David C. Mowery

• University of California, Berkeley

As university involvement in technology transfer and entrepreneurship has increased, concerns over the patenting and licensing of scientific discoveries have grown. This paper examines the effect that the licensing of academic patents has on journal citations to academic publications covering the same scientific research. We analyze data on inventi...

Our goal in assembling these papers is to provide a broad overview of recent progress of the research on innovation and economic change, one that spans research from innovation management and strategy within the firm to the broader “innovation systems” in which they are embedded, the effects of innovation on growth, and implications for policy. In...

A substantial body of research has examined the contributions of university research to regional economic development and technological innovation. This literature suggests that the channels through which university-based research affects regional economic or innovative activity may be divided into two broad categories—knowledge “spillovers” (i.e.,...

National defense represents a significant share of most OECD governments’ R&D budgets and an even higher share of their mission-oriented R&D spending. This public R&D investment has focused on research and innovation supporting defense missions, and in many cases the military services of these governments have purchased weapons systems incorporatin...

No abstract available.

In recent years, the threat of global climate change has come to be seen as one of the most serious confronting humanity. To meet this challenge will require the development of new technologies and the substantial improvement of existing ones, as well as ensuring their prompt and widespread deployment. Some have argued that the urgency of the situa...

This essay examines the role of knowledge management, defined as the management of processes affecting the creation, communication, distribution, and exploitation of knowledge concerning corporate strategy, markets, product and process technologies, and management practices within the corporation, in Alfred D. Chandler's work on the modern corporat...

A substantial literature on nanotechnology innovation and commercial development has characterized several elements of these phenomena as constituting new developments in the US national innovation system. Among these elements are the (asserted) “post-academic” nature of US universities’ involvement with nanotechnology R&D, and federal funding of n...

The twenty-first century is the century of knowledge-based international economic competition. More than ever, the prosperity of nations depends on the ability of public and private institutions, policies, managers, and workers to mobilize and exploit knowledge-intensive capabilities and assets. Although natural resources play an important role in...

This article examines the roles of universities in industrial-economy national innovation systems, the complex institutional landscapes that influence the creation, development, and dissemination of innovations. The inclusion of a article on university research in a volume on innovation is itself an innovation-it is likely that a similar handbook p...

The “national systems of innovation” (NSI) framework for analyzing innovative performance and policy has been an important and influential area of scholarship for nearly 20years, since the first articulation of the concept in Freeman (Technology policy and economic performance: lessons from Japan, 1987). Surprisingly, however, the large literature...

The global semiconductor industry is undergoing several forms of structural change simultaneously. The structure of market demand is shifting from one dominated by personal computers to a more diverse array of heterogeneous niches, largely resulting from global diffusion of the Internet and wireless communications applications. The structure of man...

Leading economists and economic historians offer case studies and theoretical perspectives that fill a longstanding gap in the existing literature on technology-driven industrial development, discussing the interaction of finance and technological innovation in the American economy since the Second Industrial Revolution. Although technological chan...

This paper compares the geographic "reach" of knowledge flows from university inventions through two important channels: market contracts (licenses) and non-market "spillovers" ex- emplified by patent citations. We find that knowledge flows through market transactions to be more geographically localized than those operating through non-market spill...

Links between R&D in U.S. industry and research in U.S. universities have a long history, but recent developments in this relationship, especially the growth in university patenting and licensing of technologies to private firms, have attracted considerable attention. The effects of the Bayh-Dole Act of 1980 on U.S. research universities have been...

The revolution in information technology transforms not only information and its uses but, more important, knowledge and the ways we generate and manage it. Knowledge is now seen as input, output, and capital, even if imperfectly accounted for or understood. Many businesses and public agencies are convinced that knowledge can be managed in sophisti...

The efforts of a number of OECD governments to emulate the Bayh-Dole Act of 1980, which permitted United States institutions receiving government research funds to patent their inventions, are critiqued.This critique is based on a review of recent research on the characteristics of the university-industry knowledge exchange and technology transfer....

[eng] The U.S federal government, especially the Department of Defense, played a substantial role in the development of the electronic computer, computer software, and semiconductor components industries, and the resulting development of the Internet. Federal R&D investment, procurement policies, and spillovers of technologies from military to civi...

This handbook looks to provide academics and students with a comprehensive and holistic understanding of the phenomenon of innovation. Innovation spans a number of fields within the social sciences and humanities: Management, Economics, Geography, Sociology, Policy Studies, Psychology, and History. Consequently, the rapidly increasing body of lit...

Since the early 1980s, universities in the United States have greatly expanded their patenting and licensing activities. The Congressional Joint Economic Committee, among other authorities, argued that the increase in university patenting and licensing contributed to the economic boom of the 1990s. Many observers have attributed this trend to the B...

This chapter examines the role of “continuations” (procedural revisions of patent applications) within software patents and overall patenting in the United States during 1987–1999. Our research represents the first effort of which we are aware to analyse data on continuations in software or any other patent class, and as such provides information o...

The Bayh–Dole Act of 1980 facilitated the retention by universities of patent rights resulting from government funded academic research, thus encouraging university entry into patenting and licensing. Though the Act is widely recognized to be a major change in federal policy towards academic research, surprisingly little empirical analysis has been...

Budgeting in the 1980s seems very different from budgeting in the 1960s. The differences have more to do with economic conditions than with the techniques of budgeting. In the article published below, David C. Mowery and Mark S. Kamlet present their interpretation of how budgeting was transformed during the Johnson administration. The editors of th...

Although the inventions embodied in the Internet originated in a diverse set of industrial economies, the US was consistently the source of critical innovations and an early adopter of new applications. Why did other nations, including several that made important inventive contributions to the Internet, not play a larger role in its development, pa...

This paper summarizes the results of empirical analyses of data on the characteristics of the pre- and post-1980 patents of three leading US academic patenters—the University of California, Stanford University, and Columbia University. We complement the analysis of these institutions with an analysis of the characteristics of the patents issued to...

No abstract available.

The growth of high-technology clusters in the United States suggests the presence of strong regional agglomeration effects that reflect proximity to universities or other research institutions. Using data on licensed patents from the University of California, Stanford University, and Columbia University, this paper compares the geographic 'reach' o...

Government technology policy has been an important topic in Richard Nelson's research agenda throughout his career. This paper examines the evolution of US university patent policies and the available data on university patenting during the "pre-Bayh-Dole" era. This paper examines the evolution of US university patents during the 1925-80 period by...

This paper analyzes recent data on the “globalization” of industrial R&D, emphasizing that the patterns of international R&D investments differ significantly among industries, and seem to differ among different activities within the innovation process. I distinguish among the creation of new technologies (often identified with invention), the devel...

Recent developments in the relationships between R&D in US industry and research in US universities, especially in the growth of university patenting and licensing of technologies to private firms, have attracted considerable attention. This paper discusses the history of an important institution in the history of these relationships, the Research...

Growth during the 1980s and 1990s in patenting and licensing by American universities is frequently asserted to be a direct consequence of the Bayh–Dole Act of 1980. However, there has been little empirical analysis of the effects of this legislation. This paper uses previously unexploited data to consider the effects of Bayh–Dole at three leading...

This paper examines the role of Lawrence Livermore National Lab (LLNL), a major U.S. Department of Energy nuclear weapons research facility, in spawning spin-off firms. We provide some of the most comprehensive estimates of the number of spin-off firms associated with LLNL and find that this resarch facility appears to be at least as important a so...

This book describes and analyzes how seven major high-tech industries evolved in the USA, Japan, and Western Europe. The industries covered are machine tools, organic chemical products, pharmaceuticals, medical devices, computers, semiconductors, and software. In each of these industries, firms located in one or a very few countries became the clea...

It is a cliché to say that we live in a globalized world in which investment flows. Communications, and the operations of multinationals from all parts of the world have changed the character of the international business environment. But they say the concept of globalization poses as many questions as it answers, and it is the purpose of this book...

this paper was presented at the conference on "The U.S. and Japanese Research Systems," Kennedy School of Government, Harvard University, September 10-12, 1998, and benefitted from the comments of conference participants, particularly Roland Schmidt and Lewis Branscomb. We are indebted to the staff of the technology licensing offices of Columbia Un...

This paper presents the results of the first systematic case studies of Cooperative Research and Development Agreements (CRADAs) between private firms and one of the large US weapons laboratories, Lawrence Livermore National Laboratory (LLNL). These cases cover a diverse array of technologies, and include firms with very different characteristics (...

The paper summarizes recent trends in the structure of the US national innovation system. Among these trends is a decline in R&D spending by the federal government, largely due to reductions in defense-related R&D spending. Another important shift in the profile of US R&D spending is the reduction in the share of basic research funded by industry....

This article analyzes the relative importance of 5 of the primary influences suggested in the literature on the size of the U.S. federal deficit during the postwar period: the state of the economy, the identity of the political party in power, Roubini and Sachs's "strength-of-government" hypothesis, the "irresponsible Congress/responsible president...

In his magisterial Capitalism, Socialism, and Democracy (Schumpeter 1950), first published over fifty years ago, Joseph Schumpeter argued that contemporary neoclassical economic models of capitalism and competition overlooked the key characteristics of these phenomena. Capitalism and competition essentially were about technical innovation and econo...

The development of the U.S. computer software industry has been powerfully influenced by federal government policy during the postwar period. Its importance for the demands of cold war defense, especially strategic air defense during the 1950s, meant that the software industry received considerable federal R&D and procurement funding throughout the...

The development of the US computer software industry has been powerfully influenced by federal government policy during the postwar period. Its importance for the demands of Cold War defense, especially strategic air defense during the 1950s, meant that the software industry received considerable support from federal R&D and procurement funding. Bu...

This article analyzes the influence of four sets of factors on deficit spending in 9 industrialized parliamentary democracies during 1958-1990. This article analyzes the influence of these factors and introduces and tests the importance of an additional potential influence on the size of a country's fiscal deficit: the “strength of fiscal bureaucra...

This article analyzes the post-World War II deficit experiences of the United States and Japan. Four potential explanations of the size of the central government deficit in these two countries are examined: the influence of the economy; the influence of the party in power; Roubini and Sachs's (1989a and 1989b) strength-of-government hypothesis; and...

During the 1992 Presidential election campaign, candidates Bill Clinton and Albert Gore emphasized their commitment to a new U.S. technology policy. Nevertheless, Clinton Administration technology policy in fact carries forward many of the policies that emerged under the Reagan and Bush administrations. These policies were developed in response to...

Since 1945, there has been substantial variation among the OECD countries and within them over time in central-government deficits. This paper surveys and assesses the literature on deficit spending in these industrialized democracies, emphasizing positive theories and the empirical support, or lack thereof, for each of them. We begin by considerin...

This paper is an interpretive history of federal support for the American software industry from its beginnings through the 1980s. As in other high-technology cases, federal _ especially defense-related _ support for software was crucial early in the technology's development, but the flow of spillovers quickly began to reverse as military needs div...

Au cours de la campagne presidentielle de 1992, les candidats Bill Clinton et Albert Gore avaient souligne leur engagement a adopter une nouvelle politique federale en matiere de soutien a l'innovation pour l'economie americaine. Cet article propose une premiere evaluation de la politique technologique de l'Administration Clinton. La caracteristiqu...

A number of recent empirical studies of technical change at the level of the individual firm have concluded that market demand is the dominant influence upon the innovation process, “calling forth” innovations in market economies. The pace of innovation in the private sector heavily influences the growth of national output and productivity, and the...

This paper develops and estimates a model of U.S. federal budgetary outcomes that allows for considerable disaggregation across spending categories while providing, through cross-equation coefficient restrictions, substantially more statistical power than traditional approaches. We identify significant "top-down" fiscal policy effects on budgetary...

This paper examines the origins and outlook for the features of the U.S. national innovtion system that have historically distinguished this system from those of other industrial economies. Among these features are (1) the prominent role of antitrust policy; (2) the large share of postwar national R&D expenditures accounted for by government and, w...

This article analyzes the impact of the Gramm-Rudman-Hollings (GRH) Act on federal budgetary and fiscal outcomes. Rather than portraying it as a two-on federal budgetary and fiscal outcomes. Rather than portraying it as a two-party game between Congress and the president, each with monolithic policy preferences, we view GRH as a multiparty negotiat...

How did the Gramm-Rudman-Hollings Act (GRH) impact on U. S. defense spending? Focusing on defense spending from 1986-1989, Sung Deuk Hahm, Mark Kamlet, and David Mowery found defense spending to be lower than it would have been without GRH. GRH partially, but not completely, returned defense spending priorities and defense-fiscal policy linkages to...

The literature on international joint ventures (IJVs) devotes little attention to the influence of public policy on the formation of such alliances. This paper examines the influence on the recent growth in IJVs of U.S. and foreign governments’ antitrust, trade, and technology policies. Little evidence supports the claim that U.S. antitrust policy...

Despite its small size and modest exports, the Japanese commercial aircraft industry has attracted considerable attention in recent years. Among the reasons for this interest are Japanese performance in other export-oriented industries; the development of a complex web of collaborative arrangements that link a number of large U.S. aerospace firms w...

This historical overview of the development of US industrial research indicates that the structure of the institutions performing R&D matters a great deal. The characteristics of the learning processes that underpin innovation, and the knowledge produced by research, led to the development of industrial research within the US and other industrial e...

Technology's contribution to economic growth and competitiveness has been the subject of vigorous debate in recent years. This book demonstrates the importance of a historical perspective in understanding the role of technological innovation in the economy. The authors examine key episodes and institutions in the development of the U.S. research sy...

Reports on aspects of technological change essential to economic progress in the United States. States that workers need to be more adaptable, research needs to be more focused, and managers need to be more open-minded. (RT)

The recent upsurge in collaborative ventures involving U.S. and foreign manufacturing firms in research, production, and marketing has raised questions concerning the causes of these novel methods of organizing innovation and the consequences of these activities for the competitiveness of U.S. firms. This paper surveys recent trends and implication...

Technology’s contribution to economic growth and competitiveness has been the subject of vigorous debate in recent years. This book demonstrates the importance of a historical perspective in understanding the role of technological innovation in the economy. The authors examine key episodes and institutions in the development of the U.S. research sy...

We use simulations based on a multiequation model of federal budgetary outcomes to assess the Reagan administrations impact on the federal budget during fiscal years 1982–86. Reagan's aggregate budget priorities represent a significant departure from the priorities of prior postwar administrations. The bulk of this shift in priorities had occurred...

Economic forecasts play an increasing role in U.S. budgetary and fiscal policies. This paper analyzes the accuracy and bias of economic forecasts prepared by the Executive Branch and Congress. Short-run forecasts by the Executive Branch for the forthcoming year do not appear biased. They are as accurate as private forecasts and the forecasts of the...

A reduced form equation system is used to analyze the influence of economic, political, and institutional influences on the budgetary priorities of the executive branch and Congress during fiscal 1955-81. Three related issues are considered: the extent to which political and macroeconomic factors affect priorities; the degree of interdependence amo...

The influence of institutions on budgetary behavior at the federal level is the subject of this article, which examines the Congressional Budget Act of 1974. While its impact on budgetary priorities and growth seems modest at best, the Act has had a substantial impact on the process of budgetary decisionmaking, the nature of budgetary debate, and t...

The emerging Japanese commercial aircraft industry has recently attracted considerable attention. This article assesses the development of the Japanese aircraft industry during the postwar era, comparing industrial development and government policy in the Japanese aircraft industry with that of the postwar U. S. commercial aircraft industry. The cu...

The federal executive budgetary process has been severely criticized in recent years for its apparent inability to curb budgetary growth and limit deficits. Much of this criticism ignores the essentially political, rather than administrative, causes of these trends. Budgetary growth and deficit spending may be viewed in part as the results of presi...

The model of government growth developed by Niskanen focuses on the interaction between legislative politician and executive bureaucrat. However, an explanation of growth in federal expenditures requires that attention also be paid to the interaction of agency bureaucrats and executive branch politicians, rather than concentrating exclusively on ex...

The American commercial aircraft industry has complied an extremely impressive record of performance in innovation and growth in output. This paper assesses the impact of government policy during a fifty-year period upon innovative performance and market structure in the commercial aircraft industry. In general, this apparent success of government...

This paper examines the role of the budgetary base in the executive branch's federal budgetary process, focusing on the Office of Management and Budget (OMB). The analysis calls into question a number of standard assumptions in the theory of governmental budgetary decision-making. These include the definition of the base, its immutability over the...

In 1903 the Wright brothers’ airplane travelled a couple of hundred yards. Today fleets of streamlined jets transport millions of people each day to cities worldwide. Between discovery and application, between invention and widespread use, there is a world of innovation, of tinkering, improvement and adaptation. This is the world David Mowery and N...

This paper compares the geographic "reach" of knowledge flows from university inventions through two important channels: market contracts (licenses) and non-market "spillovers" ex- emplified by patent citations. We find that knowledge flows through market transactions to be more geographically localized than those operating through non-market spill...