Maximizing U.S. Interests in Science and Technology Relations with Japan

Committee on Japan Framework Statement and

Report of the Competitiveness Task Force

Committee on Japan

Office of Japan Affairs

Office of International Affairs

National Research Council

National Academy Press
Washington, D.C.
1997



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Maximizing U.S. Interests in Science and Technology Relations with Japan Maximizing U.S. Interests in Science and Technology Relations with Japan Committee on Japan Framework Statement and Report of the Competitiveness Task Force Committee on Japan Office of Japan Affairs Office of International Affairs National Research Council National Academy Press Washington, D.C. 1997

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Maximizing U.S. Interests in Science and Technology Relations with Japan NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. This report has been reviewed by a group other than the authors according to procedures approved by a Report Review Committee consisting of members of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievement of engineers. Dr. Wm. A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Kenneth I. Shine is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. Wm. A. Wulf are chairman and vice-chairman, respectively, of the National Research Council. This project was made possible with funding support from the U.S. Department of Commerce, U.S. Department of Energy (award no. DE-FG02-93ER30209), U.S. Department of State, U.S. Department of Defense, and the National Science Foundation. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the organizations or agencies that provided support for the project. International Standard Book Number 0-309-05884-8 Additional copies of this report are available from National Academy Press, 2101 Constitution Avenue, N.W., Lockbox 285, Washington, D.C. 20055; (800) 624-6242 or (202) 334-3313 (in the Washington area); Internet, http://www.nap.edu. Copyright © 1997 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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Maximizing U.S. Interests in Science and Technology Relations with Japan COMMITTEE ON JAPAN Erich Bloch, Chairman Council on Competitiveness Richard J. Samuels, Vice-Chairman Massachusetts Institute of Technology Sherwood L. Boehlert U.S. House of Representatives Lewis M. Branscomb Harvard University G. Steven Burrill Burrill & Company Lawrence W. Clarkson The Boeing Co. Mildred S. Dresselhaus Massachusetts Institute of Technology David A. Duke Coming Inc. (retired) Daniel J. Fink D. J. Fink Associates, Inc. John O. Haley University of Washington Jim F. Martin Rockwell Science Center Joseph A. Massey Dartmouth College Mike M. Mochizuki The Brookings Institution Hugh T. Patrick Columbia University John D. Rockefeller IV U.S. Senate Robert A. Scalapino University of California, Berkeley Susan C. Schwab University of Maryland Ex Officio Members: Harold K. Forsen, Foreign Secretary, National Academy of Engineering F. Sherwood Rowland, Foreign Secretary, National Academy of Sciences

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Maximizing U.S. Interests in Science and Technology Relations with Japan COMPETITIVENESS TASK FORCE Jim F. Martin, Chairman Rockwell Science Center Alan J. Bennett Lawrence Livermore National Laboratory Suzanne Berger Massachusetts Institute of Technology David A. Duke Corning Inc. (retired) Edward M. Graham Institute for International Economics John O. Haley University of Washington David W. Martin, Jr. Eos Biotechnology, Inc. James C. McGroddy IBM Corp. (retired) William F. Powers Ford Motor Co. James J. Solberg Purdue University Deborah Wince-Smith Council on Competitiveness John Zysman University of California, Berkeley Ex Officio Member Richard J. Samuels Massachusetts Institute of Technology

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Maximizing U.S. Interests in Science and Technology Relations with Japan OFFICE OF JAPAN AFFAIRS Since 1985 the National Academy of Sciences and the National Academy of Engineering have engaged in a series of high-level discussions on advanced technology and the international environment with a counterpart group of Japanese scientists, engineers, and industrialists. One outcome of these discussions was a deepened understanding of the importance of promoting a more balanced two-way flow of people and information between the research and development systems in the two countries. Another result was a broader recognition of the need to address the science and technology policy issues increasingly central to a changing U.S.-Japan relationship. In 1987 the National Research Council, the operating arm of both the National Academy of Sciences and the National Academy of Engineering, authorized first-year funding for the Office of Japan Affairs (OJA). This program element of the Office of International Affairs was formally established in the spring of 1988. The primary objectives of OJA are to provide a resource to the Academy complex and the broader U.S. science and engineering communities for information on Japanese science and technology, to promote better working relationships between the technical communities in the two countries by developing a process of deepened dialogue on issues of mutual concern, and to address policy issues surrounding a changing U.S.-Japan science and technology relationship. Staff Thomas Arrison, Staff Officer Maki Fife, Program Associate

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Maximizing U.S. Interests in Science and Technology Relations with Japan Contents     A FRAMEWORK FOR MAXIMIZING U.S. INTERESTS IN SCIENCE AND TECHNOLOGY RELATIONS WITH JAPAN   1     REPORT OF THE COMPETITIVENESS TASK FORCE EXECUTIVE SUMMARY   9 1   INTRODUCTION   20     Context,   20     Recent Trends,   22     Major Issues and Outline of This Study,   24 2   SCIENCE, TECHNOLOGY, AND INNOVATION IN JAPAN   26     Summary Points   26     The Development of Japanese Capabilities in Science, Technology, and Innovation,   26     Pre-World War II Legacy,   27     Science, Technology, and the Postwar Miracle,   29     Recent Changes and Current Challenges,   35 3   SCIENCE, TECHNOLOGY, AND INNOVATION IN THE UNITED STATES   45     Summary Points,   45     Developments Prior to World War II,   45     The Endless Frontier,   47     The Competitiveness Crisis and Responses,   48 4   STATISTICAL AND POLICY CONTEXT FOR U.S.-JAPAN SCIENCE AND TECHNOLOGY RELATIONS   52     Summary Points,   52     Basic Data on Science, Technology, and Innovation,   52     The Policy Context,   67 5   U.S.-JAPAN TECHNOLOGY AND COMPETITIVENESS TRENDS IN KEY INDUSTRIES   76     Summary Points,   76     Automobiles,   76     Advanced Materials,   86     Biotechnology and Health Care,   88     Semiconductor Manufacturing Equipment,   94     Information Industries,   102

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Maximizing U.S. Interests in Science and Technology Relations with Japan 6   KEY LESSONS AND PRIORITIES FOR THE UNITED STATES   113     What Has Changed and What Hasn't?   113     Priorities and Policy Options for the United States   119 7   CONCLUSIONS AND POLICY RECOMMENDATIONS   129     Major Findings   129     Priorities for the United States and Policy Recommendations   131     APPENDIXES     A   Workshops Organized by the Committee on Japan as Input for the Study on Maximizing U.S. Interests   133 B   Committee on Japan Publications   140