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Leaming the R&D System: National Laboratories and Other Non-Acaclemic, Non-Inclustrial Organizations in Japan and the United States 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 Goveming 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 canpetencies 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 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. 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 govemment. 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. We 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 lo 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. Flier is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 lo 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. The 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 N.W. Washington, DC 20418 Printed in the United States of America

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OFFICE OF JAPAN AFFAIRS Since 1985, the National Academy of Sciences and the National Academy of Engineenng have engaged in a series of high-level discussions on advanced technology and the international environment with a counterpart group of Japa- nese 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 Acad- emy 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 OJA are to provide a resource to the Academy complex and the broader U.S. science and engineering communities for informa- tion 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.-Iapan science and technology relationship. Staff Martha Caldwell Harris, Director Donna J. Audritsh, Research Associate Karen S. McDowell, Program Assistant . . .

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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 the contribunon that the Acade- mies can make in enhancing U.S. interests through science and technology ex- change with Japan. Harold Brown, Chairman Johns Hopkins Foreign Policy Institute Dariiel Okimoto, Vice-Chturman 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 lT-Japan Science and Technology Program Roland Schmitt Rensselaer Polytechnic Institute Hubert J. P. Schoemaker Ceneecor, Inc. Ora Smith Conductus, Inc. Susumu Tonegawa Massachusetts Institute of Technology Gerald Dinneen, Foreign Secretary, National Academy of Engineenng William Gordon, Foreign Secretary, National Academy of Sciences 1V

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U.S.-JAPAN DIALOG ON THE WORKING ENVIRONMENT FOR RESEARCH IN NATIONAL LABS AND "BRIDGING" ORGANIZATIONS Beckman Center June 5-6, 1989 U.S. PARTICIPANTS Roland Schmitt (Cochairman) Rensselaer Polytechnic ldsutute Lewis Branscomb Harvard University William Brinkman AT&T Bell Labs Dale Corson Comell University Gerald Dinneen National Academy of Engineering Martin Goland Southwest Research Institute Marshall Lih National Science Foundation Robert Schwerzel Battelle George Sinnott National Institute of Standards and Technology Donald Stevens Department of Energy Karl Willenbrock National Science Foundation Alexander Zucker Oak Ridge National Laboratory JAPANESE PARTICIPANTS Sogo Okamura (Cochairman) Tokyo Denki University Yoichi Aoki Mitsubishi Research Institute Masao Doyama Nagoya University Kazuhiro Fuchi Institute of New Generation Computer Technology Chikara Hayashi ULVAC Japan Ltd. Izuo Hayashi Optoelectronics Technology Research Laboratory Yukio Hori Japan Society for the Promotion of Science Masahiro Kawasaki National Institute for Science and Technology Policy Tsuneo Nakahara Sumitomo Electric Industries Toshio Sata Institute of Physical and Chemical Research Koichiro Tamura Electrotechnical Lab Iwao Toda NTT R&D Headquarters Justin Bloom of Technology International assisted with preparations for the meeting and contributed to the discussion. v

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Preface The Office of Japan Affairs of the National Research Council is organizing a series of workshops on the differences and similarities in the working environ- ment 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 improve 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: Cooperation 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 second workshop on national labs and other non-academic, non-industrial organizations was held June 5-6, 1989, at the Beckman Center, the West Coast facility of the National Academies of Sciences and Engineering. The discussions focused on "bridges" between national labs and other sectors in electronics and new materials research, on professional associations and consulting organizations, and on the prospects for international collaboration. This report, prepared by the Office of Japan Affairs, highlights the major insights garnered from that tweedy meeting. It is not a proceedings of the workshop, nor does it represent the consensus of the . . . participating members. . . V11

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