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Expanding Access to
Precompetitive Research
in the United States
and Japan:
Biotechnology and
Optoelectronics
Office of Japan Affairs
Office of International Affairs
National Research Council
NATIONAL ACADEMY PRESS
Washington, D.C. 1990
OCR for page R2
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 freon 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 Heir 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. Frank Press 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 govemment. The National Academy of Engineering also
sponsors engineering programs aimed at meeting national needs, encourages education and research,
and recognizes the superior achievements of engineers. Dr. Robert M. White 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. Ibe 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 govemment. 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. Frank Press and Dr. Robert M. White
are chairman and vice-chairman, respectively, of the National Research Council.
This report is based on work supported by the Sloan Foundation and the National Science
Foundation under Grant No. INT-8904494. Any opinions, findings, and conclusions or
recommendations expressed in this publication are those of the authors and do not necessarily
represent the views of the sponsoring agencies.
Available in limited supply 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
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 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
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
Martha Caldwell Harris, Director
Donna J. Audntsh, Research Associate
Karen Duffy, Research Intem
Maki Fife, Program Assistant
Sabina Javits, Consultant
. . .
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COMMITTEE ON JAPAN
The Committee on Japan was established to advise the Office of Japan Affairs
on its programs and to assist in defining the contribution that the Academies can
make in enhancing U.S. interests through science and technology exchange with
Japan.
Justin Bloom
Technology Intemational, Inc.
Lewis Branscomb
Harvard University
Mac Destler
University of Maryland
Ellen Frost
United Technologies Corporation
Lester Krogh
3M Company
James Merz
University of Califomia,
Santa Barbara
Yoshio Nishi
Hewlett-Packard Company
Terutumo Ozawa
Colorado State University
Ex Officio Members:
Gerald Dinneen, Foreign Secretary, National Academy of Engineering
William Gordon, Foreign Secretary, National Academy of Sciences
1V
Harold Brown (Chairman)
Johns Hopkins Foreign Policy Institute
Daniel Okimoto (Vice-Chairman)
Stanford University
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
Conductus, Inc.
Susumu Tonegawa
Massachusetts Institute of
Technology
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PARTICIPANTS
"Expanding Access to Precompetitive Research in the United States and Japan:
Biotechnology and Optoelectronics"
January 22-23, 1990
United States
Gerald Dinneen (Cochairman)
National Academy of Engineering
Robert Burmeister
Saratoga Technologies
Ronald Cape
Cetus Corporation
James Merz
University of California,
Santa Barbara
Robert Nerem
Georgia Institute of Technology
Richard Samuels
Massachusetts Institute of
Technology
Hubert Schoemaker
Centocor, Inc.
Japan
Michiyuki Uenohara (Cochairman)
NEC Corporation
Isao Karube
Research Center for Advanced
Science and Technology,
University of Tokyo
Fumio Kodama
National Institute for
Science and Technology Policy
Takanori Okoshi
Research Center for Advanced
Science and Technology,
University of Tokyo
Terumichi Ono
Toray Industries, Inc.
Seichi Takeuchi
Sumitomo Electric Industries, Ltd.
Masao Tanaka
Marine Biotechnology Institute
Katsuhiko Masuda
National Institute of
Science and Technology Policy
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Preface
In January 1990 the Office of Japan Affairs of the National Research Council
and the Japan Society for the Promotion of Science (JSPS) jointly held the second
of a series of meetings on the subject of "symmetrical access" to research and
development (R&D) in Japan and the United States. Recognizing structural and
systemic differences that have created imbalances, the meeting was organized to
examine in more detail the circumstances of "access" in each of two important
fields and to explore new approaches to address the problems. Biotechnology and
optoelectronics were selected as two important areas in which precompetitive
research can theoretically benefit both countries and where the competitive
circumstances are different. Participants from both countries sought to identify
opportunities for collaboration in precompetitive research, keeping in mind the
realities of market competition in the application of technologies to products.
The meeting was a sequel to a workshop held in spring 1988 on the general
concept of symmetry in R&D and the specific structural differences between the
two countries that pose obstacles to symmetrical access.
The meeting on "Expanding Access to Precompetitive Research in the United
States and Japan: Biotechnology and Optoelectronics" brought together experts in
biotechnology, optoelectronics, and science policy from both countries to
examine the current R&D structure in each country and to develop potential
means for expanded access and cooperation. The East-West Center acted as a
cooperating organization. This report, prepared by the Office of Japan Affairs, is
a synthesis of the major ideas garnered from the two-day meeting. It is not a
proceedings of the meeting, nor does it represent the consensus of the
participating members. The report also covers a preliminary survey conducted by
the Office of Japan Affairs as well as insights gained by U.S. participants and
National Research Council staff in preparing for the meeting and in reflecting on
He discussions.
. .
V11
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