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The Working Environment for Research in U. S. and Japanese Universities Prepared by the Office of Japan Affairs Office of International Affairs National Research Council NATIONAL ACADEMY PRESS Washington, D.C. 1989

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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 of the United States is a private, nonprofit, self- perpetuating society of distinguished scholam 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. Frank Press is president of the National Academy of Sciences. The National Academy of Engineering of the United States 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. Robert M. White is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 lay 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. Samuel O. Thier 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 Research 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. We Research Council is administered jointly by both Academies and the Institute of Medicine. Dr. Frank Press and Dr. Robert M. White are chairman and vice-chairman, respectively, of the National Research Council. Available from: Office of Japan Affairs National Research Council 2101 Constitution Avenue, NW Washington, DC 20418 Printed in the United States of America

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OFlICE 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 counter- part group of Japanese scientists, engineers, and industrialists. One out- come of these discussions was a deepened understanding of He 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.-lapan relationship. In 1987, He National Research Council, the operating arm of both the National Academy of Sciences and the National Academy of Engineering, authorized first-year funding for a new Office of Japan Affairs (OJA). This newest program element of the Office of International Affairs was formally established in the spring of 1988. The primary objectives of OlA 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 dialog on issues of mutual concern; and to address policy issues surrounding a changing U.S.-lapan science and technology relationship. Stay Martha Caldwell Harris, Director Donna I. Aubritsh, Research Associate . . .

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COMMITTEE ON JAPAN The Committee on Japan has been established to advise the Office of Japan Affairs on its programs, and to assist in defining He contribution that the Academies can make in enhancing U.S. interests through science and technology exchange with Japan. Harold Brown, Chairman Johns Hopkins Foreign Policy Institute Daniel Okimoto, Vice-Chairman Stanford University Justin Bloom Technology International, Inc. Lewis Branscomb Harvard University Mac Destler University of Maryland Ellen Frost United Technologies Corporation Lester Krogh 3M Company James Merz University of California, Santa Barbara Yoshio Nishi Hewlett-Packard Company Terutumo Ozawa Colorado State University Ex Officio Members: Susan Pharr U.S.-Japan Relations Program, Reischauer Institute John D. Rockefeller IV U.S. Senate Richard Samuels MIT-Japan Science and Technology Program Roland Schmitt Rensselaer Polytechnic Institute Hubert J. P. Schoemaker Centecor, Inc. Ora Smith Rockwell International Susumu Tonegawa Massachusetts Institute of Technology Gerald Dinneen, Foreign Secretary, National Academy of Engineering William Gordon, Foreign Secretary, National Academy of Sciences 1V

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U.S.-JAPAN DIALOG ON THE WORKING ENVIRONMENT FOR RESEARCH IN UNIVERSITIES Beckman Center January 9-10, 1989 U.S. PARTICIPANTS Roland Schmitt (Co chairman) Rensselaer Polytechnic Institute Joseph Ballam Stanford Linear Accelerator Center Frank Carrubba Hewlett-Packard Company Marvin Cohen University of California, Berkeley William Cummings Harvard University Gerald Dinneen Honeywell, Inc. Marshall Edgell University of North Carolina Alan Engel International Science and Technology Associates, Inc. James Merz University of California, Santa Barbara Tom Owens National Science Foundation Howard Schneiderman Monsanto Nam Sub Massachusetts Institute of Technology JAPANESE PARTICIPANTS Sogo Okamura (Cochairman) Tokyo Denki University Jun-ichi Baba Mitsubishi Electric Corporation Masao Doyama Nagoya University Yoshihiko Ichikawa Nagoya University Hiroshi Inose National Center for Science Information System Ken Kikuchi National Laboratory for High-Energy Physics Fumio Kodama National Institute of Science and Technology Policy Tsuneo Nakahara Sumitomo Electric Industries, Ltd. Shigefumi Nishio University of Tokyo Tamiya Nomura Shibaura Institute of Technology Michiyuki Uenohara NEC Corporation Justin Bloom of Technology International assisted with preparations for the meeting and the report and contributed to the discussion.

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Preface Universities play at least two very important roles in science and tech- nology in the United States as well as in Japan. In addition to educating their nations' scientists, engineers, researchers, and future science educa- tors, universities in both countries are a major source of basic research. Although they perform only a small portion of their nations' total research and development (R&D), they are the primary source of basic research for both countries. There are, nevertheless, important differences in the way each nation's universities execute their dual roles. These differences are apparent not only in the focus, funding, and organization of research, but also in the degree of significance attached to their educational roles. The Office of Japan Affairs of the National Research Council is or- ganizing a series of workshops on the differences and similarities in the working environment for research in Japan and the United States with the support of a grant from the U.S.-Japan Foundation. Understanding these differences is essential to American scientists and engineers to im- prove access to Japan's research system, and to expand mutually beneficial collaboration between the two countries. The bilateral dialog on "Coexistence in a Technological World: Coop- eration and Competition in R&D" consists of three workshops, focusing in turn on universities, bridging organizations, and corporations as research settings. Each workshop brings together senior scientists, engineers, and others involved in and concerned about research and development in the two countries. The first workshop on university laboratories was held Jan- ua~y 9-10, 1989, at the Beckman Center, the West Coast facility of the . . V11

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National Academies of Sciences and Engineering. The discussions focused on the culture of academic research, large university research laboratories, university-industry relations, and the experiences of foreign researchers in the United States and Japan. This paper was prepared by the Office of Japan Affairs as background information for the dialog. . . . Van