
"(5) Should Federal Government procurement practices include cooperative efforts between the supplier and the Federal entity to develop products so as to be more easily marketed on a commercial basis? Should a program for the exchange of technical personnel to foster innovation in product development be part of such practices?
"(6) To what extent, if any, should Federal Government documents specify standards that are beneficial to domestic suppliers, aid the compatibility of advanced technologies, and speed the commercial acceptance of those technologies, and what would be the role of the Institute in such an effort?
"(7) Should Federal Government procurement be linked to the Advanced Technology Program and to technology transfer activities so that specification development can incorporate the latest technical advances available?
"(8) To what extent should worldwide, state of the art technology be required in Federal Government procurement?
"(c)
"(2) The Secretary, the Administrator of the Office of Federal Procurement Policy, the Director of the Office of Science and Technology Policy, the Secretary of Defense, and the Administrator of General Services, or their designees who serve in executive level positions, shall serve as members of the Commission.
"(3) The Secretary shall appoint as members of the Commission, from among individuals not employed by the Federal Government-
"(A) 4 members who are eminent in advanced technology businesses representing manufacturing and services industries, including at least 1 member representing labor;
"(B) 3 members who are eminent in the fields of technology and international economic development; and
"(C) with the concurrence of the Administrator of the Office of Federal Procurement Policy, 3 members who are eminent in the field of Federal Government procurement.
"(4) The Secretary shall appoint a Commission chairman from among the members of the Commission. The chairman shall call the first meeting of the Commission within 90 days after the date of enactment of this Act [Feb. 14, 1992].
"(5) The Secretary and the Administrator of the Office of Federal Procurement Policy shall provide such staff as may be required by the Commission to carry out its responsibilities.
"(6) Members of the Commission, other than full-time employees of the Federal Government, while attending meetings of the Commission or otherwise performing duties of the Commission while away from their homes or regular places of business, shall be allowed travel expenses in accordance with subchapter I of chapter 57 of title 5, United States Code.
"(d)
"(2) The Commission shall, within 2 years after the date of enactment of this Act, submit to the Secretary and Congress a final report containing final recommendations with respect to the issues addressed under subsection (b).
"(e)
"(f)
"(g)
Study of Testing and Certification
"(a)
"(1) The impact on United States manufacturers, testing and certification laboratories, certification organizations, and other affected bodies of the European Community's plans for testing and certification of regulated and nonregulated products of non-European origin.
"(2) Ways for United States manufacturers to gain acceptance of their products in the European Community and in other foreign countries and regions.
"(3) The feasibility and consequences of having mutual recognition agreements between testing and certification organizations in the United States and those of major trading partners on the accreditation of testing and certification laboratories and on quality control requirements.
"(4) Information coordination regarding product acceptance and conformity assessment mechanisms between the United States and foreign governments.
"(5) The appropriate Federal, State, and private roles in coordination and oversight of testing, certification, accreditation, and quality control to support national and international trade.
"(b)
"(c)
Congressional Findings and Purposes; 1989 Amendment
"(a)
"(1) technology advancement is a key component in the growth of the United States industrial economy, and a strong industrial base is an essential element of the security of this country;
"(2) there is a need to enhance United States competitiveness in both domestic and international markets;
"(3) innovation and the rapid application of commercially valuable technology are assuming a more significant role in near-term marketplace success;
"(4) the Federal laboratories and other facilities have outstanding capabilities in a variety of advanced technologies and skilled scientists, engineers, and technicians who could contribute substantially to the posture of United States industry in international competition;
"(5) improved opportunities for cooperative research and development agreements between contractor-managers of certain Federal laboratories and the private sector in the United States, consistent with the program missions at those facilities, particularly the national security functions involved in atomic energy defense activities, would contribute to our national well-being; and
"(6) more effective cooperation between those laboratories and the private sector in the United States is required to provide speed and certainty in the technology transfer process.
"(b)
"(1) enhance United States national security by promoting technology transfer between Government-owned, contractor-operated laboratories and the private sector in the United States; and
"(2) enhance collaboration between universities, the private sector, and Government-owned, contractor-operated laboratories in order to foster the development of technologies in areas of significant economic potential."
Executive Documents
Ex. Ord. No. 13185. To Strengthen the Federal Government-University Research Partnership
Ex. Ord. No. 13185, Dec. 28, 2000, 66 F.R. 701, provided:
By the authority vested in me as President by the Constitution and the laws of the United States of America, and in order to keep the Federal Government-University research partnership strong, it is hereby ordered as follows:
(a) The guiding principles that shall govern interactions between the Federal Government and universities that perform research are:
(1) Research is an investment in the future;
(2) The integration of research and education is vital;
(3) Excellence is promoted when investments are guided by merit review; and
(4) Research must be conducted with integrity.
(b) The operating principles that shall assist agencies, universities, individual researchers, and auditing and regulatory bodies in implementing the guiding principles are:
(1) Agency cost-sharing policies and practices must be transparent;
(2) Partners should respect the merit review process;
(3) Agencies and universities should manage research in a cost-efficient manner;
(4) Accountability and accounting are not the same;
(5) The benefits of simplicity in policies and practices should be weighed against the costs;
(6) Change should be justified by need and the process made transparent.
(c) Each executive branch department or agency that supports research at universities shall regularly review its existing policies and procedures to ensure that they meet the spirit and intent of the guiding and operating principles stated above.
(b) The purpose of the review and the report is to determine the overall health of the Government-University research partnership, being mindful of the guiding and operating principles stated above. The report should include recommendations on how to improve the Government-University partnership.
(c) The Director of OSTP shall deliver the report to the President.
William J. Clinton.