Roles and Perspectives of IAI * in Science Collaboration AIST

1. Roles and Perspectives of IAI * in Science CollaborationAIST National Institute of Advanced Industrial Science and Technology *IAI: Independent Administrative Institution

2. What is the AIST ? From “National Research Institute” to the “IAI” IAI: Independent Administrative Institution

3. Establishment of “new” AIST from GovernmentalInstitute to Independent Administrative Institution (IAI) January 2001 METI Ministry of Economy, Trade and Industry MITI Ministry of International Trade and Industry Reorganization Medium-Term Plan Economic Planning Agency Medium -Term Objectives AIST Agency of Industrial Science and Technology (15 Laboratories) NewAIST National Institute of Advanced Industrial Science and Technology April 2001 Merged into one

4. Research Fields and Directions of R & D Long-term challenge requiring government’s support Environment Energy Life Science IT & communications Materials/Nanotech. Manufacturing machinery Resources Measurement & standard Geo-Science Enhancing international competitiveness & creation of new industry Techno- infrastructure maintenance Aim： Industrial technology to ensure sustainable development

5. What is the responsibility of AIST as public research institute ? Management Philosophy of AIST “Full Research”

6. History of AIST Reorganization by Unification ～ Organizational shift in accordance with society needs at the times～ National Institute for Advance Industrial Science and Technology Aiming at COE Aiming at Front Runner Recovery from World War II Catching up advanced nations 1970 1990 1948 1980 2000 1960 Establishment of Former AIST 1903 Weighing & Testing National Research Laboratory of Metrology Mechanical Engineering Laboratory Machinary Tokyo National Research Laboratory Chemical Technology National Institute of Materials and Chemical Research 1900 Alcohol Microorganic Industry National Institute of Bioscience and Human-Technology Fermentation Textile Fiber & Polymer Nat’l Inst.for Advanced Interdisiplinary Research Production Science Industrial Arts Geological Survey of Japan Geological Survey 1882 Electornic Electrical Electrotechnical Laboratory 1891 Resources & Pollution Mining Resources National Institute for Resources and Environment 7 Regional National Industrial Research Institutes 2 Regional Institutes 7 Regional Institutes Weights and Measures Training Institute Concept for Reorganization Merging research fields and Administrative needs Type of Industry Research Areas

7. Real Policy Necessary Policy Investment (hopefully) 0 10 20 30 PROCESS Phenomenological Process of Innovation Reality Dream People’s Interest (applause) Nightmare (years) Dream by a researcher Dream by a researcher and Social expectation Disappointment and Forgetting by people Industrial Product 1983 Josef Hatvany, Hiroyuki Yoshikawa

8. dream nightmare reality Type-1 basic research Type-2 basic research Industrial development Universities Industries Research Institutes (AIST) Full Research

9. Collaboration with Private Sectors: Gaps between Research Laboratory and Industry Technology in laboratory is not always usable in industry. Technical training, Collaboration research are important to transfer know-how and to develop applied technology. AIST started “Collaboration research for utilizing IP”.

10. How can we improve our ability to create IP and promote Collaboration ?

11. Organization of AIST AIST Advisory Board President Vice Presidents AIST Fellow Auditor General Administration HQs Safety & Environment Protection Dept Evaluation Dept Planning HQs Public Relations Dept Collaboration Dept TLO AIST Innovations Research Coordinator Research Units 25 Research Centers 21 Research Institutes 5 Research Laboratories Tech. Information Dept Intellectual Property Department International Affairs Dept Research Bases Hokkaido, Tohoku, Tsukuba, Tokyo Waterfront, Chubu, Kansai, Chugoku, Shikoku, Kyushu General Administration Dept Human Resource Dept Financial Affairs Dept Tsukuba Advanced Computing Center International Patent Organism Depository Research Facilities Dept

12. IP Policies and Regulations in AIST Research Result Strategic acquisition of IPR Utilization of IPR Patent policy Technology-transfer policy Regulation for handling research result Regulation for handling Job inventions (patents, computer programs, know-how, etc.) License agreement MTA Regulation for handling Research Materials Reagent, a sample, laboratory animals (mouse etc.), prototype, etc.

13. Internal Process for Patent Application Invention Start marketing by TLO In-house patent attorney Make a specification for application Examining the possibility of start-up ventures IP Department Improvement by using priority Outsourcing evaluation and marketing to private TLOs in overseas Application to JPO Patent Assessment by ・AIST’s coordinators and technical advisors ・TLO staffs and AIST’s venture incubators Committee of International patent application Committee of strategic patent application Incentive fund for additional research PCT application

14. Collaboration Scheme in New AIST Items Former AIST New AIST Organization － Collaboration Dept., Intellectual Property Div., Venture Support Office, etc Policy Patent policy, technology transfer policy established － Licensing of IPR Based on national property concept（individual owner-ship up to 50%） Discretion left to IAI （AIST ownership） Incentive to Researchers 25％ of license fee rewarded，no upper limit （50％ up to $ 7,700） 5 - 30% of license fee，rewarded to researchers up to $ 46,000/year (30 % up to $ 3,800 , reduced to 20, 10, 5 % depending upon the fee amount） Compensation of royalty for software, etc. Utilization of TLO (AIST Innovations) Promotion of technology transfer － 3rd party usage based on the choice of joint researcher Extended utilization of research results Utilization by collaboration partner only Entrusted Research Difficult to accept Acceptable flexibly and promptly Venture support － Support provided for space, and reduced license fee

15. Licensing Process by AIST Innovations Patent, Know-how, Software CollaborationResearch Non Disclosure Agreement Information Disclosure Contract (Fee) Option Contract (Fee) Collaboration Research for Licensing Licensing Agreement Joint Licensing Agreement

16. Technology Transfer from AIST

17. AIST was founded as a bureau of ministry of commerce & industry in 1948, integrating laboratory under the ministry. Technology Transfer by former AIST(1) “Glucose Isomeraze” This enzyme makes fructose from glucose. The patent was licensed in Japan, US and Germany, and earned 14 million US$. “ETL MKIII” First transistor computer in the world, developed in 1956, led Japanese computer industry.

18. AIST provided new technology to industry and support Japanese economic growth in the latter half of 20th century. Technology Transfer by former AIST(2) “Transparent conductive films” Indium oxide thin film by vacuum deposition process, is used for liquid crystal displays and also applied to anti-icer of shields for bullet train. “Poly-acrylo-nitril (PAN) based carbon fiber” Carbon reinforced plastics are widely used for golf club shafts, fishing rods and aerospace base.

19. Top 10 Technologies base on the amount of Royalty Income Cumulative amount (million yen) 1410 690 370 240 230 210 200 170 170 150 • Technology • Isomeraze • ITO • Melibiaze • 4．Balzi forming • 5．Carbon fiber • 6．Electron beam scanning • 7．Ｎａ-ＣＭＣ • 8．Ionized electrostatic plating • 9．Color filter and LCD • 10．Rare-earth・Co metal Section Biotech. Osaka Biotech. Nagoya Osaka Electronics Materials Mechanics Materials Electronics

20. Data: AIST revenue from IP Licensing 401Mil. Yen Patent applications royalty NewAIST