15 C.F.R. PART 1160—PRODUCTIVITY, TECHNOLOGY AND INNOVATION
Title 15 - Commerce and Foreign Trade
Authority: 15 U.S.C. 1512 and 3710, 15 U.S.C. 205a, DOO 10–17 and DOO 10–18.
Source: 48 FR 52289, Nov. 17, 1983, unless otherwise noted. Redesignated at 56 FR 41282, Aug. 20, 1991.
The purpose of this part is to establish procedures under which the Department of Commerce will provide assistance for the establishment by the private sector of Industrial Technology Partnerships (as defined in §1160.2). (a) Industrial Technology Partnerships (ITPs). As used in this subpart, ITPs include research and development limited partnerships (RDLPs) and cooperative R&D arrangements of companies, non-profit organizations, and Federal agencies or some combination thereof. (b) Research and Development Limited Partnership (RDLP). In general, the RDLP is a type of business organization to raise venture capital from the private sector to fund specified research and development projects. Additional characteristics are as follows: (1) Establishment in general. An RDLP can be established by an existing firm, or by an independent entrepreneur, to finance specified research and development projects. It can effectively finance both small and large scale projects. It is established by a partnership agreement tailored to the particular projects to be funded. (2) Classes of partners. In general, a partnership agreement establishing an RDLP will provide for two classes of partners, as follows: (i) The General Partner or partners provide the management for the partnership, obtain funding, make arrangements for the conduct of research, and ultimately either manufacture any new products resulting from the research and development or license out the resulting technology; and (ii) The Limited Partners invest in the partnership, bear most or all of the financial risk, share in the financial success from proceeds of manufacture, royalties or other paybacks, and receive tax benefits, but exercise no active management role in the partnership. (a) General. The types of assistance available to Industrial Technology Partnerships (ITPs) are described in the following subsections. Additional assistance which is specific to Research and Development Limited Partnerships (RDLPs) is described in paragraph (f) of this section. (b) Workshops. Upon request, the Secretary may hold workshops with representatives from the private sector and government in order to further the objectives of this part. Such workshops are designed to explore interest in specific potential ITPs. They will be structured to avoid antitrust problems. (c) Clearinghouse. The Department's experience with Industrial Technology Partnerships, notably RDLPs, indicates that numerous potential participants in RDLPs, especially General Partners, need access to specialized information. Accordingly, the Department will develop and maintain a list of specific public and private sector specialists in such categories as venture capitalists, tax accountants, legal specialists, university and non-profit laboratories, brokers, technical and economic feasibility analysts, and proprietary information specialists (especially in patents). Persons wishing to be included in the list or wishing to received a copy of the list should write to the following address:
Industrial Technology Partnerships Program, Herbert C. Hoover Building, Room 4816, Box B, U.S. Department of Commerce, Washington, DC 20230. Inclusion on the list is voluntary, and is free of charge to all parties, as is receipt of the list. The Department of Commerce, however, makes no representation about the qualifications, experience or ability of any individual identified in these lists. (d) Small business. The Department is aware of the significant contributions of technology-related small business to the economic health of the Nation. Accordingly, the Department shall identify sources of information for them on innovation services and resources including, for example: Technologies available for licensing; markets for new technology-based products and services; financing; techniques and incentives for innovation; organizations providing feasibility testing and demonstration services; and information on production and distribution methods. This assistance may be supplemented by the list of referrals described in paragraph (c) of this section. (e) Patent licensing. To assist industrial technology partnerships, the Patent Licensing Program of the National Technical Information Service (NTIS) will provide ITPs with current announcements of the availability of licenses to use government-owned technology (on an exclusive or non-exclusive basis). Write to:
David T. Mowry, Director, Center for the Utilization of Federal Technology, NTIS, 5285 Port Royal Road, Springfield, Virginia 22101. (f) Additional assistance for Research and Development Partnerships (RDLPs). The Department has no funds available for direct financial support for the establishment or operation of any ITP. Anyone wishing to apply for any of the services listed below should direct their inquiry to:
Industrial Technology Partnerships Program, Herbert C. Hoover Building, Room 4816, Box B, U.S. Department of Commerce, Washington, DC 20230. (1) Introductory training. The Department will accept a limited number of businesspersons, academicians and other persons for purposes of providing introductory training in the concept of RDLPs. Such training will be tailored to the needs of the trainee, wherever possible. Travel and other expenses of the trainees will be borne by the trainees. (2) Information on RDLPs. The Department will make available information on research and development limited partnerships. A fee may be charged for the printing costs of Departmental publications. (3) Data bases. The Department will provide after May, 1984 as available, technical and marketing data on specific technologies, which may be useful to potential general partners in drafting business plans. The Department of Commerce will offer no opinion on the antitrust merits of the formation of any industrial technology partnership. The Secretary, upon request, may seek the Attorney General's opinion as to whether proposed joint research activities would violate any of the antitrust laws. Where relevant, the Department may seek the cooperation of other Federal agencies and laboratories that may be of assistance to industrial technology partnerships. All persons making a request under this part are cautioned that data submitted to the Department may be available for dissemination under the Freedom of Information Act. The Department would, however, withhold any information it deemed proprietary on the basis of the provision of 5 U.S.C. 552(b)(4). The Department will consult with the submitter of any data requested under the Freedom of Information Act prior to the release of such information, if the data is clearly marked “Proprietary” or “Company-Confidential.” The right to amend or withdraw these procedures is expressly reserved. Source: 56 FR 41282, Aug. 20, 1991, unless otherwise noted.
The purpose of this notice is to notify interested parties of procedures under which the Department of Commerce provides a forum for discussion by private sector interests on the feasibility of establishing strategic partnerships, especially for the development and exploitation of large scale enabling technologies. (a) Strategic Partnerships. Strategic Partnerships are multi-industry teams of firms and others formed to create and commercialize proprietary technologies, especially large scale enabling technologies, using a systems management approach. The design of and participants in a specific partnership will be solely at the discretion of the private sector. However, since these partnerships will be most effective when comprised of firms which can share proprietary information, it will probably be most useful if there are no competitors in the venture. (b) Large Scale Enabling Technologies. Large Scale Enabling Technologies are technologies that are too complex and costly for a single firm to create and that have more potential applications than a single firm or a single industry can readily exploit. In some cases investments in these technologies may only be recouped if the results are used in several applications, often in different industries. Since speed of recoupment is often critical to continued competitiveness, it is often essential that multiple major applications are introduced simultaneously. [56 FR 41282, Aug. 20, 1991; 56 FR 51257, Oct. 10, 1991] (a) This new initiative is designed to provide the private sector with the opportunity to discuss the possible benefits of forming Strategic Partnerships among firms representing the entire food chain of specific technologies. By focusing on a specific technology, these partnerships will have the capability to integrate the innovation activities for a broad range of applications made possible by that technology. The integrative function differentiates this initiative from earlier Department of Commerce initiatives which deal with only one stage of the commercial process. Strategic Partnerships differ from traditional cooperative R&D consortia which are composed primarily of competitors who cooperate only in the early precompetitive stage of innovation. In contrast, Strategic Partnerships are made up generally of noncompeting companies (see §1160.21(a)) and are capable of accomplishing the entire process of innovation working on a proprietary basis. (b) The immediate goal of this initiative is to hold workshops upon a request from the private sector in key technologies at which the stakeholder industries in the food chain for each technology will have a chance to consider potential applications of the technology, current status of the technology, what R&D needs to be performed, the competitive position of U.S. industry in that technology, including the status of foreign competition, and the ways in which U.S. stakeholders might organize themselves to maximize commercial benefits. The ultimate outcome of such workshops will be entirely at the discretion of the private sector and may include the formation of one or more Strategic Partnerships, other types of multifirm ventures, or no action at all. The Department will not undertake to form specific partnerships. This will be solely at the discretion of the participants. [56 FR 41282, Aug. 20, 1991; 56 FR 51257, Oct. 10, 1991] (a) General. The Department has no funds available for direct financial support for the establishment or operation of a Strategic Partnership. (b) Information Briefings. The Department plans to hold an initial briefing to acquaint the private sector with the dynamics of the systems approach used in Strategic Partnerships, including how they may offer a means for firms to collaborate primarily in large scale enabling technologies. Additional information and technical assistance may be obtained from the Director, Office of Technology Policy Analyses and Studies, Technology Administration, room 4835, Herbert C. Hoover Building, U.S. Department of Commerce, Washington, DC 20230 (202) 377–1518. (c) Workshops. Upon request the Department may hold workshops to explore interest in Strategic Partnerships for a specific technology. Working with the requester, Commerce will determine which industries have a stake in the technology, invite the firms from those industries, and design the meeting agenda and background materials. Anyone wishing to apply for such a workshop should direct their inquiry to the Assistant Secretary for Technology Policy, Technology Administration, room 4818, Herbert C. Hoover Building, U.S. Department of Commerce, Washington, DC 20230. (d) All workshops will be held on a fee basis at no cost to the Department. (a) The Department of Commerce will offer no opinion on the antitrust merits of the formation of any proposed Strategic Partnership. The Department may seek an opinion from the Antitrust Division of the Department of Justice as to whether a proposed Strategic Partnership would raise antitrust issues. Furthermore, the role played by the Department of Commerce confers no special immunity to any given Strategic Partnership. (b) Strategic Partnerships may be formed without any consultation with or involvement by the Department of Commerce; the purpose of the Strategic Partnership Initiative is to make the private sector aware of this vehicle and, where requested, conduct workshops to discuss the formation of such partnerships in general. Commerce will not select the technologies, the number of partnerships, or the specific firms in a given partnership. Where relevant, the Department may seek the cooperation of other Federal agencies and laboratories that may be of assistance to Strategic Partnerships. All persons making a request under this part are cautioned that data submitted to the Department may be available for dissemination under the Freedom of Information Act. The Department, however, would withhold any information it deemed proprietary (confidential commercial or financial) on the basis of 5 U.S.C. 552(b)(4). The Department will consult with the submitter of any data requested under the Act, prior to release of such information, if the data is clearly marked “Company Confidential.” (See 15 CFR 4.7). The right to amend or withdraw these procedures is expressly reserved.
Title 15: Commerce and Foreign Trade
PART 1160—PRODUCTIVITY, TECHNOLOGY AND INNOVATION
Section Contents
§ 1160.1 Purpose.
§ 1160.2 Definitions.
§ 1160.3 Assistance to industrial technology partnerships.
§ 1160.4 Antitrust considerations.
§ 1160.5 Coordination/cooperation with other Federal agencies.
§ 1160.6 Proprietary data.
§ 1160.7 Amendment of procedures.
§ 1160.20 Purpose.
§ 1160.21 Definitions.
§ 1160.22 Goal of the Strategic Partnership initiative.
§ 1160.23 Assistance in establishing Strategic Partnerships.
§ 1160.24 Antitrust considerations.
§ 1160.25 Coordination/cooperation with other Federal agencies.
§ 1160.26 Proprietary data.
§ 1160.27 Amendment of procedures.
Subpart A—Promotion of Private Sector Industrial Technology Partnerships
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§ 1160.1 Purpose.
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§ 1160.2 Definitions.
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§ 1160.3 Assistance to industrial technology partnerships.
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§ 1160.4 Antitrust considerations.
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§ 1160.5 Coordination/cooperation with other Federal agencies.
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§ 1160.6 Proprietary data.
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§ 1160.7 Amendment of procedures.
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Subpart B—Strategic Partnership Initiative
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§ 1160.20 Purpose.
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§ 1160.21 Definitions.
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§ 1160.22 Goal of the Strategic Partnership initiative.
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§ 1160.23 Assistance in establishing Strategic Partnerships.
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§ 1160.24 Antitrust considerations.
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§ 1160.25 Coordination/cooperation with other Federal agencies.
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§ 1160.26 Proprietary data.
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§ 1160.27 Amendment of procedures.
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