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

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

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

6. ～ Organizational shift in accordance with society needs at the times ～ Merging research fields and Administrative needs 1980 1960 1970 Type of Industry Research Areas Concept for Reorganization Catching up advanced nations Aiming at Front Runner Aiming at COE Recovery from World War II Machinary Microorganic Industry Fiber & Polymer Electrical Electornic Production Science 2 Regional Institutes Mining Resources Resources & Pollution Weighing & Testing National Research Laboratory of Metrology 7 Regional Institutes Nat’l Inst.for Advanced Interdisiplinary Research Mechanical Engineering Laboratory Geological Survey of Japan Fermentation Alcohol Textile Industrial Arts Geological Survey Chemical Technology Tokyo National Research Laboratory 190 3 190 0 188 2 189 1 National Institute of Materials and Chemical Research Electrotechnical Laboratory National Institute for Resources and Environment 7 Regional National Industrial Research Institutes Weights and Measures Training Institute 194 8 Establishment of Former AIST National Institute of Bioscience and Human-Technology 1990 2000 National Institute for Advance Industrial Science and Technology History of AIST

7. PROCESS Phenomenological Process of Innovation Dream Nightmare Reality 0102030 (years) People’s Interest (applause) Dream by a researcher Dream by a researcher and Social expectation Disappointment and Forgetting by people Industrial Product 1983 Josef Hatvany, Hiroyuki Yoshikawa Necessary Policy Investment (hopefully) Real Policy

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

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

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

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

14. Promotion of technology transfer Collaboration Scheme in New AIST Patent policy, technology transfer policy established － Policy Collaboration Dept., Intellectual Property Div., Venture Support Office, etc － Organization Acceptable flexibly and promptlyDifficult to acceptEntrusted Research 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 ） Utilization of TLO (AIST Innovations) － 3 rd party usage based on the choice of joint researcher Utilization by collaboration partner only Extended utilization of research results Support provided for space, and reduced license fee － Venture support Compensation of royalty for software, etc. Incentive to Researchers Discretion left to IAI （ AIST ownership ） Based on national property concept （ individual owner- ship up to 50% ） Licensing of IPR New AISTFormer AISTItems

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

16. Technology Transfer from AIST

17. 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$. AIST was founded as a bureau of ministry of commerce & industry in 1948, integrating laboratory under the ministry. “ETL MKIII” First transistor computer in the world, developed in 1956, led Japanese computer industry.

18. Technology Transfer by former AIST(2) “Poly-acrylo-nitril (PAN) based carbon fiber” Carbon reinforced plastics are widely used for golf club shafts, fishing rods and aerospace base. “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. AIST provided new technology to industry and support Japanese economic growth in the latter half of 20 th century.

19. Top 10 Technologies base on the amount of Royalty Income Section Biotech. Osaka Biotech. Nagoya Osaka Electronics Materials Mechanics Materials Electronics Technology 1.Isomeraze 2.ITO 3.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 Cumulative amount (million yen) 1410 690 370 240 230 210 200 170 150

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