Title : INT 96-13 - JAPAN's BASIC LAW FOR SCIENCE AND TECHNOLOGY Type : International Document NSF Org: SBE / INT Date : April 26, 1996 File : int9613 The National Science Foundation's offices in Tokyo and in Paris periodically report on developments abroad that are related to the Foundation's mission. These documents present facts for the use of NSF program managers and policy makers; they are not statements of NSF policy. NSF TOKYO OFFICE Report Memorandum #96-11 April 3, 1996 JAPAN's BASIC LAW FOR SCIENCE AND TECHNOLOGY INTRODUCTION Japan's Basic Law for Science and Technology (Law No. 130) came into force on November 15, 1995, as passed by unanimous votes in both the House of Representatives and the House of Councilors. In compliance with the Law's requirement that the government establish a "Basic Plan for Science and Technology", the Prime Minister tasked the Council for Science and Technology on December 29, 1995 to develop a proposal for a Basic Plan. While no specific deadline has been set, it is expected that the Council will coordinate with relevant ministries and agencies and submit its proposal before August, in time for financial arrangements to be incorporated into the government's JFY 1997 budget proposal. BACKGROUND LEADING TO THE NEW LAW While the majority of Japanese laws are enacted based on bills submitted by the government (Cabinet), the Basic Law for S&T was unique in that the bill was introduced by Diet members (see the attached list). Apparently, the initiative for the new law was taken by members of the S&T Panel of the Liberal Democratic Party LDP). In particular, Mr. Koji Omi, a former MITI bureaucrat and past Chairman of LDP's S&T Panel, is said to have been the key driving force for this action. As regards motivating factors, the joint proposers of the bill made a statement when the bill was formally introduced to the House of Representatives on October 31, 1995, as summarized below: a) While Japan has hitherto been trying hard to "catch up" with other industrialized countries by importing advanced technologies, it is no longer possible for Japan to pursue the same practice now that Japan has joined the advanced industrialized nations. As a forerunner in economic development in the world, Japan is now expected to show her own creative power to explore new frontiers of S&T. Short in natural resources and facing a rapidly ageing population, the only way for Japan to cope with ever-intensifying international economic competition and to sustain high industrial standards and quality of life is to create new industries through development of innovative and original advanced technologies. At the same time, Japan is expected to make ever-greater contributions toward developing new technologies for resolving critical problems facing mankind, including global environmental problems, AIDS, food and energy shortages, etc. b) However, we cannot help but realize that the existing conditions for basic research in Japan are far below the standards and corresponding conditions in the United States and Europe. The research environments in universities, graduate schools and government laboratories is deplorable. For example, as of 1994, about 49% of all research facilities in Japanese national universities and about 29% of the facilities of government laboratories under the Science and Technology Agency (STA) and the Ministry of International Trade and Industry (MITI) were reported to be greater than 20 years old. Likewise, about 82% of all R&D equipment in STA and MITI laboratories have passed their expected life. Other data show that, on average, there is only 0.13 support staff per researcher in Japan, while there is 1.1 support staff per researcher in Germany and France, and 1.2 in the United Kingdom. In terms of percentage ratio of government-financed R&D expenditure against GNP, Japan registered only 0.62% in 1994 (0.53% if limited to only the natural sciences), as compared with 0.91% in the United States, 0.95% in Germany, 1.10% in France and 0.67% in the United Kingdom. Shown below is an international comparison of research funds available per researcher (an average for both natural sciences and humanities): R&D Expenditure Per Researcher (In Million Yen) Japan USA Germany France U.K. (1994) (1993) (1991) (1991) (1993) Total average: 21.2 31.5 28.3 37.1 28.1 ------------------------------------------------------- Same for only: Government labs 27.0 50.5 26.1 43.7 38.8 Universities 12.0 36.0 17.9 16.6 20.3 Private industry 25.2 29.3 33.4 48.4 29.5 ------------------------------------------------------- (Note: Foreign currencies converted to yen figures by OECD's Purchasing Power Parities. ) Another problem in Japan is the limited collaboration among researchers across different research fields and across different sectors, i.e., universities, government labs and private companies. Moreover, the recent trend of young people alienating themselves from science poses serious long-range problems. c) In view of the existing poor state of R&D environments in Japan, we believe it is a matter of extreme importance for Japan to recognize S&T as the key for achieving further economic and social development and for sustaining or improving the quality of life in this country. We hereby propose enactment of a basic law so as to establish Japan's basic policies for the positive promotion of S&T through development and implementation of well-integrated and well-planned measures. TEXT OF THE LAW What follows is an unofficial translation of the full text of the Law, as provided by STA. The Science and Technology Basic law (Unofficial Translation) (Law No. 130 of 1995. Effective on November 15, 1995) Table of Contents Chapter 1 General Provisions (Articles 1-8) Chapter 2 Science and Technology Basic Plan (Article 9) Chapter 3 Promotion of Research and Development (Articles 10-17) Chapter 4 Promotion of International Exchange (Article 18) Chapter 5 Promotion of Learning on S&T (Article 19) Supplementary Provision Chapter 1 General Provisions (Objective) Article 1 The objective of this law is to achieve a higher standard of science and technology (hereinafter referred to as "S&T"), to contribute to the development of the economy and society in Japan and to the improvement of the welfare of the nation, as well as to contribute to the progress of S&T in the world and the sustainable development of human society, through prescribing the basic policy requirements for the promotion of S&T (excluding those relevant only to the humanities in this law) and comprehensively and systematically promoting policies for the progress of S&T. (Guidelines for Promotion of S&T) Article 2 S&T shall be actively promoted in harmony with human life, society and nature with the recognition that the creativity of researchers and technicians (hereinafter referred to as "Researchers") can be fully developed, in consideration of the fact that S&T provides the basis for the future development of Japan and human society and that the accumulation of knowledge on S&T is the intellectual asset common for all mankind. 2 In the promotion of S&T, the improvement of balanced ability of research and development (hereinafter referred to as "R&D) in various fields, harmonized development among basic research, applied research and development and organic cooperation of national research institutes, universities (including graduate schools in this law) and private sector etc. should be considered, and in consideration of the fact that the mutual connection between natural science and the humanities is essential for the progress of S&T, attention should be paid to the balanced development of both. (Responsibility of the Nation) Article 3 The nation is responsible for formulating and implementing comprehensive policies with regard to the promotion of S&T. (Responsibility of Local Governments) Article 4 The local governments are responsible for formulating and implementing policies with regard to the promotion of S&T corresponding to national policies and policies of their own initiatives in accordance with the characteristics of their jurisdictions. (Necessary Consideration to be given by the Nation and Local Governments in Formulating Policies) Article 5 In formulating and implementing policies with regard to the promotion of S&T, the nation and local governments shall pay attention to the importance of their roles in promoting basic research and consider that basic research has the following characteristics: (i) It could bring about discovery and elucidation of new phenomena and make the creation of novel technologies possible; (ii) Forecasting its results at the outset of research is difficult; and (iii) The results are not necessarily directly connected to practical applications. (Necessary Consideration in Policies with regard to Universities) Article 6 In formulating and implementing policies related to universities and Inter-university Research Institutes (hereinafter referred to as "Universities"), with regard to the promotion of S&T, the local and national governments shall make an effort to activate research in Universities, respect the autonomy of Researchers and consider the characteristics of research in Universities. (Legislative and other Measures) Article 7 The Government shall take the appropriate legislative, fiscal, financial and other necessary measures required to implement the policies with regard to the promotion of S&T. (Annual Report) Article 8 The Government shall annually submit a report on the policy measures implemented with regard to the promotion of S&T to the National Diet Chapter 2 S&T Basic Plan Article 9 The Government shall establish a basic plan for the promotion of S&T (hereinafter referred to as "Basic Plan") in order to comprehensively and systematically implement policies with regard to the promotion of S&T. 2 The Basic Plan shall stipulate the following matters: (i) The comprehensive plans for the promotion of R&D (the term "R&D" means basic, applied and developmental researches and includes technology development in this law.); (ii) The policies taken comprehensively and systematically by the Government with regard to the installation of R&D facilities and equipment (hereinafter referred to as "Facilities"), the promotion of information intensive R&D activities and the maintenance of the necessary environment for the promotion of R&D; and (iii) Other matters required to promote S&T. 3 The Government shall consult the Council for Science and Technology on the Basic Plan prior to formulation. 4 The Government shall consider the progress of S&T and the effect of policies taken by the Government with regard to the promotion of S&T, examine the Basic Plan properly, and revise it if necessary. The preceding paragraph shall also apply in the case of revisions. 5 When formulating the Basic Plan in accordance with paragraph 1 above or revising it in accordance with the preceding paragraph, the Government shall publish the summary of the Basic Plan. 6 In order to secure necessary funds for the implementation of the Basic Plan, every fiscal year the Government shall take the necessary measures for the smooth implementation of the Basic Plan such as including the necessary fund in the budget within the limits of national financial status. Chapter 3 Promotion of R&D (Balanced Promotion of various levels of R&D) Article 10 The nation should implement necessary policy measures for the balanced promotion of various levels of R&D in comprehensive fields as well as take necessary measures for the planning and implementation of R&D in the specific fields of S&T where the nation considers further promotion important. (Securing Researchers) Article 11 The nation should implement necessary policy measures to improve education and research in graduate schools, to secure and train Researchers and to improve their quality in order to promote R&D corresponding to the progress of S&T. 2 The nation should implement necessary policy measures to improve the occupational conditions of Researchers in order for their positions to be attractive commensurate with their importance. 3 In consideration of the fact that R&D supporting personnel are essential for the smooth promotion of R&D, the nation should implement necessary policy measures corresponding to the preceding two paragraphs in order to secure and train them and to improve their quality of service a long with their occupational conditions. (Improvement of Facilities) Article 12 The nation should implement necessary policy measures to improve research facilities of R&D institutions (the term "R&D institutions" is defined as national research institutes and institutions for R&D in Universities, private sector and so on in this law) in order to promote R&D corresponding to the progress of S&T. 2 The nation should implement necessary policy measures to upgrade supporting R&D functions such as supplying research materials smoothly in order to promote R&D effectively. (Promotion of Information Intensive R&D) Article 13 The nation should take necessary policies to promote information intensive R&D activities such as the advancement of information processing in S&T, the maintenance of databases on S&T and the construction of information networks among R&D institutions in order to promote R&D effectively. (Promotion of Exchange in R&D) Article 14 The nation should implement necessary policy measures for the promotion of R&D to enhance various exchanges such as the exchange of Researchers, joint R&D of R&D institutions and joint use of Facilities of R&D institutions, in consideration of the fact that promoting the fusion of various Researchers' knowledge through exchanges between R&D institutions and/or Researchers is the source of new R&D progress and that this exchange is essential for the effective promotion of R&D. (Effective use of R&D funds) Article 15 The nation should implement necessary policy measures to use R&D funds effectively corresponding to the progress of R&D in order to promote R&D smoothly. (Making public the results of R&D) Article 16 The nation should implement necessary policy measures to diffuse the results of R&D, such as the publication of the results of R&D and the provision of the information on R&D and measures to promote appropriate practical applications of them. (Support of efforts by private enterprises) Article 17 In consideration of the importance of the role played by the private sector in S&T activities in Japan, the nation should implement necessary policy measures to promote private sector R&D by encouraging initiatives in the private sector. Chapter 4 Promotion of International Exchange Article 18 The nation should implement necessary policy measures to promote international exchange such as international exchange of Researchers, international joint R&D and international distribution of information on S&T, in order to play an active role in international society, as well as to contribute to further progress in S&T in Japan, by intensely promoting international S&T activities. Chapter 5 Promotion of Learning on S&T Article 19 The nation should implement necessary policy measures to promote the learning of S&T in school and social education, to enlighten the people in S&T and to disseminate knowledge on S&T, so that all Japanese people including the young can deepen their understanding of and interest in S&T with every opportunity. Supplementary Provision This law shall enter into force on the day of its promulgation. [Note: This English language version of this law is a translation of an original document produced in Japanese. Any questions that may arise about the interpretation of the law shall be resolved based on the original Japanese document.] SUPPLEMENTARY RESOLUTION A supplementary resolution was added to the Law by both Houses, providing for the following: 1) The Basic Plan for S&T to be developed by the government shall be for the next five years, based on projections for the next ten years or so. The Basic Plan shall be specific, as far as possible, in terms of the scale of various policy measures to be taken, so as to permit a radical expansion of R&D investment by the government to achieve the goal of establishing Japan as a state built upon the basis of creative S&T. 2) In view of the important roles to be played by the private sector in Japan's R&D endeavors, the Basic Plan for S&T shall include provisions for radical expansion of measures to promote R&D in the private sector. 3) In order to achieve radical expansion of original and innovative basic research, steps shall be taken to increase flexibility and streamline university and government laboratory systems for the provision of human resources and funds, and for publishing R&D findings. 4) Efforts shall be made to provide ever-greater contributions toward the cause of world peace, based on the basic ideal of the Constitution of Japan for a peaceful state. 5) In view of the added responsibility of the Prime Minister's Council for S&T for formulating and promoting the Basic Plan for S&T, efforts shall be made to radically expand and activate the Council, and to increase inter-agency cooperation among all the agencies concerned with R&D in S&T. CHRONOLOGY OF EVENTS LEADING TO ENACTMENT OF THE LAW March 1994: At a meeting of the S&T Panel of the LDP, Mr. Koji Omi, then Panel Chairman, and his colleagues started discussing the need for enacting a basic law for S&T. December 1994: LDP's S&T Panel established a task force for the S&T Basic Law, and invited Diet members from both the coalition parties and the opposition New Frontier Party (NFP) to join in the discussions. May 1995: The coalition parties, namely LDP, the Social Democratic Party of Japan (SDPJ), and the New Party Sakigake (NPS), jointly established a Project Team for the S&T Basic Law, with Mr. Kisaburo Tokai, serving as team leader. October 1995: The Project Team decided on a draft bill, incorporating suggestions from members of the NFP. Oct. 20, 1995: The draft bill was approved by the Policy Coordination Council of the coalition parties for submission to the then on-going 134th Extraordinary Session of the Diet. Oct. 27, 1995: The draft bill was approved by the "Tomorrow Cabinet" of the NFP for submission to the 134th Extraordinary Session of the Diet. The bill was then presented to the Diet jointly by members representing LDP, SDPJ, NPS, and NFP. Oct. 31, 1995: The bill was reviewed by the House Committee on S&T in the House of Representatives and was approved unanimously for forwarding to the House Plenary Meeting. The House Plenary Meeting approved the bill by unanimous vote. Nov. 1, 1995: The bill was reviewed by the Special Committee on S&T in the House of Councilors, and was approved for forwarding to the Plenary Meeting of the House of Councilors. At the Plenary Meeting, the bill was passed into law by unanimous vote. Nov. 15, 1995: The Law was promulgated for enforcement as Law No. 130 of 1995. LIST OF DIET MEMBERS NAMED AS JOINT PROPOSERS OF THE BILL Bill Introduced by: OMI, Koji (LDP), Former Chairman, LDP S&T Panel AIZAWA, Ichiro (LDP) (Member, House Comrce.&Ind.Commt.) HARADA, Shouzo (LDP) (Member, House S&T Committee) IMAMURA, Osami (SDPJ) (Member, House S&T Committee) OGAWA, Hajime (LDP) (Chairman, LDP Education Panel) TOKAI, Kisaburo (NPS) (Vice Chairman, LDP S&T Panel) EDA, Satsuki (NFP) (Former STA Minister) OHMI, Mikio (NFP) (Former STA Minister) SAMEJIMA, Muneaki (NFP) Introduction of the Bill Seconded by: AMARI, Akira (LDP) HOSODA, Hiroyuki (LDP) INABA, Yamato (LDP) KATAOKA, Takeshi (LDP) KUMASHIRO, Akihiko (LDP) KURIMOTO, Shinichiro (LDP-LL) MOGI, Toshimitsu (LDP) NAKAJIMA, Yojiro (LDP) NODA, Seiko (LDP) OKONOGI, Hachiro (LDP) ONO, Shinya (LDP) SAKAI, Takanori (LDP) SATO, Tatsuo (LDP) TANOSE, Ryotaro (LDP) USUI, Hideo (LDP) KOSHIISHI, Azuma (SDPJ) MATSUMAE, Aogu (SDPJ) SAWAFUJI, Reijiro (SDPJ) WADA, Sadao (SDPJ) HATOYAMA, Yukio (NPS) IGARASHI, Fumihiko (NPS) FUJIMURA, Osamu (NFP) FUKUSHIMA, Yutaka (NFP) FUKUTOME, Taizo (NFP) ISHIDA, Katsuyuki (NFP) NISHI, Hiroyoshi (NFP) SASAKI, Ryuzou (NFP) UEDA, Akihiro (NFP) UEDA, Kiyoshi (NFP) Note: LDP = Liberal Democratic Party LDP-LL= Liberal Democratic Party-Liberal League SDPJ = Social Democratic Party of Japan NPS = New Party Sakigake NFP = New Frontier Party - ------------------------------------------------------- NSF/Tokyo: M. MIYAHARA and A. CHIBA