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1
OFFICE OF CABINET AFFAIRS STAFFING MEMORANDUM
Date: 4-15-91
Due by: FyI
Subject: oniB circulation; H. Science Subcomittee on Technology
From: Hollywilliamson
Subcommittee markup on Amer. Technology
Preemine Act
ACTION CONCUR FYI
ACTION CONCUR FYI
HOLIDAY
FITZHENRY seeso2 See
52
DANZANSKY
MCMUNN
ADAIR
PORTER
BUCHHOLZ
SCHALL
CASSE See p.50-52 F
SECHLER
EVANS
WETHINGTON
FARRAR
WILLIAMSON
GUNN
HEIMBACH
JACKSON
Comments:
FyI.
file:
Science Technology j (SOD
( OFFICE OFFICE SECIDENT STATE UNITED
EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON. D.C. 20503
APR 12 1991
LEGISLATIVE REFERRAL MEMORANDUM
LRM #M-155
TO: Legislative Liaison Officer:
COMMERCE - - Michael A. Levitt - 377-3151 - 324
CEA - Francine Obermiller - 395-5036 - 242
STATE - Will Davis - 647-4463 - 225
TRANSPORTATION Tom Herlihy - 366-4687 - 226
EDUCATION - John Kristy - 401-2670 - 207
OPM - James N. Woodruff 606-1424 - 331
OSTP - Damar Hawkins - - 456-6272 - 288
USTR David Weiss - 395-3475 - 223
TREASURY - Richard S. Carro - 566-8523 - 228
JUSTICE - Paul McNulty - - 514-2061 - 217
ENERGY - Bob Rabben - 586-6718 - 209
DEFENSE - - Samuel T. Brick, Jr. - 697-1305 - 325
COMPET. COUNCIL - - 456-6614 -
NCLIS - Jane Williams - 254-3100 - 278
NASA - Martin P. Kress - 453-1948 - 219
NSF Charles H. Herz - 357-9435 - 248
GSA - Lonnie P. Taylor - 501-0563 - 237
AGRICULTURE - Marvin Shapiro - 382-1272 - 312
HHS - Frances White - 245-7760 - 328
EPA - Thomas C. Roberts - 382-5414 - 326
SUBJECT: H. SCIENCE SUBCOMMITTEE ON TECHNOLOGY
Subcommittee Markup on American Technology
Preeminence Act of 1991
The subcommittee markup and 3 amendments that were
*
adopted are attached. The Department of Commerce
*
is preparing a views letter on this bill for
submission to the full Science Committee. It will
be circulated for comment shortly.
DEADLINE: Thursday APR 18 1991
The Office of Management and Budget requests the views of your
agency on the above subject before advising on its relationship to
the program of the President, in accordance with OMB Circular A-19.
Please advise us if this item will affect direct spending or
receipts for purposes of the "Pay-As-You-Go" provisions of Title
XIII of the Omnibus Budget Reconciliation Act of 1990.
Questions should be referred to Constance BOWERS (395-3457),
the legislative analyst/attorney for this item.
You may respond to this request for views by: (1) faxing us the
attached response sheet; (2) if the response is simple (e.g.,
concur/no comment), leaving a message with the secretary of the
above-named analyst/attorney; (3) calling the analyst/attorney;
or (4) sending us a memo or letter.
James C. Takes
JAMES J. JUKES (for)
Assistant Director for
Legislative Reference
CC:
David Gold
Nancy Schwartz
Ken Kelly
Al Hubbard
Holly Williamson
Rob Chess
Boyden Gray
Bob Damus
Ken Schwartz
Norine Noonan
Greg Henry
Bill Coleman
Bob Ridout
Bruce McConnell
Tom Dorsey
Joe Hezir
Cora Beebe
Rob Fairweather
LRM #M-155
RESPONSE TO LEGISLATIVE REFERRAL MEMORANDUM
TO:
Constance BOWERS
Office of Management and Budget
Fax Number: 395-3109
Phone Number: 395-3457
(Date)
FROM:
(Name)
(Agency)
(Telephone)
SUBJECT: H. SCIENCE SUBCOMMITTEE ON TECHNOLOGY
Subcommittee Markup on American Technology
Preeminence Act of 1991
The following is the response of our agency to your request for
views on the above-captioned subject:
Concur
No objection
No comment
See proposed edits on pages
Other:
AMERICAN TECHNOLOGY PREEMINENCE ACT OF 1991
Background and Summary
The Subcommittee on Technology and Competitiveness will mark up an
updated version of the American Technology Preeminence Act of 1990,
which was introduced by Members of the Science, Space, and Technology
Committee during the 101st Congress after a series of over twenty hearings
related to the status of U.S. technological competitiveness in the world
marketplace. The updated version of the bill authorizes appropriations for
the Department of Commerce's Technology Administration programs totaling
$347,500 for FY 1992, and includes funding for the Office of the Under
Secretary for Technology, the National Institute of Standards and
Technology, the Advanced Technology Program, and the National Technical
Information Service (NTIS). The draft bill also authorizes funding levels for
fiscal year 1991 totaling $289,728.
For fiscal year 1992, the Administration has proposed $5 million for the
Office of the Under Secretary for Technology, which represents an $800,000
increase over FY 1991 appropriated funds; 0 funding for the National
Technical Information Service; and $248 million for the National Institute of
Standards and Technology, compared to $215 million in FY 1991, which
includes $201.8 million for the traditional intramural laboratory research
programs and $46.2 million for the extramural outreach programs mandated in
the Trade Bill to help U.S. industry to become more competitive. Of the
$46.2 million, the Advanced Technology Program has been frozen at the FY
1991 level of $35.9 million, the State Technology Extension Program, funded
at $1.3 million in FY 1991, has been phased out, and the Manufacturing
Technology Centers, funded at $11.9 million in FY 1991, has been decreased
to $10.3 million. Other decreases totaling, $750,000, include -$600,000 for
the building and fire research centers, and -$150,000 to phase out the
non-energy-related inventions program.
For fiscal year 1992, the Subcommittee draft bill proposes $9 million for the
Office of the Under Secretary for Technology, which includes $1.5 for the
Japanese Technical Literature Program, SI million for the Clearinghouse on
State and Local Initiatives, $1.5 million for the National Technical Information
Service to carry out its modernization plan, and $6 million for the Office of
the Under Secretary. For fiscal year 1991, $6.5 million is proposed.
For the National Institute of Standards and Technology, the Subcommittee
draft bill for fiscal year 1991 includes $166.2 million for the intramural
programs and $117 million for the extramural programs, including $100 million
for the Advanced Technology Program. For fiscal year 1992, $211 million is
proposed for the intramural programs and $127.5 million for the extramural
programs, including $100 million for the Advanced Technology Program. This
reflects the concern of various Committee Members that NIST has been
grossly underfunded over the years, given its major responsibilities for
support of this Country's industrial base. During the 1980s, NIST programs
have been frozen more often than not without adjustments for inflation, and
in terms of real purchasing power they have shrunk significantly. NIST's
metrology research provides the measurement base American business needs
to manufacture the quality products now required to compete in the world
marketplace. It also reflects the Administration's decision that NIST's
long-term budget should double by 1996. NIST'S own budget proposal to the
Department of Commerce recommended $436.5 million for NIST, including
$110 million for the Advanced Technology Program.
The American Technology Preeminence Act also establishes a Presidential
Commission on Reducing Capital Costs for Emerging Technology to
recommend legislative changes to lower the cost of capital in developing
technologies; a Commission on Research, Development Technology Utilization
and Government Procurement Policy to recommend changes in government
purchasing law; establishes a High Resolution Information Systems Board to
increase the cooperation of Government and industry in high resolution
information systems; strengthens the biennial OSTP report which identifies
critical civilian technologies which will be important to the U.S. economy
during the ten years following the report; and authorizes a number of studies
to address technology policy issues. Recommended language and technical
changes have also been made to the bill to conform it to present public law.
COMPETITIVENESS BILL SUMMARY
AMERICAN TECHNOLOGY PREEMINENCE ACT OF 1991
Title 1.
This title authorizes each of the programs of the Technology
Administration. For the activities of the Office of the Under
Secretary For Technology, $6.5 million is authorized for FY
1991, which includes $1.3 million for the Office of the Under
Secretary, $2.7 million for Technology Policy, $1.0 million for
Japanese Technical Literature, $1.0 million for the
Clearinghouse on State and Local Initiatives and $500,000
for the modernization of the National Technical Information
Service. For FY 1992, $9.0 million is authorized which
includes, $1.6 million for the Office of the Under Secretary,
$3.4 million for Technology Policy, $1.5 million for Japanese
Technical Literature, $1.0 million for the Clearinghouse on
State and Local Initiatives, and $1.5 million is provided for the
modernization of the National Technical Information Service.
For the National Institute of Standards and Technology
(NIST), the authorization levels for the intramural scientific
and technical research and services activities are $166.2
million for FY 1991 and $211 million for FY 1992, and for
the extramural industrial technology services program, $117
million for FY 1991 and $127.5 million for FY 1992, which
includes $15 million in FY 1991 and $25 million in FY 1992
for Regional Centers for the Transfer of Manufacturing
Technology with the assumption that new centers will be
started each of the two fiscal years; $2 million in FY 1991
and $2.5 million in FY 1992 is provided for the State
Technology Extension Program; and $100 million is authorized
for each of the 1991 and 1992 fiscal years for the Advanced
Technology Program. This title also provides start-up
matching finds for a program to place U.S. standards experts
in developing nations to make sure that those nation's
standards codes permit the marketing of U.S.-designed
products. The fire research and building technology programs
are combined for administrative purposes only, with separate
budget accounts to be maintained, and a report on the
results of the combination is required. A provision authorizing
NIST and the Federal Aviation Administration to undertake a
joint research program to develop an all-fire resistant aircraft
cabin interior has been added. The NIST Organic Act is
amended to provide NIST with authority to manage its
scientific and technical fellowship programs and to recruit and
employ highly qualified foreign nationals who have advanced
degrees from U.S. universities and have filed to become U.S.
citizens. The National Advisory Commission on
Semiconductors is extended through FY 1992.
1
Title II.
This title is cited as the "Emerging Technologies and
Advanced Technology Program Amendments Act of 1991 and
provides statutory language for assistance to solve generic
technology and manufacturing problems in emerging
technology fields including high resolution information
systems and advanced materials research and development,
but specific spending levels are not designated for specific
technologies. Conditions under which a company can
participate in the Advanced Technology Program are set out.
A comprehensive report is required 4 years after enactment
of the law of the activities of the Advanced Technology
Program.
Title III.
This title makes the funding for the Federal Laboratory
Consortium permanent, extends federal patent law to the
legislative branch, and authorizes appropriated funds to carry
out administrative responsibililties under the Malcolm Baldrige
Quality Improvement Act.
Title IV.
A Presidential Commission on Reducing Capital Costs for
Emerging Technology is established to develop legislative
recommendations to increase the competitiveness of U.S.
industry by encouraging investment in quality, product and
process improvements, and new product development and
marketing. A report to the President and the Congress is
required one year after enactment of the Act.
Title V.
This title establishes a High Resolution Information Systems
Board within the Office of Science and Technology Policy to
increase the cooperation of Government and industry in high
resolution information systems. This title strengthens the
biennial OSTP report which identifies critical civilian
technologies which will be important to the U.S. economy
during ten years following the report. It also requires reports
on quality, on competitive research, on international
standards, and on coordination of high resolution information
system purchases by the Government. A Commission on
Research, Development, Technology Utilization, and
Government Procurement Policy, which will make
recommendations on how to change governmental purchasing
law and procedures to ensure that emerging technologies are
encouraged through these purchases, is established. This title
also requires the Department of Commerce to study the
feasibility of creating a Federal On-line Information Product
Catalog to be an authoritative register of governmental
information products and services disseminated by the
Federal government and to assist agencies and the public in
locating Federal government information. The National
Academies are asked to undertake a review of U.S. activities
related to testing and certification of products made for
export.
Title VI.
This title requires NIST to implement a voluntary
accreditation program to be used in the evaluation and
2
detection of lead in paint films, soil and dust, and to
establish performance criteria and standards for lead paint
encapsulants and strippers within 2 years of enactment of
this Act.
3
-/-/
TB081
H. Science S/c on Fennology HLC
4/10/91 Markey
102D CONGRESS
1ST SESSION
H. R.
IN THE HOUSE OF REPRESENTATIVES
Mr. VALENTINE introduced the following bill; which was referred
to the Committee on
A BILL
To enhance the position of United States industry through
application of the results of Federal research and development,
and for other purposes.
I
Be it enacted by the Senate and House of Representatives
2 of the United States of America in Congress assembled,
TB081
4/10/91 H. Science Subentlee on
2 Technology Markup
1 SECTION 1. SHORT TITLE.
2
This Act may be cited as the American Technology
3 Preeminence Act of 1991
4
TITLE I--DEPARTMENT OF COMMERCE RESEARCH AND TECHNOLOGY
5 SEC. 101. SHORT TITLE.
6
This title may be cited as the Technology
7 Administration Authorization Act of 1991
8 SEC. 102. STATEMENT OF POLICY.
9
Congress finds that in order to help United States
10 industries to speed the development of new products and
11 processes so as to maintain the economic competitiveness of
12 the Nation, it is necessary to strengthen the programs and
13 activities of the Department of Commerce Technology
14 Administration and National Institute of Standards and
15 Technology.
16 SEC. 103. TECHNOLOGY ADMINISTRATION.
17
(a) FISCAL YEAR 1991. There are authorized to be
18 appropriated to the Secretary of Commerce (hereafter in this
19 Act referred to as the Secretary ), to carry out the
20 activities of the Under Secretary for Technology (hereafter
21 in this Act referred to as the Under Secretary ) and the
22 Assistant Secretary for Technology Policy, $6,500,000 for
23 fiscal year 1991, which shall be available for the following
24 line items:
TB081
3
1
(1) Office of the Under Secretary, $1,300,000.
2
(2) Technology Policy, $2,700,000.
3
(3) Japanese Technical Literature, $1,000,000.
4
(4) Clearinghouse on State and Local Initiatives on
5
Productivity, Technology, and Innovation, $1,000,000.
6
(5) National Technical Information Service, $500,000
7
to carry out the modernization plan described in section
8
212 (f) (3) (D) of the National Technical Information Act of
9
1988 (15 U.S.C. 3704b (f) (3) (D)
10
(b) FISCAL YEAR 1992.--There are authorized to be
11 appropriated to the Secretary, to carry out the activities of
12 the Under Secretary and the Assistant Secretary for
13 Technology Policy, $9,000,000 for fiscal year 1992, which
14 shall be available for the following line items:
15
(1) Office of the Under Secretary, $1,600,000.
16
(2) Technology Policy, $3,400,000.
17
(3) Japanese Technical Literature, $1,500,000.
18
(4) Clearinghouse on State and Local Initiatives on
-19
Productivity, Technology, and Innovation, $1,000,000.
20
(5) National Technical Information Service,
21
$1,500,000 to carry out the modernization plan described
22
in section 212 ( f ) (3) (D) of the National Technical
23
Information Act of 1988 (15 U.S.C. 3704b ( f ) (3) (D)
24
(c) OPERATING COSTS.--Operating costs for the National
25 Technical Information Service associated with the
TB081
4
1 acquisition, processing, storage, bibliographic control, and
2 archiving of information and documents shall be recovered
3 primarily through the collection of fees.
4
(d) REPORT AND CERTIFICATION TO CONGRESS. Within 90 days
5 after the date of enactment of this Act, the Secretary of
6 Commerce shall submit to Congress a report which--
7
(1) describes the Department of Commerce's response
8
to the Inspector General's Report No. ATD-024-0-001;
9
(2) includes a revised detailed modernization plan
10
for the National Technical Information Service;
11
(3) contains a business plan for the National
12
Technical Information Service which includes detailed
13
profit and loss analysis for groups of products and
14
services and for major market segments; and
15
(4) certifies that the National Technical Information
16
Service has--
17
(A) employed a chief financial officer who is a
18
certified public accountant with experience in the
19
dissemination of scientific and technical
20
information; and
21
(B) begun taking reasonable steps toward
22
strengthening its accounting system in response to
23
the Inspector General's report described in paragraph
24
(1).
25
(e) TECHNICAL AMENDMENT. -Section 5422(a) of the Omnibus
TB081
5
1 Trade and Competitiveness Act of 1988 (15 U.S.C. 4603a(a))
2 and section 273(c)(4) of the National Defense Authorization
3 Act for Fiscal Years 1988 and 1989 (15 U.S.C. 4603(c)(4)) are
4 each amended by striking Economic Affairs and inserting
5 in lieu thereof Technology .
6 SEC. 104. NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY.
7
(a) FISCAL YEAR 1991.-(1) There are authorized to be
8 appropriated to the Secretary, to carry out the intramural
9 scientific and technical research and services activities of
10 the National Institute of Standards and Technology (hereafter
II in this Act referred to as the Institute ), $166,228,000
12 for fiscal year 1991, which shall be available for the
13 following line items:
14
(A) Electronics and Electrical Measurements,
I5
$21,273,000.
16
(B) Manufacturing Engineering, $8,266,000.
17
(C) Chemical Science and Technology, $18,617,000.
18
(D) Physics, $25,522,000.
19
(E) Materials Science and Engineering, $26,495,000.
20
(F) Building and Fire Research, $9,821,000.
21
(G) Computer Systems, $11,819,000.
22
(H) Applied Mathematics and Scientific Computing,
23
$5,847,000.
24
(I) Technology Assistance, $8,978,000.
25
(J) Research Support Activities, $29,590,000.
TB081
6
1
(2) (A) Of the total of the amounts authorized under
2 paragraph (1), $2,000,000 are authorized only for steel
3 technology.
4
(B) Of the amount authorized under paragraph (1) (I)
5
(i) $150,000 are authorized only for the evaluation
6
of nonenergy-related inventions and related technology
7
extension activities;
8
(ii) $250,000 are authorized only for Institute
9
participation in the pilot program established under
10
subsection (e); and
II
(iii) $1,700,000 are authorized only for the
12
Institute S management of the extramural funding programs
13
authorized under section 105.
14
(C) Of the total amount authorized under paragraph
IS (1) (J), $7,223,000 are authorized only for the technical
16 competence fund.
17
(b) FISCAL YEAR 1992.--(1) There are authorized to be
18 appropriated to the Secretary, to carry out the intramural
$19 scientific and technical research and services activities of
20 the Institute, $211,000,000 for fiscal year 1992, which shall
21 be available for the following line items:
22
(A) Electronics and Electrical Measurements,
23
$34,000,000.
24
(B) Manufacturing Engineering, $13,500,000.
25
(C) Chemical Science and Technology, $22,000,000.
TB081
7
1
(D) Physics, $27,000,000.
2
(E) Materials Science and Engineering, $30,000,000.
3
(F) Building and Fire Research, $12,300,000.
4
(G) Computer Systems, $16,000,000.
5
(H) Applied Mathematics and Scientific Computing,
6
$6,500,000.
7
(I) Technology Assistance, $11,000,000.
8
(J) Research Support Activities, $38,700,000.
9
(2) (A) Of the total of the amounts authorized under
10 paragraph (1), $2,000,000 are authorized only for steel
11 technology.
12
(B) Of the amount authorized under paragraph (1)(I)--
13
(i) $500,000 are authorized only for the evaluation
14
of nonenergy-related inventions and related technology
15
extension activities;
16
(ii) $250,000 are authorized only for Institute
17
participation in the pilot program established under
18
subsection (e); and
19
(iii) $2,700,000 are authorized only for the
20
Institute's management of the extramural funding programs
21
authorized under section 105.
22
(C) Of the total amount authorized under paragraph
23 (1) (J), $7,565,000 are authorized only for the technical
24 competence fund.
25
(c) TRANSFERS.-- (1) Funds may be transferred among the
TB081
8
1 line items listed in subsection (a) (1) and among the line
2 items listed in subsection (b) (1), so long as the net funds
3 transferred to or from any line item do not exceed 10 percent
4 of the amount authorized for that line item in such
5 subsection and the Committee on Commerce, Science, and
6 Transportation of the Senate and the Committee on Science,
7 Space, and Technology of the House of Representatives are
8 notified in advance of any such transfer.
9
(2) The Secretary may propose transfers to or from any
10 line item listed in subsection (a) (1) or subsection (b) (1)
II exceeding 10 percent of the amount authorized for such line
12 item, but such proposed transfer may not be made unless--
13
(A) a full and complete explanation of any such
14
proposed transfer and the reason therefor are transmitted
15
in writing to the Speaker of the House of
16
Representatives, the President of the Senate, and the
I7
appropriate authorizing Committees of the House of
18
Representatives and the Senate, and
-19
(B) 30 calendar days have passed following the
20
transmission of such written explanation.
21
(d) RELATION TO OTHER AUTHORIZATIONS. Except for
22 authorizations provided in the Omnibus Trade and
23 Competitiveness Act of 1988 (Public Law 100-418; 102 Stat.
24 1448) and the Steel and Aluminum Energy Conservation and
25 Technology Competitiveness Act of 1988 (15 U.S.C. 5101 et
TB081
9
1 seq.), this Act contains the complete authorizations of
2 appropriations for the Institute for fiscal year 1992.
3
(e) PILOT PROGRAM. Pursuant to the authorizations
4 contained in subsections (a) (1) (I) and (b) (1) (I), the
5 Secretary is authorized to pay the Federal share of the cost
6 of establishing and carrying out a pilot program under
7 section 112 of the National Institute of Standards and
8 Technology Authorization Act for Fiscal Year 1989 (15 U.S.C.
9 272 note). The purpose of the pilot program is to assist a
10 country or countries that have requested assistance from the
11 United States in the development of comprehensive industrial
12 standards by providing the continuous presence of United
13 States personnel on-site for a period of 2 or more years to
14 provide such assistance and by providing, as necessary,
15 additional technical support from within the Institute. Such
16 funds may be obligated for such purpose only to the extent of
17 matching funds from sources outside the Federal Government.
18
(f) CONSTRUCTION OF FACILITIES. Section 14 of the
19 National Institute of Standards and Technology Act (15 U.S.C.
20 278d) is amended by striking herein: and all that
21 follows, and inserting in lieu thereof herein.
22
(g) FIRE AND BUILDING PROGRAMS. The fire research and
23 building technology programs of the Institute shall be
24 combined for administrative purposes only, and separate
25 budget accounts for fire research and building technology
TB081
10
1 shall be maintained. No later than December 31, 1991, the
2 Secretary, acting through the Director of the Institute,
3 shall report to Congress on the results of the combination,
4 on efforts to preserve the integrity of the fire research and
5 building technology programs, on the long-range basic and
6 applied research plans of the two programs, on procedures for
7 receiving advice on fire and earthquake research priorities
8 from constituencies concerned with public safety, and on the
9 relation between the combined program at the Institute and
10 the United States Fire Administration.
11
(h) AIRCRAFT FIRE RESEARCH (1) The Secretary, acting
12 through the Director of the Institute, and the Administrator
13 of the Federal Aviation Administration shall jointly prepare
14 a plan for a research program to develop the fire technology
15 and materials necessary for the development of an all fire
16 resistant aircraft cabin interior. Such plan shall include
17 funding requirements, a brief description of the necessary
18 research projects, and a schedule for completion of each such
19 research project, and shall be submitted to the Congress
20 within 1 year after the date of enactment of this Act.
21
(2) Subject to the availability of appropriations, the
22 Secretary, acting through the Director of the Institute, and
23 the Administrator of the Federal Aviation Administration
24 shall jointly carry out the research program described in the
25 plan prepared under paragraph (1).
TB081
11
I
(i) EDUCATIONAL PROGRAMS. (1) Section 18 of the National
2 Institute of Standards and Technology Act (15 U.S.C. 278g-1))
3 is amended by striking the period at the end of the first
4 sentence and inserting in lieu thereof , and to United
5 States citizens for research and technical activities on
6 Institute programs. .
7
(2) Section 17 of the National Institute of Standards and
8 Technology Act (15 U.S.C. 278g) is amended by adding at the
9 end the following new subsection:
10
(d) For any scientific and engineering disciplines for
11 which there is a shortage of suitably qualified and available
12 United States citizens and nationals, the Secretary is
13 authorized to recruit and employ in scientific and
14 engineering fields at the Institute foreign nationals who
15 have been lawfully admitted to the United States for
16 permanent residence under the Immigration and Nationality Act
17 and who intend to become United States citizens. Employment
18 of a person under this paragraph shall not be subject to the
19 provisions of title 5, United States Code, governing
20 employment in the competitive service, or to any prohibition
21 in any other Act against the employment of aliens, or against
22 the payment of compensation to them.
23 SEC. 105. EXTRAMURAL PROGRAMS OF THE INSTITUTE.
24
(a) FISCAL YEAR 1991. In addition to any sums otherwise
25 authorized under this Act, there are authorized to be
TB081
12
1
appropriated to the Secretary, to carry out the extramural
2 industrial technology services programs of the Institute
3 created under sections 25, 26, and 28 of the National
4 Institute of Standards and Technology Act (15 U.S.C. 278k,
5 2781, and 278n), $117,000,000 for fiscal year 1991, which
6 shall be available for the following line items:
7
(1) Regional Centers for the Transfer of
8
Manufacturing Technology, $15,000,000.
9
(2) State Technology Extension Program (carried out
10
under section 5121 5121(d) (d) of the Omnibus Trade and
11
Competitiveness Act of 1988), $2,000,000.
12
(3) Advanced Technology Program, $100,000,000.
13
(b) FISCAL YEAR 1992.-In addition to any sums otherwise
14 authorized under this Act, there are authorized to be
15 appropriated to the Secretary, to carry out the extramural
16 industrial technology services programs of the Institute
17 created under sections 25, 26, and 28 of the National
18 Institute of Standards and Technology Act (15 U.S.C. 278k,
:19 2781, and 278n), $127,500,000 for fiscal year 1992, which
20 shall be available for the following line items:
21
(1) Regional Centers for the Transfer of
22
Manufacturing Technology, $25,000,000.
23
(2) State Technology Extension Program, $2,500,000.
24
(3) Advanced Technology Program, $100,000,000.
25
(c) LIMITATION.- No funds are authorized under this
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13
1 section for any project under the extramural programs of the
2 Institute which have not been competitively reviewed through
3 the merit review processes required by the National Institute
4 of Standards and Technology Act (15 U.S.C. 271 et seq.).
5
(d) AMENDMENTS TO EXTENSION PROGRAM. Section 5121 5121(b) (b) of
6 the Omnibus Trade and Competitiveness Act of 1988 (15 U.S.C.
7 2781 note) is amended by striking paragraph (5).
8
(e) ADVISORY COMMITTEE. Section 5142 5142(f) (f) of the Omnibus
9 Trade and Competitiveness Act of 1988 (15 U.S.C 4632(£)) is
10 amended by striking and 1990 and inserting in lieu
11 thereof 1990, 1991, and 1992
12 SEC. 106. SALARY ADJUSTMENTS.
13
In addition to any sums otherwise authorized by this Act,
14 there are authorized to be appropriated to the Secretary for
15 fiscal years 1991 and 1992 such additional sums as may be
16 necessary to make any adjustments in salary, pay, retirement,
17 and other employee benefits which may be provided for by law.
18 SEC. 107. AVAILABILITY OF APPROPRIATIONS.
-19
Appropriations made under the authority provided in this
20 Act shall remain available for obligation, for expenditure,
21 or for obligation and expenditure for periods specified in
22 the Acts making such appropriations.
23 SEC. 108. BUY-AMERICAN PROVISIONS.
24
(a) RESTRICTIONS ON CONTRACT AWARDS. No contract or
25 subcontract made with funds authorized under this title may
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14
1 be awarded for the procurement of an article, material, or
2 supply produced or manufactured in a foreign country whose
3 government unfairly maintains in government procurement a
4 significant and persistent pattern or practice of
5 discrimination against United States products or services
6 which results in identifiable harms to United States
7 businesses, as identified by the President pursuant to
8 subsection (g) (1) (A) of section 305 of the Trade Agreements
9 Act of 1979 (19 U.S.C. 2515 (g) (1) (A). Any such determination
10 shall be made in accordance with such section 305.
11
(b) PROHIBITION AGAINST FRAUDULENT USE OF MADE IN
12 AMERICA LABELS. If it has been finally determined by a
13 court or a Federal agency that any person intentionally
14 affixed a label bearing a Made in America inscription, or
15 an inscription with the same meaning, to any product sold in
16 or shipped to the United States that is not made in the
17 United States, that person shall be ineligible to receive any
18 contract or subcontract from the Department of Commerce,
J9 pursuant to the debarment, suspension, and ineligibility
20 procedures in subpart 9.4 of chapter 1 of title .48, Code of
21 Federal Regulations.
22
(c) BUY-AMERICAN Requirement. (1) The Secretary is
23 authorized to award to a domestic firm a contract for the
24 purchase of goods that, under the use of competitive
25 procedures, would be awarded to a foreign firm, if--
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1
(A) the final product of the domestic firm will be
2
completely assembled in the United States;
3
(B) when completely assembled, more than 50 percent
4
of the final product of the domestic firm will be
5
domestically produced: and
6
(C) the difference between the bids submitted by the
7
foreign and domestic firms is not more than 6 percent.
8
(2) This subsection shall not apply to the extent to
9 which--
10
(A) in the opinion of the Secretary, after taking
11
into consideration international obligations and trade
12
relations, such applicability would not be in the public
13
interest;
14
(B) in the opinion of the Secretary, after
15
consultation with the Secretary of Defense, compelling
16
national security considerations require otherwise; or
17
(C) the President determines that such an award would
18
be in violation of the General Agreement on Tariffs and
19
Trade or an international agreement to which the United
20
States is a party.
21
(3) This subsection shall apply only to contracts made
22
for which--
23
(A) amounts are authorized by this title to be made
24
available; and
25
(B) solicitations for bids are issued after the date
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16
1
of enactment of this Act.
2
(4) The Secretary, before January 1, 1993, shall report
3 to the Congress on contracts covered under this subsection--
4
(A) entered into with foreign firms pursuant to a
5
determination made under paragraph (2) of this
6
subsection; and
7
(B) awarded to domestic firms pursuant to paragraph
8
(1) of this subsection, in fiscal years 1991 and 1992.
9
(5) For purposes of this subsection--
10
(A) the term domestic firm means a business
11
entity that is incorporated in the United States and that
12
conducts business operations in the United States; and
13
(B) the term foreign firm means a business entity
14
not described in subparagraph (A).
15
TITLE II--ADVANCED TECHNOLOGY PROGRAM AMENDMENTS
16 SEC. 201. EMERGING TECHNOLOGIES RESEARCH AND DEVELOPMENT.
17
(a) SHORT TITLE.--This title may be cited as the
18
Emerging Technologies and Advanced Technology Program
19 Amendments Act of 1991
20
(b) FINDINGS AND PURPOSES--(1) The Congress finds that--
21
(A) technological innovation and its profitable
22
inclusion in commercial products are critical components
23
of the ability of the United States to raise the living
24
standards of Americans and to compete in world markets;
25
(B) maintaining viable United States-based high
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17
1
technology industries is vital to both the national
2
security and the economic well-being of the United
3
States;
4
(C) the Department of Commerce has reported that the
5
United States is losing or losing badly, relative to
6
Japan and Europe, in many important emerging technologies
7
and risks losing much of the $350 billion United States
8
market and $1 trillion world market expected to develop
9
by the year 2000 for products based on emerging
10
technologies;
11
(D) it is in the national interest for the Federal
12
Government to encourage and, in selected cases, provide
13
limited financial assistance to industry-led private
14
sector efforts to increase research and development in
15
economically critical areas of technology;
16
(E) joint ventures are a particularly effective and
17
appropriate way to pool resources to conduct research
18
that no single company is likely to undertake but which
19
will create new generic technologies that will benefit an
20
entire industry and the welfare of the Nation;
21
(F) it is vital that industry within the United
22
States attains a leadership role and capability in
23
development, design, and manufacturing in fields such as
24
high-resolution information systems, advanced
25
manufacturing, and advanced materials; and
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1
(G) the Advanced Technology Program, established
2
under section 28 of the National Institute of Standards
3
and Technology Act (15 U.S.C. 278n), is the appropriate
4
vehicle for the United States Government to provide
5
limited assistance to joint development within the United
6
States of new high technology capabilities in fields such
7
as high-resolution information systems, advanced
8
manufacturing technology, and advanced materials, and can
9
help encourage United States industry to work together on
10
problems of mutual concern.
11
(2) The purposes of this section are--
12
(A) to strengthen the Advanced Technology Program
13
created under section 28 of the National Institute of
14
Standards and Technology Act (15 U.S.C. 278n), and to
15
provide improved guidelines for the allocation of
16
Advanced Technology Program funds appropriated under the
17
authorizations contained in section 105 of this Act;
18
(B) to promote and assist in the development of
19
advanced technologies and the generic application of such
20
technologies to civilian products, processes, and
21
services;
22
(C) to improve the competitive position of United
23
States industry by supporting industry-led research and
24
development projects in areas of emerging technology
25
which have substantial potential to advance the economic
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19
1
well-being and national security of the United States,
2
such as high-resolution information systems, advanced
3
manufacturing technology, and advanced materials; and
4
(D) to support projects that range from idea
5
exploration to prototype development and address long-
6
term, high-risk areas of technological research,
7
development, and application that are not otherwise being
8
adequately developed by the private sector, but are
9
likely to yield important benefits to the Nation.
10
(c) ADVANCED TECHNOLOGY PROGRAM.--Section 28 of the
11 National Institute of Standards and Technology Act (15 U.S.C.
12 278n) is amended--
13
(1) in subsection (b) (1) (B), by inserting through
14
grants, cooperative agreements, or contracts after
15
such joint ventures ;
16
(2) in subsection (b) (2), by inserting provide
17
grants to and before enter into contracts ;
18
(3) by amending subsection (d) (2) to read as follows:
19
(2) In the case of joint ventures, the Program
20
shall not make an award unless the award will facilitate
21
the formation of a joint venture or the initiation of a
22
new research and development project by an existing joint
23
venture. ;
24
(4) in subsection (d) (3), by striking cooperative
25
agreement both places it appears and inserting in lieu
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20
1
thereof award ;
2
(5) by amending subsection (d) (7) to read as follows:
3
(7) Each agreement with any business or joint
4
venture that receives an award under this section shall
5
specify a test, as mutually agreed to by the Secretary
6
and the recipient, for determining whether the venture or
7
project shall be deemed to have been a commercial success
8
and providing that in such event there will be
9
appropriate recoupment to the Federal Government. Such
10
recoupment shall not exceed the principal amount, with
11
reasonable interest, of any monetary awards provided to
12
such recipient under the Program. The Secretary shall
13
issue regulations establishing guidelines for agreement
14
provisions stating the circumstances under which a
15
venture or project will be found to be a commercial
16
success and the general procedures and terms for
17
recoupment in such cases. ;
18
(6) by adding at the end of subsection (d) the
19
following new paragraphs:
20
(10) A company shall be eligible to receive
21
financial assistance under this section only if--
22
(A) the Secretary finds that the company S
23 -
participation in the Program would be in the economic
24
interest of the United States, as evidenced by
25
investments in the United States in research,
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21
1
development, and manufacturing (including, for
2
example, the manufacture of major components or
3
subassemblies in the United States); significant
4
contributions to employment in the United States; and
5
agreement with respect to any technology arising from
6
assistance provided under this section to promote the
7
manufacture within the United States of products
8
resulting from that technology (taking into account
9
the goals of promoting the competitiveness of United
10
States industry), and to procure parts and materials
11
from competitive suppliers; and
12
(B) either--
13
(i) the company is a United States-owned
14
company; or
15
(ii) the Secretary finds that the company
16
has a parent company which is incorporated in a
17
country which affords to United States-owned
18
companies opportunities, comparable to those
19
afforded to any other company, to participate in
20
any joint venture similar to those authorized
21
under this Act; affords to United States-owned
22
companies local investment opportunities
23
comparable to those afforded to any other
24
company; and affords adequate and effective
25
protection for the intellectual property rights
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22
1
of United States-owned companies.
2
(11) Grants, contracts, and cooperative agreements
3
under this section shall be designed to support projects
4
which are high risk and which have the potential for
5
eventual substantial widespread commercial application.
6
In order to receive a grant, contract, or cooperative
7
agreement under this section, a research and development
8
entity shall demonstrate to the Secretary the requisite
9
ability in research and technology development and
10
management in the project area in which the grant,
11
contract, or cooperative agreement is being sought.
12
(12) (A) Title to any intellectual property arising
13
from assistance provided under this section shall vest in
14
a company or companies incorporated in the United States.
15
The United States may reserve a nonexclusive,
16
nontransferable, irrevocable paid-up license, to have
17
practiced for or on behalf of the United States, in
18
connection with any such intellectual property, but shall
19
not, in the exercise of such license, publicly disclose
20
proprietary information related to the license. Title to
21
any such intellectual property shall not be transferred
22
or passed, except to a company incorporated in the United
23
States, until the expiration of the first patent obtained
24
in connection with such intellectual property.
25
(B) For purposes of this paragraph, the term
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23
1
intellectual property means an invention patentable
2
under title 35, United States Code, or any patent on such
3
an invention.
4
(C) Nothing in this paragraph shall be construed to
5
prohibit the licensing to any company of intellectual
6
property rights arising from assistance provided under
7
this section. ;
8
(7) by amending subsection (e) to read the follows:
9
(e) The Secretary may, 30 days after notice to
10 Congress, suspend a company or joint venture from receiving
11 continued assistance under this section if the Secretary
12 determines that the company, the country of incorporation of
13 the company or a parent company, or the joint venture has
14 failed to satisfy any of the criteria set forth in subsection
15 (d) (10), and that it is in the national interest of the
16 United States to do so. ; and
17
(8) by inserting after subsection (e) the following
18
new subsections:
..
19
(f) When reviewing private sector requests for
20 Department of Commerce assistance to proposed joint ventures,
21 and when monitoring the progress of assisted joint ventures,
22 the Secretary shall, as appropriate, coordinate with the
23 Secretary of Defense and other senior Federal officials to
24 ensure cooperation and coordination in Federal technology
25 programs and to avoid unnecessary duplication of effort. The
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24
1 Secretary is authorized to work with the Secretary of Defense
2 and other appropriate Federal officials to form interagency
3 working groups or special project offices to coordinate
4 Federal technology activities.
5
(g) In order to analyze the need for and value of joint
6 ventures in specific technical fields, to evaluate any joint
7 ventures requesting the Secretary assistance, or to monitor
8 the progress of any joint venture which receives Federal
9 funds pursuant to the authorizations contained in this
10 section, the Secretary, the Under Secretary, and the Director
11 may organize and seek advice from such industry advisory
12 committees as they consider useful and appropriate.
13
(h) Up to 10 percent of the funds appropriated for
14 carrying out this section may be used for standards
15 development and technical activities by the Institute in
16 support of the purposes of this section.
17
(i) As used in this section--
18
``(1) the term high-resolution information systems
:19
means equipment and techniques required to create,
20
transmit, receive, display, process, record, store,
21
recover, and play back high resolution images and
22
accompanying sound;
23
(2) the term advanced manufacturing technology
24
means numerically-controlled machine tools, robots,
25
automated process control equipment, computerized
TB081
25
I
flexible manufacturing systems, associated computer
2
software, and other technology for improving
3
manufacturing and industrial processes;
4
(3) the term advanced materials means a field of
5
research including the study of composites, ceramics,
6
metals, polymers, superconducting materials, materials
7
produced through biotechnology, and materials production
8
technologies, including coated systems, that provide the
9
potential for significant advantages over existing
10
materials;
11
``(4) the term joint venture means any group of
12
activities, including attempting to make, making, or
13
performing a contract, by two or more persons for the
14
purpose of--
15
(A) theoretical analysis, experimentation, or
16
systematic study of phenomena or observable facts;
17
(B) the development or testing of basic
18
engineering techniques;
19
(C) the extension of investigative finding or
20
theory of a scientific or technical nature into
21
practical application for experimental and
22
demonstration purposes, including the experimental
23
production and testing of models, prototypes,
24
equipment, materials, and processes;
25
(D) the collection, exchange, and analysis of
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26
1
research information;
2
(E) the production of any product, process, or
3
service; or
4
(F) any combination of the purposes specified
5
in subparagraphs (A), (B), (C), (D), and (E),
6
and may include the establishment and operation of
7
facilities for the conducting of research, the conducting
8
of such venture on a protected and proprietary basis, and
9
the prosecuting of applications for patents and the
10
granting of licenses for the results of such venture;
11
(5) the term United States-owned company means a
12
company that has majority ownership or control by
13
individuals who are citizens of the United States; and
14
(6) the term foreign-owned company means a
15
company other than a United States-owned company.
16
(d) EFFECTIVE DATE. The amendments in subsection (c)
17 shall take effect immediately upon enactment; however, the
18 amendments shall not apply to applications submitted in
19 response to the Federal Register Invitation for Proposals
20 dated July 24, 1990, or awards or other assistance granted
21 pursuant to that notice.
22
(e) MANAGEMENT COSTS.--Section 2 of the National
23 Institute of Standards and Technology Act (15 U.S.C. 272) is
24 amended by adding at the end thereof the following new
25 subsection--
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27
1
(d) In carrying out the extramural funding programs of
2 the Institute, including the programs established under
3 sections 25, 26, and 28 of this Act, the Secretary may retain
4 reasonable amounts of any funds appropriated pursuant to
5 authorizations for these programs in order to pay for the
6 Institute's management of these programs.
7
(f) COMPREHENSIVE REPORT.-- The Secretary of Commerce
8 shall, not later than 4 years after the date of enactment of
9 this Act, submit to each House of the Congress and the
10 President a comprehensive report on the results of the
11 Advanced Technology Program established under section 28 of
12 the National Institute of Standards and Technology Act (15
13 U.S.C. 278n), including any activities in the areas of high-
14 resolution information systems, advanced manufacturing
15 technology, and advanced materials.
16 TITLE III--AMENDMENTS TO THE STEVENSON-WYDLER TECHNOLOGY
17
INNOVATION ACT OF 1980
18 SEC. 301. FEDERAL LABORATORY CONSORTIUM.
:19
(a) Section 11 (e) (7) of the Stevenson-Wydler Technology
20 Innovation Act of 1980 (15 U.S.C. 3710(e) (7)) is amended--
21
(1) in subparagraph (A), by striking ``a fiscal year
22
referred to in subparagraph (B) (ii)" and inserting in
23
lieu thereof any fiscal year ; and
24
(2) by amending subparagraph (B) to read as follows:
25
(B) A transfer shall be made by any Federal agency
TB081
28
1 under subparagraph (A), for any fiscal year, only if the
2 amount so transferred by that agency (as determined under
3 such subparagraph) would exceed $10,000.
4
(b) Section 11 (e) (8) of the Stevenson-Wydler Technology
5 Innovation Act of 1980 (15 U.S.C. 3710(e) (8)) is repealed.
6 SEC. 302. COOPERATIVE RESEARCH AND DEVELOPMENT AGREEMENTS.
7
(a) Section 12 (d) (1) of the Stevenson-Wydler Technology
8 Innovation Act of 1980 (15 U.S.C. 3710a(d)(1)) is amended by
9 inserting intellectual property, after equipment,'
10 both places it appears.
11
(b) Within 6 months after the date of enactment of this
12 Act, the Secretary shall report to the Congress on the
13 advisability of authorizing a new form of cooperative
14 research and development agreement which would permit Federal
15 contributions of funds.
16 SEC. 303. DEFINITION OF FEDERAL AGENCY.
17
Section 4(8) of the Stevenson-Wydler Technology
18 Innovation Act of 1980 (15 U.S.C. 3703(8)) is amended by
:
19 inserting as well as any agency of the legislative branch
20 of the Federal Government after ``of such title
21 SEC. 304. QUALITY IMPROVEMENT.
22
The Secretary is authorized to use appropriated funds to
23 cover the cost of the Malcolm Baldrige National Quality Award
24 program to the extent such funds are needed in addition to
25 the funds specified under section 17 (f) of the Stevenson-
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29
1 Wydler Technology Innovation Act of 1980 (15 U.S.C.
2 3711a(f)).
3 SEC. 305. UNDER SECRETARY.
4
Section 5(c) of the Stevenson-Wydler Technology
5 Innovation Act of 1980 (:5 U.S.C. 3704(c) is amended--
6
(1) by redesignating paragraphs (13) and (14) as
7
paragraphs (14) and (15), respectively; and
8
(2) by inserting after paragraph (12) the following
9
new paragraph:
10
:: (13) serve as a focal point for discussions among
11
United States companies on topics of interest to industry
12
and labor, including discussions regarding manufacturing
13
and discussions regarding emerging technologies;"
14 TITLE IV--NATIONAL COMMISSION ON REDUCING CAPITAL COSTS FOR
15
EMERGING TECHNOLOGY
16 SEC. 401. NATIONAL COMMISSION ON REDUCING CAPITAL COSTS FOR
17
EMERGING TECHNOLOGY.
18
(a) ESTABLISHMENT AND PURPOSE.-There is established a
...
19 National Commission on Reducing Capital Costs for Emerging
20 Technology (hereafter in this section referred to as the
21 ``Commission"), for the purpose of developing
22 recommendations to increase the compecitiveness of United
23 States industry by encouraging investments in research, the
24 development of new process and product technologies, and the
25 production of those technologies.
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30
1
(b) ISSUES.-The function of the Commission shall be to
2 address the following issues:
3
(1) How has the overall cost of capital paid by
4
United States companies differed during the past decade
5
from that paid by companies in other industrial economies
6
such as Germany, Japan, and the United Kingdom?
7
(2) To what extent has the cost of capital faced by
8
technology companies differed from the overall cost of
9
capital in each of these nations during the same period?
10
(3) To what extent do high capital costs in general
11
inhibit investment in projects with long-term payoffs,
12
such as the development and commercialization of new
13
technology?
14
(4) To what extent does the structure of the
15
financial services industry in the United States affect
16
the flow of capital to advanced technology investment,
17
and to what extent do current practices in the equity
18
markets raise the cost of capital and inhibit the
19
availability of capital to fund research and development,
20
purchase advanced manufacturing equipment, and fund other
21
investments necessary to commercialize advanced
22
technology?
23
(5) In what ways to Government regulations influence
24
the cost of capital in the United States?
25
(6) To what extent have national differences in
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31
1
capital costs facilitated the foreign acquisition of
2
technology-based United States companies?
3
(7) What macroeconomic and other policies would
4
promote greater investment in advanced manufacturing
5
techniques, in research and development, and in other
6
activities necessary to commercialize and produce new
7
technologies?
8
(8) What specific policies should the Federal
9
Government follow in order to reduce the cost of capital
10
for United States companies to levels that are near
11
parity with those faced by the Nation's principal trading
12
partners?
13
(c) MEMBERSHIP.- (1) The Commission shall be composed of
14 9 members who are eminent in such fields as advanced
15
technology, manufacturing, finance, and international
16 economics and who are appointed as follows:
17
(A) 3 individuals appointed by the President, one of
18
whom shall be the Vice President and shall chair the
19
Commission.
20
(B) 3 individuals appointed by the Speaker of the
21
House of Representatives, 1 of whom shall be appointed
22
upon the recommendation of the minority leader of the
23
House of Representatives.
24
(C) 3 individuals appointed by the President pro
25
tempore of the Senate, 2 of whom shall be appointed upon
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32
1
the recommendation of the majority leader of the Senate
2
and 1 of whom shall be appointed upon the recommendation
3
of the mincrity leader of the Senate.
4
(2) Each member shall be appointed for the life of the
5 Commission. A vacancy in the Commission shall be filled in
6 the manner in which the original appointment was made.
7
(d) PROCEDURES. (1) The chairman shall call the first
8 meeting of the Commission within 90 days after the date of
9 enactment of this Act.
10
(2) Recommendations of the Commissions shall require the
11 approval of three-quarters of the members of the Commission.
12
(3) The Commission may use such personnel detailed from
13 Federal agencies as may be necessary to enable it to carry
14 out its duties.
15
(4) Members of the Commission, other than full-time
16 employees of the Federal Government, while attending meetings
17 of the Commission while away from their homes or regular
18 places of business, shall be allowed travel expenses in
19 accordance with subchapter I of chapter 57 of title 5, United
20 States Code.
21
(e) REPORTS. The Commission shall, within 1 year after
22 the date of enactment of this Act, submit to the President
23 and Congress a report containing legislative and other
24 recommendations with respect to the issues addressed under
25 subsection (b).
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33
1
(f) CONSULTATION. The Commission shall consult, as
2
appropriate, with the Commission on Technology and
3
Procurement established by section 504 of this Act.
4
(g) TERMINATION The Commission shall terminate 6 months
5
after the submission of its report under subsection (e).
6
(h) AUTHORIZATION OF APPROPRIATIONS. There are
7
authorized to be appropriated to carry out this section such
8
sums as may be necessary for the fiscal years 1991 and 1992.
9
TITLE V--STUDIES AND REPORTS
10 SEC. 501. HIGH-RESOLUTION INFORMATION SYSTEMS ADVISORY BOARD.
11
(a) ESTABLISHMENT AND PURPOSE The Director of the
12
Office of Science and Technology Policy shall establish
13
within that office a High-Resolution Information Systems
14
Advisory Board (hereafter in this section referred to the
15
``Board'') to monitor and, as appropriate, foster the
16
development of United States-based high-resolution
17
information systems industries.
18
(b) DEFINITION. As used in this title, the term `high-
19
resolution information systems means the equipment and
20
techniques required to create, store, recover, and play back
21
high-resolution images and accompanying sound.
22
(c) FUNCTIONS. The Board shall--
23
(1) collect and analyze information on the range of
24
factors which will determine whether United States-based
25
high-resolution information systems industries will
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34
1
develop and become competitive, including such factors as
2
technology policies, specialized financial problems,
3
international standards and foreign trade practices,
4
Federal regulations and procurement policies, and
5
licensing practices;
6
(2) identify areas where appropriate cooperation
7
between the Federal Government and the private sector,
8
including Government support for industry-led joint
9
research and development ventures, would enhance United
10
States industrial competitiveness in this area, and
11
provide advice and guidance for such cooperative efforts;
12
(3) provide guidance on what Federal policies and
13
practices, particularly in such areas as procurement and
14
the transfer of federally-funded research, are necessary
15
to help establish United States-based high-resolution
16
information systems industries;
17
(4) provide advice on the coordination of Federal
18
defense and civilian activities to maximize and assist
-19
with the transfer of technologies in the field of high-
20
resolution information systems into commercial products;
21
and
22
(5) generally develop recommendations for guiding
23
Federal agency activities related to the development of
24
United States-based high-resolution information systems
25
industries.
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35
1
(d) MEMBERSHIP AND PROCEDURES.-- (1) (A) The Board shall be
2 composed of 13 members, 7 of whom shall constitute a quorum.
3
(B) The Director of the Office of Science and Technology
4 Policy, the Secretary, the Director of the Defense Advanced
5 Research Projects Agency, and the Administrator of the
6 National Aeronautics and Space Administration, or their
7 designees, shall serve as members of the Board.
8
(C) The President, acting through the Director of the
9 Office of Science and Technology Policy, within 90 days after
10 the date of enactment of this Act, shall appoint as
11 additional members of the Board--
12
(i) 5 members from the private electronics
13
manufacturing sector, drawn from such sectors as
14
semiconductors, display equipment, computers, consumer
15
electronics, and telecommunications, with 1 member also
16
representing labor;
17
(ii) 3 members from the private nonmanufacturing
18
sector, including 1 representative from the transmission
19
delivery systems sector and 2 representatives drawn from
20
such areas as the software industry, the entertainment
21
industry, and the investment community; and
22
(iii) 1 member from academia.
23 At least 1 member appointed under this subparagraph shall be
24 from small business.
25
(2) The Director of the Office of Science and Technology
TB081
36
1 Policy or the Director's designee shall chair the Board.
2
(3) The chairman shall call the first meeting of the
3 Board within 30 days after the appointment of members is
4 completed.
5
(4) The Board may use such personnel detailed from
6 Federal agencies as may be necessary to enable it to perform
7 its functions.
8
(5) Members of the Board, other than full-time employees
9 of the Federal Government, while attending meetings of the
10 Board or otherwise performing duties of the Board while away
11 from their homes or regular places of business, shall be
12 allowed travel expenses in accordance with subchapter I of
13 chapter 57 of title 5, United States Code.
14
(6) The Board shall submit to the President and Congress
15 a report of its activities once every year after its
16 establishment.
17
(e) AUTHORIZATION OF APPROPRIATIONS. There are
18 authorized to be appropriated to carry out this section such
19 sums as may be necessary for the fiscal years 1991 and 1992.
20 SEC. 502. MAJOR SCIENCE AND TECHNOLOGY PROPOSALS.
21
(a) REPORT. The National Science and Technology Policy,
22 Organization, and Priorities Act of 1976 is amended by adding
23 at the end of title II the following new section:
24
MAJOR SCIENCE AND TECHNOLOGY PROPOSALS
25
``SEC. 209. The Director shall monitor and report
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37
1 annually to Congress on each major science and technology
2 project in which more than one country is participating and
3 which has a total estimated cost greater than
4 $1,000,000,000.
5 SEC. 503. BIENNIAL NATIONAL CRITICAL TECHNOLOGIES REPORT
6
AMENDMENTS.
7
Section 603 of the National Science and Technology
8
Policy, Organization, and Priorities Act of 1976 (42 U.S.C.
9
6683) is amended--
10
(1) in subsection (a), by inserting , but shall
11
include the most economically important emerging civilian
12
technologies during the 10-year period following such
13
report, together with the estimated current and future
14
size of domestic and international markets for products
15
derived from these technologies after may not exceed
16
30 ;
17
(2) in subsection (b), by striking national
18
security and and inserting in lieu thereof national
19
security or ;
20
(3) by redesignating subsection (d) as subsection
21
(e); and
22
(4) by inserting after subsection (c) the following
23
new subsection:
24
(d) Each such report shall include--
25
``(1) an identification of the types of research and
TB081
38
1
development needed to close any significant gaps or
2
deficiencies in the technology base of the United States,
3
as compared with the technology bases of major trading
4
partners; and
5
(2) a list of the technologies and markets targeted
6
by major trading partners for development or capture.
7 SEC. 504. RESEARCH, DEVELOPMENT, TECHNOLOGY UTILIZATION, AND
8
GOVERNMENT PROCUREMENT POLICY.
9
(a) ESTABLISHMENT OF COMMISSION. The Secretary, in
10 consultation with the Administrator of the Office of Federal
11 Procurement Policy, shall establish a Commission on
12 Technology and Procurement (hereafter in this section
13 referred to as the Commission for the purposes of
14 analyzing the effect of Federal Government procurement laws,
15 procedures, and policies on the development of advanced
16 technologies within the United States and making
17 recommendations on how Federal policy could be changed to
18 promote further the development of advanced technologies.
19
(b) ISSUES. The Commission shall address the following
20 issues:
21
(1) To what extent, if any, should Federal Government
22
technology purchase strategies be used to give domestic
23
suppliers a competitive advantage in new generations of
24
existing technologies and in initial market penetration
25
for new technologies?
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39
1
(2) Under what conditions can Federal Government
2
purchases of advanced technology-based products be based
3
on performance specifications rather than on product
4
specifications? Should Federal Government procurement
5
first look to the commercial markets for products that
6
will meet performance specifications before purchasing a
7
unique product that has to be developed?
8
(3) How can the Federal Government procurement laws,
9
practices, and procedures be used as a strategic tool to
10
foster the use of emerging technologies?
11
(4) How can the Federal Government ensure that its
12
suppliers adopt the principles embodied in the Malcolm
13
Baldrige National Quality Award?
14
(5) Should Federal Government procurement practices
15
include cooperative efforts between the supplier and the
16
Federal entity to develop products so as to be more
17
easily marketed on a commercial basis? Should a program
18
for the exchange of technical personnel to foster
19
innovation in product development be part of such
20
practices?
21
(6) To what extent, if any, should Federal Government
22
documents specify standards that are beneficial to
23
domestic suppliers, aid the compatibility of advanced
24
technologies, and speed the commercial acceptance of
25
those technologies, and what would be the role of the
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40
1
Institute in such an effort?
2
(7) To what extent should worldwide, state of the art
3
technology be required in Federal Government procurement?
4
(c) MEMBERSHIP AND PROCEDURES. (1) The Commission shall
5
be composed of 15 members, 8 of whom shall constitute a
6
quorum.
7
(2) The Secretary, the Administrator of the Office of
8
Federal Procurement Policy, the Director of the Office of
6.
Science and Technology Policy, the Secretary of Defense, and
10
the Administrator of General Services, or their designees who
11 serve in executive level positions, shall serve as members of
12
the Commission.
13
(3) The Secretary shall appoint as members of the
14
Commission, from among individuals not employed by the
15
Federal Government--
16
(A) 4 members who are eminent in advanced technology
17
businesses representing manufacturing and services
18
industries, including at least 1 member representing
19
labor;
"
20
(B) 3 members who are eminent in the fields of
21
technology and international economic development; and
22
(C) with the concurrence of the Administrator of the
23
Office of Federal Procurement Policy, 3 members who are
24
eminent in the field of Federal Government procurement.
25
(4) The Secretary shall appoint a Commission chairman
TB081
41
I from among the members of the Commission. The chairman shall
2 call the first meeting of the Commission within 90 days after
3 the date of enactment of this Act.
4
(5) The Secretary and the Administrator of the Office of
5 Federal Procurement Policy shall provide such staff as may be
6 required by the Commission to carry out its responsibilities.
7
(6) Members of the Commission, other than full-time
8 employees of the Federal Government, while attending meetings
9 of the Commission or otherwise performing duties of the
10 Commission while away from their homes or regular places of
11 business, shall be allowed travel expenses in accordance with
12 subchapter I of chapter 57 of the title 5, United States
13 Code.
14
(d) REPORTS. (1) The Commission shall, within 1 year after
15 the date of enactment of this Act, submit to the Secretary,
16 the Administrator of the Office of Federal Procurement
17 Policy, the President, and Congress a report containing
18 preliminary recommendations with respect to the issues
19 addressed under subsection (b).
20
(2) The Commission shall, within 2 years after the date
21 of enactment of this Act, submit to the Secretary and
22 Congress a final report containing final recommendations with
23 respect to the issues addressed under subsection (b).
24
(e) CONSULTATION. The Commission shall consult, as
25 appropriate, with the National Commission on Reducing Capital
TB081
42
1 Costs for Emerging Technology.
2
(f)
TERMINATION.
The Commission shall terminate 6 months
3 after the submission of its final report under subsection
4 (d) (2).
5
(g) AUTHORIZATION OF APPROPRIATIONS. There are
6 authorized to be appropriated to carry out this section such
7 sums as may be necessary for the fiscal years 1991, and 1992,
8 and 1993.
9 SEC. 505. REPORT ON INFORMATION COLLECTION AND DISSEMINATION.
10
(a) REPORT.
Within 270 days after the date of enactment
11 of this Act, the Secretary shall report to the Committee on
12 Science, Space, and Technology of the House of
13 Representatives and the Committee on Commerce, Science, and
14 Transportation of the Senate on the feasibility of
15 establishing and operating a Federal Online Information
16 Product Catalog (FEDLINE) at the National Technical
17 Information Service which would serve as a comprehensive
18 inventory and authorizative register of information products
19 and services disseminated by the Federal Government and
20 assist agencies and the public in locating Federal Government
21 information. Information protected from public disclosure
22 shall not be included. In studying the concept, the
23 Secretary, acting through the Under Secretary and the
24 Director of the National Technical Information Service, shall
25 consult with officials from appropriate Government agencies,
TB081
43
1 including the Office of Management and Budget, the National
2 Archives, the Government Printing Office, and the Institute,
3 and with representatives of the public, for their views on
4 the optimal composition and format of FEDLINE. Such report
5 shall contain cost estimates and possible funding sources for
6 establishing and operating FEDLINE and shall list any changes
7 in law and regulation that would be required if FEDLINE were
8 to be implemented.
9
(b) FUNDING. The Director of the National Technical
10 Information Service may retain and use all monies received,
11 including receipts, revenues, and advanced payments and
12 deposits, to fund obligations and expenses through the end of
13 fiscal year 1992.
14
(c) ELECTRONIC FORMAT. Section 212(e)(5) of the National
15 Technical Information Act of 1988 (15 U.S.C. 3704b (e) (5)) is
16 amended by inserting o including producing and
17 disseminating information products in electronic format
18 after engineering information
19 SEC. 506. REPORT ON ADVANCED MANUFACTURING AND QUALITY.
20
Within 1 year after the date of enactment of this Act,
21 the Secretary shall submit to Congress a report on the
22 feasibility and advisability of establishing, in affiliation
23 with the Institute, a Quality Institute and a privately-
24 funded foundation to support that Quality Institute. As part
25 of such report, the Secretary shall consider whether it is
TB081
44
1 feasible and advisable for such Quality Institute to--
2
(1) conduct workshops and company tours to share with
3
managers, engineers, and production employees in the
4
United States advanced techniques for improving
5
manufacturing and service organization, quality, and
6
productivity, including team-oriented organizational
7
approaches to managing production and service technology
8
and corporate research and development;
9
(2) help develop and disseminate model curricula on
10
quality which might be used by educational institutions
11
to provide training to students and manufacturing and
12
service company employees; and
13
(3) carry out such other purposes as the Secretary
14
may recommend.
15 SEC. 507. FUNCTIONS OF COUNCIL.
16
(a) INTERAGENCY RESEARCH PLANS.--Section 102(a)(6) of the
17 National Science and Technology Policy, Organization, and
18 Priorities Act of 1976 (42 U.S.C. 6602(a) 6602 (a) (6)) is amended to
19 read as follows:
20
(6) The development and implementation of long-
21
range, interagency research plans to support policy
22
decisions regarding identified national and international
23
concerns, and for which a sustained and coordinated
24
commitment to improving scientific understanding or
25
technology will be required.
TB081
45
1
(b) COUNCIL.--Section 401 of the National Science and
2 Technology Policy, Organization, and Priorities Act of 1976
3 (42 U.S.C. 6651) is amended to read as follows:
4
MEMBERSHIP AND FUNCTIONS OF COUNCIL
5
''SEC. 401. (a) The Federal Coordinating Council for
6 Science, Engineering, and Technology (hereafter in this Act
7 referred to as the Council') shall be composed of the
8 Director, who shall be Chairman of the Council, and 1
9 representative of each of the Federal departments and
10 agencies which the President shall designate. Each such
11 representative shall be an official of policy rank appointed
12 by the head of the Federal department or agency designated.
13
(b) The Council shall consider problems and
14 developments in the fields of science, engineering, and
15 technology and related activities affecting more than 1
16 Federal agency, and shall recommend policies and other
17 measures designed to--
18
``(1) provide more effective planning and
19
administration of Federal scientific, engineering, and
20
technological programs;
21
``(2) identify research needs, including areas
22
requiring additional emphasis;
23
(3) achieve more effective utilization of the
24
scientific, engineering, and technological resources and
25
facilities of Federal agencies, including the elimination
TB081
46
1
of unwarranted duplication; and
2
(4) further international cooperation in science,
3
engineering, and technology.
4
(c) The Council may be assigned responsibility for
5 developing long-range and coordinated plans for scientific
6 and technical research which involve the participation of
7 more than 2 Federal agencies. Such plans shall--
8
(1) identify research approaches and priorities
9
which most effectively advance scientific understanding
10
and provide a basis for policy decisions;
11
(2) provide for effective cooperation and
12
coordination of research among Federal agencies; and
13
(3) encourage domestic and, as appropriate,
14
international cooperation among government, industry, and
15
university scientists.
16
(d) The Council shall perform such other related
I7 advisory duties as shall be assigned by the President or by
18 the Chairman of the Council.
19
(e) For the purpose of carrying out the provisions of
20 this section, each Federal agency represented on the Council
21 shall furnish necessary assistance to the Council. Such
22 assistance may include--
23
(1) detailing employees to the Council to perform
24
such functions, consistent with the purposes of this
25
section, as the Chairman of the Council may assign to
TB081
47
1
them; and
2
(2) undertaking, upon request of the Chairman, such
3
special studies for the Council as come within the scope
4
of authority of the Council.
5
(f) For the purpose of developing interagency plans,
6
conducting studies, and making reports as directed by the
7 Chairman, standing committees and working groups of the
8 Council may be established.
9
(c) CONFORMING AMENDMENT. Section 207 (a) (1)) of the
10 National Science and Technology Policy, Organization, and
11 Priorities Act of 1976 (42 U.S.C. 6616 6616(a)(1)) is amended by
12 striking established under title IV'. .
13 SEC. 508. STUDY OF TESTING AND CERTIFICATION.
14
(a) CONTRACT WITH NATIONAL RESEARCH COUNCIL. Within 90
15 days after the date of enactment of this Act and within
16 available appropriations, the Secretary shall enter into a
17 contract with the National Research Council for a thorough
18 review of international product testing and certification
19 issues. The National Research Council will be asked to
20 address the following issues and make recommendations as
21
appropriate:
22
(1) The impact on United States manufacturers,
23
testing and certification laboratories, certification
24
organizations, and other affected bodies of the European
25
Community s plans for testing and certification of
TB081
48
1
regulated and nonregulated products of non-European
2
origin.
3
(2) Ways for United States manufacturers to gain
4
acceptance of their products in the European Community
5
and in other foreign countries and regions.
6
(3) The feasibility and consequences of having mutual
7
recognition agreements between testing and certification
8
organizations in the United States and those of major
9
trading partners on the accreditation of testing and
10
certification laboratories and on quality control
11
requirements.
12
(4) Information coordination regarding product
13
acceptance and conformity assessment mechanisms between
14
the United States and foreign governments.
15
(5) The appropriate Federal, State, and private roles
16
in coordination and oversight of testing, certification,
17
accreditation, and quality control to support national
18
and international trade.
19
(b) MEMBERSHIP. In selecting the members of the review
20 panel, the National Research Council shall consult with and
21 draw from, among others, laboratory accreditation
22 organizations, Federal and State government agencies involved
23 in testing and certification, professional societies, trade
24 associations, small business, and labor organizations.
25
(c) REPORT. --A report based on the findings and
TB081
49
1. recommendations of the review panel shall be submitted to the
2 Secretary, the President, and Congress within 18 months after
3 the Secretary signs the contract with the National Research
4 Council.
5 SEC. 509. REPORT ON A STRATEGY TO STIMULATE COMPETITIVE
6
RESEARCH.
7
(a) IN GENERAL. No later than 120 days after the date of
8 enactment of this Act, the Director of the Office of Science
9 and Technology Policy shall submit to Congress a report
10 presenting a proposed strategy for improving the university
11 research capabilities of those States which historically have
12 received relatively little Federal research and development
13 funding. The report shall particularly discuss the
14 feasibility and advisability of using the National Science
15 Foundation s Experimental Program to Stimulate Competitive
16 Research as a model for similar programs in other Federal
17 departments and agencies which fund research and development.
18
(b) ANALYSIS AND DISCUSSION. The report shall include an
19 analysis and discussion of--
20
(1) the geographic distribution of Federal research
21
and development grants and contracts;
22
(2) current Federal efforts to stimulate competitive
23
research; and
24
(3) the feasibility and advisability of new Federal
25
programs to stimulate competitive research.
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50
1 SEC. 510. INTERAGENCY COORDINATION.
2
The Secretary shall, within 180 days after the date of
3 enactment of this Act, submit to the Committee on Science,
4 Space, and Technology and the Committee on Energy and
5 Commerce of the House of Representatives and the Committee on
6 Commerce, Science, and Transportation of the Senate, a plan
7 for coordination of Commerce Department efforts with other
8 Federal agencies for activities related to high-resolution
9 information systems, including research and development
10 activities.
11
TITLE VI--LEAD EXPOSURE HAZARDS
12 SEC. 601. FINDINGS.
13
The Congress finds that--
14
(1) lead is a naturally occurring element which has
15
been used in a variety of industrial applications
16
including radiation shields, storage batteries, paint,
17
and gasoline;
18
(2) 1 in 6 United States children are victims of lead
19
poisoning, according to the Agency for Toxic Substances
:
20
and Disease Registry;
21
(3) lead poses a significant environmental health
22
problem since adverse effects have been conclusively
23
demonstrated at relatively low exposures;
24
(4) lead exposures to children under age 7 are of
25
greatest concern because of its association with
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51
1
significant neurotoxic effects, including reduction in
2
intelligence, attention span deficits, and reading and
3
learning disabilities;
4
(5) a primary cause of childhood lead poisoning is
5
lead-based paint and dust in homes;
6
(6) past efforts to abate lead-based paint have
7
relied on methods which endangered workers and often
8
resulted in more available lead dust for the occupants;
9
and
10
(7) improving methods for testing and abating
11
lead-based paint offers a highly cost effective means of
12
reducing exposures and thus preventing childhood lead
13
poisoning.
14 SEC. 602. LABORATORY ANALYSIS STANDARDIZATION.
15
The National Institute of Standards and Technology shall,
16 within 18 months after the date of enactment of this Act,
17 recommend to the Administrator of the Environmental
18 Protection Agency technical criteria and implement a
19 voluntary accreditation program with respect to laboratory
20 analysis of lead in paint films, soil, and dust. Funds
21 required for implementing such a voluntary accreditation
22 program shall be provided to the National Institute of
23 Standards and Technology by the Administrator of the
24 Environmental Protection Agency. Funds received through fees
25 and other charges for accreditation services under such
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52
1 program may be used by the National Institute of Standards
2 and Technology for operating costs of the program.
3 SEC. 603. DETECTION TECHNOLOGY STANDARDIZATION.
4
Subject to the availability of funds, the National
5 Institute of Standards and Technology shall, within 2 years
6 after the date of enactment of this Act, recommend to the
7 Administrator of the Environmental Protection Agency
8 protocols, criteria, reference materials, and minimum
9 performance standards to be used in the evaluation of
10 emerging products and techniques for detecting lead in paint
11 films and dust, including x-ray fluorescence devices, on-site
12 chemical spot testers, and laboratory methods, and to ensure
13 reliable, accurate, and effective lead detection
14 technologies.
15 SEC. 604. STANDARDIZATION OF ABATEMENT PRODUCTS.
16
Subject to the availability of funds, the National
17 Institute of Standards and Technology shall recommend to the
18 Administrator of the Environmental Protection Agency
19 performance criteria and standards for lead paint
20 encapsulants and for strippers within 2 years after the date
21 of enactment of this Act.
AMENDMENTS
1. RITTER AMENDMENT: Establishes a National
Quality Council which would set national goals and
priorities for Quality in business, education, and
government, and requires an annual report to the
President and Congress. (Replaces Sec. 506 - Report on
Advanced Manufacturing and Quality)
2. MINETA AMENDMENT: Requires the Secretary of
Commerce to identify critical industries to U.S. economy
and develop a IO year plan to ensure growth of those
industries with an annual report due to Congress.
3. VALENTINE AMENDMENT: Returns language for pilot
program for standards assistance to the language reported
by the Committee on Science, Space, and Technology in
1990.
RITTER195
AMENDMENT TO THE SUBCOMMITTEE PRINT
OFFERED BY MR. RITTER
Page 43, line 19, through page 44, line 14, amend section
506 to read as follows:
1 SEC. 506. NATIONAL QUALITY COUNCIL.
2
(a) ESTABLISHMENT AND FUNCTIONS. There is established a
3 National Quality Council (hereafter in this Act referred to
4 as the Council' The functions of the Council shall be--
5
(1) to establish national goals and priorities for
6
Quality performance in business, education, government,
7
and all other sectors of the nation;
8
(2) to encourage and support the voluntary adoption
9
of these goals and priorities by companies, unions,
10
professional and business associations, coalition groups,
11
and units of government, as well as private and nonprofit
12
organizations;
13
(3) to arouse and maintain the interest of the people
14
of the United States in Quality performance, and to
15
encourage the adoption and institution of Quality
16
performance methods by all corporations, government
17
agencies, and other organizations; and
18
(4) to conduct an annual White House Conference on
19
Quality Performance in the American Workplace that would
RITTER195
2
1
bring together in a single forum national leaders in
2
business, labor, education, professional societies, the
3
media, government, and politics to address Quality
4
performance as a means of improving United States
5
competitiveness.
6
(b) MEMBERSHIP. The Council shall consist of not less
7 than 17 nor more than 20 members, appointed by the President
8 of the United States by and with the advice and consent of
9 the Senate. Members shall include--
10
(1) at least 2 but not more than 3 representatives
11
from manufacturing industry;
12
(2) at least 2 but not more than 3 representatives
13
from service industry;
14
(3) at least 2 but not more than 3 representatives
15
from national Quality not-for-profit organizations;
16
(4) two representatives from education, one with
17
expertise in elementary and secondary education, and one
18
with expertise in post-secondary education;
19
(5) one representative from labor;
20
(6) one representative from professional societies;
21
(7) one representative each from local and State
22
government;
23
(8) one representative from the Federal Quality
24
Institute;
25
(9) one representative from the National Institute of
RITTER195
3
1
Standards and Technology;
2
(10) one representative from the Department of
3
Defense;
4
(11) one representative from a civilian Federal
5
agency not otherwise represented on the Council, to be
6
rotated among such agencies every 2 years; and
7
(12) one representative from the Foundation for the
8
Malcolm Baldrige National Quality Award.
9
(c) TERMS. The term of office of each member of the
10 Council appointed under paragraphs (1) through (7) of
11 subsection (b) shall be 2 years, except that when making the
12 initial appointments under such paragraphs, the President
13 shall appoint not more than 50 percent of the members to 1
14 year terms. No member appointed under such paragraphs shall
15 serve on the Council for more than 2 consecutive terms.
16
(d) CHAIRMAN AND VICE CHAIRMAN. The President shall
17 designate one of the members initially appointed to the
18 Council as Chairman. Thereafter, the members of the Council
19 shall annually elect one of their number as Chairman. The
20 members of the Council shall also annually elect one of their
21 members as Vice Chairman. No individual shall serve as
22 Chairman or Vice Chairman for more than 2 consecutive years.
23
(e) EXECUTIVE DIRECTOR AND EMPLOYEES. The
Council shall
24 appoint and fix the compensation of an Executive Director,
25 who shall hire and fix the compensation of such additional
RITTER195
4
1 employees as may be necessary to assist the Council in
2 carrying out its functions. In hiring such additional
3 employees, the Executive Director shall ensure that no
4 individual hired has a conflict of interest with the
5 responsibilities of the Council.
6
(f) FUNDING. There is established in the Treasury of the
7 United States a National Quality Performance Trust Fund, into
8 which all funds received by the Council, through private
9 donations or otherwise, shall be deposited. Amounts in such
10 Trust Fund shall be available to the Council without further
11 appropriation for the purpose of carrying out the functions
12 of the Council under this Act.
13
(g) CONTRIBUTIONS. The Council may not accept private
14 donations from a single source in excess of $25,000 per year.
15 Private donations from a single source in excess of $10,000
16 per year may be accepted by the Council only on approval of
17 two-thirds of the Council.
18
(h) ANNUAL REPORT The Council shall annually submit to
19 the President and the Congress a comprehensive and detailed
20
report on--
21
(1) the progress in meeting the goals and priorities
22
established by the Council;
23
(2) the Council's operations, activities, and
24
financial condition;
25
(3) contributions to the Council from non-Federal
RITTER195
5
I
sources;
2
(4) plans for the Council's operations and activities
3
for the future; and
4
(5) any other information or recommendations the
5
Council considers appropriate.
MINETA009
AMENDMENT TO THE Subcommittee PRINT
OFFERED BY MR. MINETA
Page 38, after line 11, insert the following new section:
1 SEC. 504. CRITICAL INDUSTRIES.
2
(a) IDENTIFICATION OF INDUSTRIES AND DEVELOPMENT OF
3
PLAN. The Secretary shall--
4
(1) identify those civilian industries in the United
5
States that are necessary to support a robust
6
manufacturing infrastructure and critical to the economic
7
security of the United States;
8
(2) list the major research and development
9
initiatives being undertaken, and the substantial
10
investments being made, by the Federal Government,
11
including its research laboratories, in each of the
12
critical industries identified under paragraph (1); and
13
"
(3) develop a 10-year plan outlining the major public
14
and private efforts, including research and development,
15
needed to ensure the growth and stability of each
16
critical industry identified under paragraph (1).
17
(b) INITIAL REPORT. The Secretary shall submit a report
18 to the Congress within 1 year after the date of enactment of
19 this Act on the actions taken under subsection (a).
MINETA009
2
1
(c) ANNUAL UPDATES.- The Secretary shall annually submit
2 to the Congress an update of the report submitted under
3 subsection (b). Each such update shall--
4
(1) describe the status of each identified critical
5
industry, including the advances and declines occurring
6
since the most recent report;
7
(2) identify any industries that should be added to
8
the list of critical industries; and
9
(3) recommend measures, including research and
10
development, necessary to ensure the continued successful
11
development of each identified critical industry.
Redesignate subsequent sections accordingly.
Amendment by Mr. Valentine
On page 9, lines 15 through 17, strike the last sentence of
paragraph (e) and insert in lieu thereof:
"Such funds shall be made available for such purpose only to
the extent that matching funds are received by the National
Institute of Standards and Technology from sources outside
the Federal Government."
Justification - The sentence being replaced by the amendment
was written to make the statute match existing practice with
regard to matching funds for the pilot program. In the opinion
of some committee members, it does not accomplish its stated
goal. Therefore, my amendment would return this section to
the universally accepted language our committee reported last
year. The amendment is offered without prejudice and if more
appropriate language can be developed by full committee, it
will be offered at that time.
BUDGET SUMMARY: TECHNOLOGY ADMINISTRATION AUTHORIZATION
(In Thousands of Dollars)
Administration
Subcommittee
Budget Activity
FY 1990
FY 1991
FY 1992
FY 1991
FY 1992
APPROP.
APPROP.
REQUEST
AUTH.
AUTH.
NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY (NIST)
Intramural Program
(Scientific & Technical Research & Services)
Electronics & electrical engineering
16,197
21,273
33,595
21,273
34,000
Manufacturing engineering
6,233
8,266
12,617
8,266
13,500
Chemical science and technology
16,914
18,617
20,822
18,617
22,000
Physics
24,752
25,522
26,475
25,522
27,000
Materials science & engineering
23,157
26,495
28,671
26,495
30,000
Building & fire research
11,271
9,821
10,632
9,821
12,300
Computer systems
9,440
11,819
15,048
11,819
16,000
Applied math & scientific computing
5,599
5,847
6,088
5,847
6,500
Technology assistance
7,379
8,978
10,094
8,978
11,000
Research support activities
24,306
29,590
37,798
29,590
38,700
SUBTOTAL
145,248
166,228
201,840
166,228
211,000
Extramural Program
(Industrial Technology Services)
Advanced Technology Program
9,892
35,900
35,900
100,000
100,000
Manufacturing Technology Centers
7,419
11,900
10,300
15,000
25,000
State Technology Extension Program
1,286
1,300
l
2,000
2,500
SUBTOTAL
18,597
49,100
46,200
117,000
127,500
TOTAL NIST APPROPRIATIONS
163,845
215,328
248,040
283,228
338,500
Other Technology Admin.Programs:
Office, Under Secretary Technology
3,297
3,500
4,236
4,000
5,000
Japanese Technical Literature Prog.
328
400
400
1,000
1,500
Clearinghouse on Productivity,
Technology and Innovation
250
300
300
1,000
1,000
National Technical Information Service
0
0
0
500
1,500
NIST (from above)
163,845
215,328
248,040
283,228
338,500
GRAND TOTAL
167,720
219,528
252,976
289,728
347,500
fro" S&T
REPORT OF THE PRESIDENT TO THE CONGRESS
ON FEDERAL POLICIES, BUDGETS, AND
TECHNICAL ACTIVITIES
IN
SEMICONDUCTORS
*
*
FIBER OPTICS
*
SUPERCONDUCTING MATERIALS &
*
*
*
ADVANCED MANUFACTURING
REPORT OF THE PRESIDENT TO THE CONGRESS
ON FEDERAL POLICIES, BUDGETS, AND
TECHNICAL ACTIVITIES
IN
SEMICONDUCTORS,
FIBER OPTICS,
SUPERCONDUCTING MATERIALS,
&
ADVANCED MANUFACTURING
I. INTRODUCTION
A. Federal R&D Funding Policy
The Omnibus Trade and Competitiveness Act
The President's fiscal year 1991 budget re-
of 1988 mandated this report by the President to the
quest includes the following comprehensive
Congress on policies and budget proposals re-
statement of R&D funding policy which bears
garding Federal research in semiconductors and
directly on the issue of Government support for
semiconductor manufacturing technology, fiber
the four technologies covered in this report:
optics and optoelectronic technology generally,
superconducting materials, and advanced manu-
"Traditionally, the Federal Government has
facturing technologies.
supported R&D in two areas, first, to meet its
own direct needs-where it is the principal
The Federal Government's role in research
user (e.g., defense-related R&D)-and, sec-
and development of technologies, like the four
ond, to meet broader national needs (e.g.,
covered in this report, is evolving. For example,
basic research in all areas, measurements
in December, 1989, the Administration published
and standards R&D, health-related R&D). In
The National Action Plan on Superconductivity
instances where the Federal Government is
Research and Development (hereafter referred
the ultimate market for the R&D results,
to as The Superconductivity Plan). This plan
R&D funding decisions must be made on the
outlines the special steps that the Executive
basis of Government needs and requirements.
Branch will take to coordinate superconductiv-
Thus, funding levels for defense R&D and
ity activities. The President's FY 1991 budget
civil space R&D activities are determined in
request included a budget cross-cut of research
the context of their respective national secu-
and development on robotics, high performance
rity and civil space objectives and require-
computing, semiconductors, advanced imaging
ments. The actual R&D activities, however,
technologies, and superconductivity. These two
should be managed in such a way as to
documents - the President's Budget and the
encourage commercial applications of the
Superconductivity Plan - articulate the evolv-
R&D as well. The second category of R&D,
ing government role in technologies through
for which the Government is not the princi-
Federal funding of R&D, coordination of research
pal market, includes both basic research and
activities, and creation of policies to ensure an
generic applied research. Federal invest-
economic environment in which firms can com-
ment in such R&D is warranted to capture
mercialize technologies developed by industry,
the public good benefit. The Administration
universities, Federal laboratories, or other
believes that Federal support for this type of
sources. This report reflects the logic of those
R&D should be based on several fundamen-
two documents and adds a discussion of the
tal criteria:
management and organizational challenge to
the private sector of these technologies, as well as
there should be "externalities" associ-
a description of the program activities by Federal
ated with the R&D (e.g., pollution clean-
agencies in the four technologies.
up, basic research);
there should be benefits to broad seg-
II. THE FEDERAL ROLE IN R&D
ments of the economy simultaneously
The evolution of the four technologies cov-
(e.g., health research, agricultural re-
search); and
ered in this report is today driven predomi-
nantly by commercial applications. Nonethe-
the private sector is without sufficient
less, the Federal Government has an important
incentives to capture enough of the ben-
role to play. The Superconductivity Plan cited
efits to make such R&D investments
three areas where there is a role for the Federal
worthwhile. In such cases there should
Government: R&D funding, coordination of
be private support (e.g. joint ventures or
R&D, and R&D-related policies.
cost-sharing) commensurate with the ex-
pected benefits to the private parties."
1
REPORT OF THE PRESIDENT TO THE CONGRESS ON FEDERAL POLICIES, BUDGETS, AND TECHNICAL ACTIVITIES IN
Federal agencies fund R&D to meet their own
mission on Superconductivity plans to publish a
direct needs where they are the principal user. In
report containing its assessment and recommen-
other cases, Federal support is for pre-competitive
dations for a Federal approach to superconduc-
research that meets all the criteria established for
tivity.
direct Federal funding, specifically, that the re-
OSTP, through the Federal Coordinating
search is in the interest of the public welfare and
Council for Science, Engineering and Technol-
the private sector is unable to capture sufficient
ogy (FCCSET), is considering a similar role for
benefits to make private investment economic.
the other three technologies in this report-
Most research necessary for technological
semiconductors, fiber optics and opto-electronics,
advance, however, is funded by the private sector
and advanced manufacturing. Such a coordi-
and is not pre-competitive. Firms may be un-
nating role will aid the early R&D stages of the
willing to share their research results with their
innovation process, when corporate proprietary
competitors, and they may be able to protect
interests are at a minimum.
their technology from unauthorized use through
The government can also act as a catalyst in
patents or other intellectual property protection.
bringing together the expertise of the Federally
Nonetheless, firms may still want to cooperate
funded laboratories, universities, and industry
with some competitors or with their suppliers or
customers in order to share the costs and risks of
in partnership for the creation of new technology.
Where the technology has potential impact on
developing a new product or process. The Federal
several industries, this coordinating role can also
Government has other policies to foster such
help the private sector organize itself for timely
private sector cooperation, in particular, the
utilization of the technology. As The Supercon-
policies that reduce the antitrust uncertainties
ductivity Plan notes, "This new catalytic role
regarding R&D joint ventures.
derives from the very nature of this technology."
B. Coordination of Federal R&D
The Nation's success in commercializing
technologies ultimately depends on the private
The Federal Government can play an im-
sector to make the critical decisions on how
portant coordinating role in technologies in which
much capital, time, and effort to invest. The
several Federal agencies actively fund R&D to
Government's ability to help coordinate appro-
meet their own direct needs as well as to meet
priate R&D at pre-competitive stages will be
broader national needs. In exercising its coor-
enhanced by private sector leadership in orga-
dinating role for technologies with broad com-
nizing itself for effective teamwork. Without
mercial application, however, the Government
private sector initiative, government involvement
needs to be careful about imposing its own
in the process risks introducing time delays and
judgments about competing technical alterna-
weakening incentives for firms to commercialize
tives. For example, the Government's pro-
the technology. In addition, where Government
grammatic needs may represent only a small
funding focuses on pre-competitive technology,
and specialized segment of the potential market
domestic firms that are actively involved in the
for a technology. Federal policies must also
process will be able to exploit it sooner and more
respect the prudence of taking diverse ap-
effectively. At present, it appears that domestic
proaches to the same goal.
firms have shown less interest in acquiring tech-
The Superconductivity Plan establishes a
nologies supported by Federal funds than foreign
coordinating role for the Office of Science and
firms.
Technology Policy (OSTP). OSTP will provide
leadership in the national superconductivity ef-
C. Other Policies Affecting Technological
fort. The OSTP Director will work to assure that
Innovation
all parts of the Government program form a
coherent whole, well balanced between basic
In addition to its responsibilities in the fund-
and applied research. Also, the National Com-
ing and conduct of Federal R&D programs, the
Government has continuing responsibility for
?
SEMICONDUCTORS, FIBER OPTICS, SUPERCONDUCTING MATERIALS, AND ADVANCED MANUFACTURING
fostering an economic and business climate that
cally self-sufficient. Some analysts believe self-
will remove unnecessary obstacles to the com-
sufficiency is impractical even for a single nation.
mercialization of technologies. Government
While the normal functioning of science bodies
policies affecting technological innovation are
provides for information exchange among sci-
mainly generic rather than technology specific,
entific investigators, it is appropriate for the U.S.
because they are intended to encourage inno-
Government to foster that exchange by estab-
vation in a broad range of areas. Technologies
lishing close contact with basic research efforts
are so dynamic that it is difficult, especially for
in the rest of the world, particularly Japan and
non-commercial parties, to predict in advance
Europe. The U.S.-Japan Agreement in Coop-
which ones will succeed. Even for the applica-
eration in Science and Technology, for example,
tion, there are sometimes competing technolo-
provides a framework for new relationships for
gies. For example, there is competition among
cooperation on research and development in
advanced materials-composites, advanced ce-
coming years. The Agreement includes provi-
ramics, and polymers-to perform the same
sions to establish a balanced and equitable
functions. A specific example is the battle over
partnership in joint undertakings, to assure
the relative merits of, and trade-offs among,
comparable access to facilities and activities
silicon, gallium arsenide, and diamond material
supported or sponsored by the government, and
for certain uses of semiconductors.
to provide for adequate and effective protection
of intellectual property rights. The Federal
1. Current Policy Initiatives: Several policy
government, through a variety of programs, is
initiatives under current consideration would
encouraging U.S. scientists and engineers to
foster a conducive economic environment for
participate in R&D efforts in Japan and to take
technological innovation. Appropriate action
Japanese language training.
on these policy initiatives would provide a basis
C. Science and Technology Base: Developing
for consistent and stable research in the private
and maintaining a science and technology base is
sector by reducing the inherent risks and un-
vital to the future of our Nation. In order to
certainties in these activities, promoting the ex-
maintain this base, steady, predictable support is
change of information across national bound-
needed. A more stable research environment
aries, providing consistent Government R&D
would be created by multi-year authorizations
support, and protecting the environment. These
and two-year appropriations cycles. Such an
initiatives include:
approach would help researchers devote more
of their time to research, and less of their time to
a. Research and Experimentation Tax Credit:
satisfying paperwork requirements. The public
Administration initiatives in support of tax credit
and private sectors should work cooperatively
law reform will aid the commercialization of
in both basic and applied research, each pursu-
technologies. The President has proposed
ing their legitimate goals. This cooperation will,
changes to the present tax credit to encourage
if successful, shorten the cycle of innovation. A
U.S. industry to invest in long-term research.
shortened innovation cycle would allow earlier
The changes include making the R&E tax credit
market entry which is a major factor in competing
permanent, thereby providing some degree of
in international markets.
certainty in making long-term resource commit-
ments; extending the credit to cover expenditures
2. Other Related Policy Initiatives: In addition to
by startup firms, which will help encourage
these five initiatives, President Bush recently
venture capital investment in these enterprises;
announced his support for legislation to reduce
and establishing a two-tier structure for the tax
the antitrust uncertainty that may unnecessarily
credit, thus encouraging both rapid growth in
discourage some joint production ventures and
R&D expenditures as well as sustained com-
to reform our cumbersome and expensive
mitments.
product liability system. Also, the Administra-
b. International Cooperation: It is difficult, if
tion will encourage the conduct of R&D by
not impossible, for a single firm to be technologi-
transnational companies by proposing to make
3
REPORT OF THE PRESIDENT TO THE CONGRESS ON FEDERAL POLICIES, BUDGETS, AND TECHNICAL ACTIVITIES IN
permanent the rules for allocation by such com-
and potentially joint manufacturing, by
panies of R&D expenditures and will propose
groups of companies, whichshould have
changes in those rules.
procompetitive benefits as markets be-
come increasingly globalized.
3. Existing Policies to Encourage Innovation: A
number of recent legislative and executive ac-
The Small Business Innovation Develop-
tions either directly or indirectly affect the cli-
ment Act (1982)-established the Small
mate for the development and commercializa-
Business Innovation Research (SBIR)
tion of technology. These are:
program to provide seed funding to
launch innovations which have short-
The President's Superconductivity Ini-
term prospects for commercialization.
tiative (1987)-an eleven point directive
to bring focus to the Federal actions in
The Title V Report (1989); The OECD
support of superconductivity, some of
General Framework of Principles for In-
which, like the proposal to expand the
ternational Cooperation in Science and
National Cooperative Research Act of
Technology (1988); and the Head of State
1984 to include some types of joint pro-
Agreement for Science and Technology
duction ventures, would apply to all
Cooperation (1988)-established a
technologies.
framework for equitable, balanced in-
ternational technology cooperation in-
The National Superconductivity and
cluding protection of intellectual prop-
Competitiveness Act of 1988-directs a
erty.
number of actions related to the develop-
ment and commercialization of super-
The Council on Competitiveness (1989)
conductivity.
and The Economic Policy Council Work-
ing Group on Research, Development,
The Omnibus Trade and Competitive-
Technology and Innovation (1989)-led
ness Act of 1988-a wide ranging law
by the Vice President and Secretary of
which includes among many other things
Commerce respectively, these two
provisions for the oversight of super-
mechanisms were established by Presi-
conductivity and semiconductors and to
dent Bush to improve competitiveness
strengthen generally the contribution of
and technological innovation.
technology to competitiveness.
The Science and Technology Centers
The Federal Technology Transfer Act
Program (1989); The Regional Centers
(1986) amending the Stevenson-Wylder
for the Transfer of Manufacturing Tech-
Act (1980); Executive Order 12591 (1982)
nology (1988); and The Engineering Re-
Facilitating Access to Science and Tech-
search Centers Program (1985)-have
nology; The University and Small Busi-
created twenty-eight university-based
ness Patent Procedure Act (1980)
centers to develop new knowledge and
(amended by the Trademark Clarifica-
to transfer advanced technology to in-
tion Act (1984); and The National Com-
dustry.
petitiveness Technology Transfer Act
(1989)-which taken together constitute
Department of Defense Funding for
a system to encourage the commercial-
SEMATECH and the National Center for
ization of Federally-funded research.
Manufacturing Sciences-encourage
ctor-ledcooperativeapproaches
The National Cooperative Research Act
to semiconductor manufacturing tech-
of 1984; the Antitrust Enforcement
nology and advanced manufacturing
Guidelines for International Operations
technology.
(1988); and the proposed Cooperative
Production Act of 1990-reduces the
uncertainty related to collaborative R&D,
SEMICONDUCTORS, FIBER OPTICS, SUPERCONDUCTING MATERIALS, AND ADVANCED MANUFACTURING
D. Federal Technology Research Budgets: Fiscal
jections during the 1989 fiscal year. For this reason
Years 1988 through 1990: The following tables
these numbers do not track with, nor should they
summarizing Federal funding for R&D for the four
be compared to, the budget crosscuts prepared for
technologies, by agency, for fiscal years 1988 through
subsequent budgets. Funding for research for fiber
1990. The budget data collected for this report were
optics (and photonics generally), superconducting
based on a unique set of definitions, a unique
materials, and ad vanced manufacturing R&D show
process for data collection, and on the budget pro-
steady growth.
TABLE 1. Funding of semiconductor, fiber optics, superconducting materials, and advanced
manufacturing research and development (dollars in millions) by agency:
Agency
1988
1989
1990
Semiconductor R&D
Energy
48
48
48
Defense
404
416
423
NSF
32
34
36
NASA
3
4
4
Commerce
3
3
3
Semiconductor Total
$490
$505
$514
Fiber Optic and Optoelectronic R&D
Energy
9
10
10
Defense
80
118
116
NSF
13
14
16
NASA
7
4
4
Commerce
2
2
5
Fiber Optic Total
$111
$148
$151
Superconducting Materials R&D
Energy
69
138
165
Defense
60
73
72
NSF
20
26
29
NASA
4
6
6
Commerce
3
3
4
Superconducting Total
$156
$246
$276
Advanced Manufacturing R&D
Defense
154
170
173
Commerce
3
3
3
Advanced Manufacturing Total
$157
$173
$176
Note: The budget numbers shown in the table for advanced manufacturing do not include funding for robotics, and
therefore do not show several agencies which have budgets in that area. The President's FY 1991 budget request
contains a complete crosscut on robotics funding. A data collection for advanced manufacturing R&D funding,
including robotics, is planned for the President's FY 1992 budget request.
The budget data collected for this report were based on a unique set of definitions, a unique process for data collection,
and on the budget projections during the 1989 fiscal year. For this reason these numbers do not track with, nor should
they be compared to, the budget crosscuts which have been prepared for subsequent budgets.
A description of the Federal programs for each technology, by agency, is included in the Appendices.
5
REPORT OF THE PRESIDENT TO THE CONGRESS ON FEDERAL POLICIES, BUDGETS, AND TECHNICAL ACTIVITIES IN
It is important to note that the agency pro-
duction which is reflected as a $100 million in-
grams are responsive to agency missions. In the
crease (or 46 percent) in the SSC budget.
case of program agencies like Defense, this often
The 1991 budget request included funds for
translates into support for specialized needs
two programs at the Department of Commerce's
which would not be met by industry in the
National Institute of Standards and Technology
normal course of business. These budget figures
to encourage the development and transfer to
and the programs which they represent should
the private sector of a wide range of advanced
not be viewed as comprehensive or integrated
technologies. The budget proposed $10 million
R&D strategies for the technologies. However,
for the new Advanced Technology Program
agency programs are designed by scientists and
(ATP) to support a number of ventures doing
engineers with an awareness of work being done
generic, pre-competitive research in promising
by others. Also, there is increasing interaction
technologies. The budget also proposed $5
between government laboratories and the private
million for grants to the Regional Manufacturing
sector. Currently, there are more than 500 co-
Technology Centers that will transfer advanced
operative agreements in effect which are en-
manufacturing technologies to medium and
couraged by the Federal Technology Transfer
small-sized businesses.
Act of 1986, Executive Order 12591 (1987), and
the National Competitiveness Technology
The budget request also included an increase
Transfer Act (1989). These include the Depart-
of $222 million (or 26 percent) for science and
ment of Energy's Superconductivity Pilot Pro-
engineering education in five agencies.
gram which is partially supported by the private
sector.
III. PRIVATE SECTOR'S ROLE IN INNOVATION
1. Related Fiscal Year 1991 Budget Initiatives: The
The private sector has the principal role in
President's current technology budget crosscut
innovation and in identifying and utilizing
was a one-time survey that covered a different
technologies for commercial products and pro-
set of technologies than those in this report.
cesses. Even in meeting the Government's own
Where similar technologies were included, the
direct needs, the Government relies principally
R&D crosscut and this report generally used
on the private sector to undertake the develop-
different definitions. The numbers, therefore,
ment process and encourages these activities to
are not comparable with the figures in this report.
be managed in such a way as to allow commer-
The proposed FY 1991 R&D expenditures for
cial applications of the R&D as well. The Federal
related crosscut technologies were $537 million
Government and the private sector share the
for semiconductor technology, $215 million for
responsibility for supporting appropriate pre-
superconductivity, $469 million for high-per-
competitive research on generic enabling tech-
formance computing, $118 million for dvanced
nologies. However, the Administration believes
imaging technologies whose reporting excluded
that it is not an appropriate role for the Federal
most fiber-optic and optoelectronic R&D), and
Government to develop specific commercial
$192 million for robotics (which is excluded from
products whether they are based on technolo-
the current report's definition of advanced
gies developed with Federal R&D support or
manufacturing technology). These amounts re-
not. Moreover, where appropriate the private
flect percentage increases over estimated FY 1990
sector must take an active role in directing inno-
spending of 2 percent for semiconductors, 5
vation process from the outset to ensure that
percent for high-performance computing, and
R&D fits market needs. As stated in the back-
28 percent for robotics. No change in spending
ground materials to The Superconductivity Plan:
for advanced imaging technologies was pro-
posed. The proposal included a 6 percent drop in
"The multidisciplinary nature of the tech-
R&D funding for superconductivity due to the
nology and the fact that the benefits from
progress of the Superconducting Super Collider
commercialization will accrue over such a
(SSC) magnet from research into prototype pro-
long term may make it difficult for individual
6
SEMICONDUCTORS, FIBER OPTICS, SUPERCONDUCTING MATERIALS, AND ADVANCED MANUFACTURING
firms to justify capitalizing the basic R&D
some cases investments may only be re-
expenses required for commercialization.
couped - if the results are used in sev-
Generic technical advances cut across in-
eral applications, often in different in-
dustrial sectors and markets. With fierce
dustries.
international competition, time will be criti-
Different firms address these innovation and
cal in transferring the technology into mar-
commercialization challenges differently. Some
ketable products-with successful commer-
firms view the traditional linear, sequential in-
cialization dependent on concurrent research,
novation management practice as the best for-
design, manufacturing, and marketing
mula. Some other firms have begun to look at
"Because of the time pressure for concur-
alternative forms of innovation. One alternative
rent effort across the spectrum from research
that is receiving increased attention is a systems
to applications, and the diversity of industries
management approach that integrates the inno-
involved, the management challenge is great.
vation and commercialization stages. These two
The Nation's success in commercializing su-
approaches are illustrated in Figure 1 for opto-
perconductivity ultimately depends on the
electronics devices.
private sector, which must make the critical
In the sequential model, R&D precedes
decisions on how much capital, time, and
product design. After product design, manufac-
effort to invest."
turing processes are established at which point
The firm that can be first to the market with
the product is marketed. Through marketing,
new products based on developments in one of
the firm begins to receive feedback from current
these areas can reap major commercial rewards.
and/or potential users and redesign of the
Innovation and commercialization have become
product or design of the next generation of
time critical. Time criticality, combined with
products begins. Under this model, the firm
high cost and long lead-time, technical com-
often approaches a single application at a time,
plexity, and the potential for multiple uses in
rather than looking simultaneously at multiple
many industries, may have important implica-
applications.
tions for the management of innovation. In
Using the systems approach in the optoelec-
many high-technology areas:
tronics device example, a firm would simulta-
Technological advances may not be spe-
neously work on chip design, materials, pro-
cific to one industry;
cessing technology, and manufacturing equip-
ment in conjunction with its suppliers. At the
Existing products and technologies are
same time, the firm would work with multiple
made obsolete before their useful life is
applications and users. Suppliers and users -
over, as firms shorten product life cycles
whether internal or external to the firm- become
to compete in international markets;
"stakeholders" in the commercialization process.
Increasingly the private sector has to
In a systems approach, the firm may under-
identify specific products to meet specific
take a multi-industry, multifirm joint venture of
market opportunities before undertak-
noncompetiting firms to develop, manufacture,
ing R&D;
and use the new product(s). The systems ap-
Successful and timely innovation may
proach will allow initial design input from the
require the capabilities of many firms
several users, planned parallel tracks of R&D,
from different industries and other orga-
parallel development of applications in con-
nizations combined in coordinated, con-
junction with the R&D, and early and simulta-
current efforts.
neous entry into many markets. Some American
firms such as Xerox, AT&T, Motorola, and
Returns on expensive investments in ge-
Hewlett-Packard which have switched to this
neric enabling technologies by firms of-
model of managing innovation inside the firm,
ten can only be maximized - and in
have created new products in approximately
7
REPORT OF THE PRESIDENT TO THE CONGRESS ON FEDERAL POLICIES, BUDGETS, AND TECHNICAL ACTIVITIES IN
half the time and at half the cost of those using
Greater materials purity required as the
the sequential model. This approach allows the
feature sizes of integrated circuits are
developmental costs to be shared by all the
reduced,
stakeholders. Also, the users represent an initial
Better computer models for predicting
market for the product, potentially allowing the
the solid-state effects of the boundaries of
producer to achieve economies of scale and price
competitiveness more rapidly. In short, it can
regions within the devices, and
reduce risk for all members of the joint venture.
Better ways of dealing with heat dissipa-
This approach may offer a means for firms to
tion.
collaborate where large investments associated
with high-technology products may exceed in-
Five agencies carry out selected research and
dividual firm resources.
development programs in the general area of
semiconductor technology to meet their specific
Many American firms are unfamiliar with
missions.
this systems model. Although it is commonly
associated in the U.S. only with single application,
The Department of Energy carries out re-
government-led, defense and space projects, it is
search on semiconductors and semiconductor
being used by many foreign firms for multiple
manufacturing technology which are important
application, private sector-led, innovation efforts
to several of its missions including solar energy,
aimed primarily at commercial markets.
the weapons program, basic energy sciences re-
search, and high energy physics research.
IV. OVERVIEW OF TECHNOLOGIES
The Department of Defense programs fo-
A. Semiconductors and Electronics
cus on many special manufacturing problems,
Technologies
one of the most important of which involves
microcircuit reliability in hostile (i.e., combat)
environments. Recently SEMATECH, an indus-
Semiconductors are the basic component of
try consortium to rebuild U.S. excellence in semi-
the electronics Industry. They are integral to the
conductor manufacturing was established. It
electronic systems which make possible parts of
will spend $250 million per year for a minimum
the nation's defense, communication systems,
of five years and is funded by 14 member compa-
transportation, medical care, banking, manufac-
nies, the U.S. Government through the Depart-
turing, etc. The world market for semiconductor
ment of Defense, and the State of Texas.
devices is $50 billion and for semiconductor
manufacturing, test, and assembly equipment is
The National Aeronautics and Space Ad-
$8.6 billion. U.S. production of semiconductor
ministration addresses problems unique to its
devices was $20 billion in 1988 and is presently
mission. For example, the objective of its gallium
growing at 8 percent annually. U.S. production
arsenide (GaAs) technology development pro-
of semiconductor production equipment was
gram is to develop GaAs digital integrated circuit
$3.8 billion in 1988.
technology for its unique, high data rate, signal
processing applications such as: robotic vision,
Advanced semiconductor technology is
high resolution imagery spectrum and the
evolving toward even more complex semicon-
geodynamic laser ranging system instruments.
ductor devices with smaller feature sizes. The
evolving technology is resulting in changes in
The Semiconductor Metrology Program in
processing and quality control, in materials tech-
the Department of Commerce's National Insti-
nology, in device design, and in packaging, es-
tute of Standards and Technology provides
pecially:
needed generic measurement methods and ser-
vices, national reference standards, carefully
Improvements in processing and quality
evaluated reference data, and technical consul-
control necessary for new processing
tation on measurement technology and theory.
technologies like x-ray lithography,
These support research, development, and
8
SEMICONDUCTORS, FIBER OPTICS, SUPERCONDUCTING MATERIALS, AND ADVANCED MANUFACTURING
manufacturing; promote equity in domestic and
ation for computing applications. Several basic
international markets; and aid international
devices necessary for a completely photon-based
competitiveness of the Nation's manufacturers
system are either not yet available, or are not
and users of semiconductor materials, fabrication
cost-effective. However, many laboratories
equipment, and devices.
worldwide have strong R&D efforts on photonic
computer devices and components.
The National Science Foundation provides
funding to universities to conduct basic research
The world market for optical fiber communi-
and to train students in the field of semiconductor
cation systems components reached $3.2 billion
technology. Among the research areas supported
per year in 1989 and has been growing at about
are packaging materials technology, dielectrics,
25 percent per year. The world market for sys-
silicon technology and devices, compound semi-
tems is considerably greater. For example, the
conductor technology and devices, device pro-
world wide investment in undersea lines alone is
cessing techniques, and integrated electronics.
expected to reach $8.5 billion for the eight-year
period 1988-1996.
B. Fiber Optics and Optoelectronics
Five agencies carry out selected research and
Technologies
development programs in the general area of
Photonics is the name given to the genera-
fiber optics and optoelectronic technologies to
tion, control and use of photons (light); it is the
meet their specific missions.
optical analog of electronics. Photonic or electro-
The Department of Energy conducts re-
optic devices and systems can have a large
search under its weapons program which in-
bandwidth which means that huge amounts of
cludes the synthesis, characterization and pro-
data can be quickly switched and transmitted.
cessing of glasses; investigations of non-linear
Photonic devices could replace many elec-
optical properties of materials; and the effects of
tronic devices but are currently not nearly as
impurities on the optical properties of disordered
well developed or cost-effective. The main com-
materials. The goals are to improve the perfor-
mercial applications for photonics are for infor-
mance of these materials for use as components
mation transmission and optical sensing. A third,
in diagnostic instrumentation to do real-time
optical computing, is in the exploratory stage.
monitoring of complex experiments for weap-
ons testing.
Photonic-based systems are becoming the
system of choice for many high-data-rate uses
The Department of Defense's programs are
like long distance telephone and data networks.
aimed primarily at the proliferation of defense
Even such short-haul uses as communication
systems which will rely on fiber optics in the next
between racks of equipment in a large switching
decade. Today's fiber optics research will provide
system or computer and between components of
ships, aircraft, and undersea communications
in-home high fidelity stereo systems are being
with higher band width capabilities at lower cost
taken over by photonic systems.
than metallic cable approaches. In addition,
fiber optical sensors will provide a new class of
A photonic information transmission system
gyroscopes as well as acoustic, magnetic sensors
has three basic components: an electro-optic
for inertial navigation and antisubmarine war-
input device, a transmission medium and an
fare.
electro-optic output device. While the transmis-
sion technology is mature, dvances in the tech-
The National Science Foundation supports
nology used in electro-optic input and output
university research efforts in optical fiber tech-
devices can be important to key devices proposed
nology for communications, sensing, and
for high definition television receivers and for
switching applications; a number of academic
many advanced displays.
research projects on optical phenomena for ap-
plications in optical computing, processing, logic,
The high speed and high noise immunity of
displays, imaging, and others; and on semicon-
photonic systems make them a natural consider-
ductor devices that exhibit photoelectric or op-
9
REPORT OF THE PRESIDENT TO THE CONGRESS ON FEDERAL POLICIES, BUDGETS, AND TECHNICAL ACTIVITIES IN
toelectronic properties. This support is intended
In the electric power industry, supercon-
to advance the basic science and to educate stu-
ducting magnetic energy storage (SMES) is a
dents in electro-optic technology.
potential near term application of superconduc-
tivity with important economic benefits.
The National Aeronautics and Space Ad-
ministration has several programs in fiber-optic
Five agencies carry out selected research and
and electro-optics research and development for
development programs in the general area of su-
applications in space and aeronautics.
perconductivity to meet their specific missions.
The Department of Energy carries out research and
The Department of Commerce's R&D pro-
development on high temperaturesuperconductors
gram, which is carried out in the laboratories of
primarily in support of three program missions:
NIST, provides the base of consistent physical
Basic Energy Sciences, Conservation and Renew-
measurements and standards required to sup-
able Energy, and Defense Programs. The
port the development and utilization of optical
Department's research program in low-tempera-
fiber telecommunications. In addition, the pro-
turesuperconductivity is needed primarily because
gram encompasses the measurement of the
superconducting magnets are required to advance
special characteristics of fibers used for sensors
the performance of expensive experimental devices
and evaluation of prototype sensors for current,
utilized in magnetic fusion energy and high energy
voltage, magnetic field, and other quantities.
and nuclear physics.
C. Superconducting Material
The Department of Defense's program in
high temperature superconductivity involves
Superconductivity is a material property
synthesis, processing and fabrication of materi-
characterized by zero electrical resistance and
als; pre-commercial manufacturing science is-
other related phenomena. One of the most sig-
sues; and conceptual device development. Large-
nificant scientific breakthroughs of recent de-
scale, low-temperature superconductivity tech-
cades, the achievement of high temperature su-
nology is relatively mature, but there has been
perconductivity, was made in 1986, when ce-
only modest application in military systems.
ramics, based on perovskite systems, were found
Research and development is continuing to
to exhibit superconductivity at temperatures
support such applications as sensors, analog
which were significantly higher than was ever
electronics, digital electronics, electric
observed in earlier work. Because superconduc-
drivesystems for ships (and possibly land vehicles
tivity has the potential for application in a wide
and aircraft), electric generators, electric energy
variety of products, it has attracted a great deal of
storage systems for directed energy weapons, and
interest.
directed energy weapons.
The most notable commercial success to date
The National Science Foundation supports
is the magnet used for Magnetic Resonance Im-
research in universities to bring a wide variety of
aging (MRI), which with other medical applica-
experimental techniques to the study of new high-
tions of superconductivity have great market
temperature superconductors; to bring experience
potential.
in chemistry to the synthesis of solid state oxide
The development of high energy particle
superconductors; to understand bulk properties,
accelerators has led to the construction of many
thin films, and superconducting devices; to un-
large and successful superconducting bending
derstand physical limitations of superconductors
and focusing magnets. The Tevatron, at the
such as critical temperatures and fields; to under-
Fermi Laboratory, features a ring of supercon-
stand metallic and structural behavior of supercon-
ducting magnets 5 km in circumference. The
ductors and the microscopic behavior of super-
Superconducting Super Collider (SSC) will be
conducting properties; to expand knowledge of
similar but ten times bigger. Perhaps the most
superconductor processing, modification, and
significant potential application of large super-
synthesis and characterization of superconducting
conducting magnets is to controlled thermo-
ceramic oxides; and to apply both low-temperature
nuclear fusion.
and high-temperature superconductors.
10
SEMICONDUCTORS, FIBER OPTICS, SUPERCONDUCTING MATERIALS, AND ADVANCED MANUFACTURING
The National Aeronautics and Space Ad-
engineering design changes, 40 to 60 percent in
ministration has instituted a program in high-
the manufacturing costs, and 75 percent in the
temperature superconductivity for applications
scrap and re-work of manufactured products.
in space and aeronautics. The high-temperature
This last effect is particularly significant because
superconductor program includes benefit stud-
some surveys have shown that, in the U.S., one-
ies of typical aerospaceapplications. The research
third of the work force in manufacturing indus-
is directed at characterization of new high-tem-
tries is engaged in re-work; that is, correcting
perature superconducting materials for unique
out-of-tolerance parts made by the other two-
aeronautics and space applications including
thirds.
the effects of vacuum and space radiation.
Two agencies carry out selected research and
The Department of Commerce (NIST) pro-
development programs in the general area of
vides measurement technology and data in su-
advanced manufacturing to meet their specific
perconductor electrical and mechanical proper-
missions. The Department of Defense's primary
ties, composition and structure analysis, pro-
goal in its research and development programs
cesses, and superconducting electronics. Earlier
in advanced manufacturing is to improve the
work in superconducting electronics has led to
productivity and responsiveness of the defense
the national standard for voltage being based on
industrial base. The primary Department of
the performance of superconducting devices.
Defense program in this area is its MANTECH
program. While the Department of Defense
D. Advanced Manufacturing Technologies
funds R&D in advanced technology, the con-
tractors are normally expected to invest in the
Historically, design, manufacturing, and
capital equipment necessary to implement that
measurement have been separate processes.
technology.
Conceptually, a designer would design a system
and reduce its individual parts to drawings, or
The Department of Commerce (NIST) has
blueprints, to communicate the essential fea-
two principal goals for its advanced manufac-
tures of the design to the machinist who would
turing program. One is to supply U.S. industry
make the parts. The machinist would cut a part
with this radically new way of making precisely
on a milling machine, stopping periodically to
machined parts with dimensions that can be
check dimensions with calipers and gauges. As
referenced to national measurement standards
manufacturing techniques became more and
which are maintained at the NIST. The second is
more efficient, the measurement process con-
to support the modernization of American
sumed an ever-greater percentage of the total
manufacturing by providing the technical infor-
work required to produce a part. In addition,
mation necessary to develop standardized inter-
retooling to respond to design changes became
faces between various types of equipment. NIST
increasingly expensive.
is also using its laboratories as a test bed for
research on the next generation of knowledge-
The development of modern computer sys-
based manufacturing systems and is carrying
tems has stimulated the beginning of a funda-
out technology transfer activities in the area of
mental change in the manufacturing process
advanced manufacturing.
which affects the design, fabrication, and the
measurement of the part. This change, which has
been called "concurrent engineering" is, in its
simplest terms, the development of the product
and its manufacturing, quality control, distri-
bution, and repair process simultaneously. For a
selected application in the Department of
Defense's acquisition of a weapons system, it has
been estimated that concurrent engineering pro-
duced reductions of 50 percent in the number of
11
REPORT OF THE PRESIDENT TO THE CONGRESS ON FEDERAL POLICIES, BUDGETS, AND TECHNICAL ACTIVITIES IN
V.
CONCLUSION
private sector must take an active role in direct-
ing the innovation process from the outset to
The Administration continues to support
ensure that R&D fits market needs. New alter-
R&D to meet direct Government needs as well as
natives such as systems management may offer
research on pre-competitive enabling technolo-
a means for firms to share costs and risks where
gies in most current high-technology areas, in-
large investment associated with high-technol-
cluding semiconductor, opto-electronics and fi-
ogy products may exceed individual firm re-
ber optics, superconducting materials, and ad-
sources and to manage the innovation process
vanced manufacturing. The Administration's
more efficiently.
policies with respect to technological innovation
identify appropriate roles for the Government
The Administration is undertaking continu-
and for the private sector.
ing efforts to improve coordination of Federal
R&D funding and improve the environment for
Traditionally, the Federal Government has
innovation and development of commercial
supported R&D for two reasons, as stated in the
products by the private sector, including, inter
President's FY 1991 Budget: first, to meet its own
alia, the Administration's proposal to make the
direct needs- where it is the principal consumer
research and experimentation tax credit perma-
- such as defense and civilian space R&D; and
nent.
second, to meet broader national needs such as
new and better means of diagnosis and treatment
of disease, agricultural productivity, and pollu-
tion clean-up.
In the first case, where the Federal Govern-
ment is the ultimate consumer for the R&D re-
sults, funding levels and decisions are made on
the basis of Government programmatic objec-
tives, needs and requirements. The Government
relies principally on the private sector to un-
dertake the development process and encour-
ages these activities to be managed in such a way
as to allow commercial applications of the R&D
as well.
The second category of R&D requires Federal
support in the interests of public welfare where
the private sector is unable to capture sufficient
benefits to make private R&D investments eco-
nomic. Federal support of fundamental scientific
research is the prototypical, essential investment
in the Nation's scientific and technological future.
This fundamental research is a necessary part of
the knowledge base required for the Federal
Government to meet its own direct needs and
objectives in the future and for the private sector
to create new products and processes.
However, the Administration believes that it
is not an appropriate role for the Federal Gov-
ernment to develop specific commercial products,
even where based on technologies developed
with Federal R&D support. Commercial deci-
sions are best left to the private sector. The
- 12
SEMICONDUCTORS, FIBER OPTICS, SUPERCONDUCTING MATERIALS, AND ADVANCED MANUFACTURING
VI. APPENDICES
in device design, and in packaging.
Improved processing and quality control
1. Semiconductors and Electronic
requires new processing technologies, x-ray
Technologies
lithography as an example, which can pro-
duce finer structures and productivity im-
1.1 Introduction
provements using existing technologies. The
process of making an integrated circuit re-
Semiconductor products are critical ele-
quires up to 500 steps. Most of these steps
ments of most high technology products and
cause irreversible changes so that a single
a basic element of the information technology
processing error can render an entire wafer
age.
useless. Measurements are usually not pos-
sible after every processing step, only some
1.2 Introduction to the Technical Issue
of them. The result is that additional, ex-
pensive processing steps are often applied to
Semiconductor manufacturing is a com-
a wafer that has already become scrap.
plex, multi-step process that simultaneously
Two principal classes of materials go into
creates hundreds to thousands of copies of
the manufacture of integrated circuits: (1)
an integrated circuit on a semiconductor
the starting silicon and compound semicon-
wafer that is ten to twenty centimeters in
ductor materials on which integrated circuits
diameter. Each integrated circuit is com-
or individual transistors are formed, and (2)
posed of active semiconductor devices
the materials introduced during subsequent
(transistors) and passive devices (resistors
processing steps to form layers and intercon-
and capacitors). During the manufacturing
necting lines. For both classes of materials,
process, millions of these devices are con-
greater purity is required as the feature sizes
structed simultaneously in each integrated
of integrated circuits are reduced. In some
circuit. The integrated circuits are composed
cases impurity levels less than one part in a
of multiple layers of materials. These layers
trillion are required. The seriousness of the
are configured to make up the devices in the
problem is reflected in reports from U.S.
circuit as well as the millions of conducting
manufacturers that sophisticated integrated
lines needed to interconnect the various de-
circuit manufacturing processes that work
vices in the circuit. More than one hundred
with materials supplied by Japan sometimes
meters of such interconnections may be cre-
do not work with U.S. materials; yet U.S.
ated within each of the integrated circuits on
measurement methods are unable to detect
a wafer. The resulting integrated circuits are
the differences between the two sets of mate-
cut from the wafer. Each is mounted in a
rials.
plastic or ceramic package and is wired to
tens to hundreds of "pins" which extend
Particles that were specks at larger feature
outside of the package. The pins of the
sizes are boulders to smaller feature sizes,
package are later soldered to wired patterns
and cause catastrophic flaws in the chips.
embedded in printed circuit boards to form
Particles arrive in both gases and process
functioning products.
chemicals, and are generated by process
equipment, material handling, and the people
Advancing semiconductor technology is
who work in the process area.
evolving toward even more complex semi-
conductor devices with smaller feature sizes.
As the size of semiconductor devices de-
The evolution is driven by the need for more
creases, the solid-state effects of the bound-
powerful semiconductor products and for
aries of regions within the devices become
reduced cost and size. The evolving tech-
significant. These effects were negligible at
nology is resulting in changes in processing
larger feature sizes. Computer models used
and quality control, in materials technology,
in engineering design no longer correctly
REPORT OF THE PRESIDENT TO THE CONGRESS ON FEDERAL POLICIES, BUDGETS, AND TECHNICAL ACTIVITIES IN
predict the behavior of the devices, leading
program, basic energy sciences research, and
to serious difficulties in creating new inte-
high energy physics research. In addition, basic
grated circuits that work properly.
research to understand the properties and be-
havior of semiconductors is conducted both to
As integrated circuits become more com-
broaden the knowledge base and to support the
plex, so do the design requirements on their
solar energy and weapons programs. The
packages. More heat must be dissipated in
semiconductor program includes advanced
smaller packages, more pins must be accom-
processing of semiconductors, surface property
modated, and the sensitivity of integrated
measurements, research on developing new
circuits to thermal stresses increases.
compound materials, and theoretical studies.
Compound semiconductors are necessary for
1.3 Funding Levels for Semiconductor Research
the integration of optical and electronic functions,
and Development
and for high speed and microwave devices.
Research is also directed toward development of
The Federal funding for research and devel-
subnanosecond, gallium arsenide, linear, photo-
opment in semiconductor technology is summa-
conductive switches, and picosecond x-ray and
rized in Table 1.
gamma-ray radiation detectors. DoE meets with
the semiconductor industry to exchange infor-
TABLE 1. Funding of semiconductor research and
mation, to make industry aware of DoE activi-
development (dollars in millions) by agency.
ties, and to take industry concerns into account.
A workshop was held to develop a plan for the
Agency
1988
1989
1990
development of x-ray lithography, a process for
imprinting finer features on semiconductors. The
Energy
48
48
48
Department of Defense has provided funds to
Defense
404
416
423
DoE's ookhaven National Laboratory to design
NSF
32
34
36
and build a compact synchrotron for this process.
NASA
3
4
4
Industry has also expressed interest in DoE capa-
Commerce
3
3
3
bilities in compound semiconductor expertise,
clean room technology, and advanced process-
Total
$490
$505
$514
ing. DoE has funded development of a syn-
chrotron at Louisiana State University to coordi-
The budget data collected for this report was
nate government efforts on x-ray lithography.
based on a unique set of definitions, a unique
process for data collection, and on the budget
1.5 Department of Defense Semiconductor
projections during the 1989 fiscal year. For this
Program
reason these numbers do not track with, nor
should they be compared to, the budget cross-
1.5.1 Silicon and Gallium Arsenide Inte-
cuts which have been prepared for subsequent
grated Circuits. The Department of Defense
budgets.
(DoD) semiconductor technology program
encompasses a range of fabrication technolo-
The agency programs are summarized in the
gies used to manufacture miniaturized elec-
following sections.
tronic devices mainly on silicon or gallium
arsenide substrates. The components of mi-
1.4 Department of Energy Semiconductor
croelectronics fabrication technology may be
Program
divided into the following categories:
Wafer Preparation: The technology used for
The Department of Energy (DoE) carries out
mass-production of high quality semicon-
research on semiconductors and semiconductor
ductor wafers, including crystal growers,
manufacturing technology related to several DoE
slicers, polishers, and preliminary dopant
missions including solar energy, the weapons
equipment.
14
SEMICONDUCTORS, FIBER OPTICS, SUPERCONDUCTING MATERIALS, AND ADVANCED MANUFACTURING
DoD has extensive microfabrication tech-
Wafer Fabrication: The body of technologies
nology development efforts underway. Per-
used to fabricate integrated circuits on the
haps best known is the DoD Very High Speed
prepared wafer, including lithography sys-
Integrated Circuits (VHSIC) program. Now
tems, ion-implantation machinery, thin film
in its final phase, the VHSIC program cur-
deposition and removal technology, clean
rently is focused upon refining the tech-
room technology, etc.
nologies required to achieve submicron (0.5
micron) feature sizes. This capability will
Mask Making and Design: The "off-line"
allow fabrication of extremely dense and
technology used to make "camera ready"
high-speed integrated circuits. In addition
circuit masks (used by lithography and
to the VHSIC program, DoD is also engaged
doping processes), circuitry design (e.g.,
in other silicon-based microfabrication
computer-aided design hardware and soft-
technology R&D. In 1989, DoD agreed to
ware), and device technology.
support SEMATECH, an industry consor-
Assembly and Test: The so-called "back-
tium formed to focus on advanced technol-
end" of the microelectronic production pro-
ogy development. SEMATECH's specific
cess encapsulates the semiconductor die (or
program is still undergoing evaluation. DoD
"chips") into a ceramic or plastic package
is also pursuing advanced lithography
(housing). This category includes the asso-
technology (ultra-violet, x-ray, and electron
ciated bonding equipment (wire bonders and
beam), and is developing radiation-hardened
die bonders) and the test machinery used for
semiconductor devices (for both metal oxide
die-on-wafer testing as well as final pack-
and bipolar device types).
aged circuit testing.
DoD is also developing microelectronics
Radiation Hardening: Hardening micro-
circuits on gallium arsenide (GaAs) substrates
electronics against damage caused by high
as well as on other compound semiconduc-
energy electrons, neutrons, protons, heavy
tors. DoD's Microwave and Millimeter-Wave
particles, x-rays, and gamma radiation is
Monolithic Integrated Circuit Program
vital to system performance in hostile radia-
(MIMIC) is focused upon the development
tion environments. Techniques used to ac-
and production of affordable, reliable, ana-
complish that goal include special circuit
log circuits for use as sensors and signal
designs, application of silicon-on-insulator
processors in the front-ends of electronic
warfare, radar, smart munitions, and com-
(SOI) and silicon-on-sapphire (SOS) tech-
munication systems. These circuits, fabri-
nology, and processing techniques to reduce
cated primarily from gallium arsenide, op-
radiation sensitivity of the silicon/silicon
erate at frequencies from 1 to 100 GHz. De-
dioxide interface.
vices being used include High Electron Mo-
This fabrication technology has widespread
bility Transistors (HEMTs), and Hetero-
use in both military and commercial appli-
junction Bipolar Transistors (HBTs). Other
cations, including computing, communica-
programs develop millimeter wave power
tions, and digital electronics. Many special
devices, wafer-scale technology, molecular
manufacturing problems remain from a
beam epitaxy, and superlattice technology.
military point of view, however. The most
important of them involves microcircuit reli-
1.5.2 GaAs/Compound Semiconductor Ma-
ability in hostile (i.e., combat) environments.
terials. Gallium arsenide and other com-
Reliability problems caused by hostile envi-
pound semiconductors (such as indium
ronments often demand specialized manu-
phosphide, indium antimonide, and mer-
facturing solutions that may not be available
cury-cadmium-telluride) have historically
from U.S. industry. Solving these problems
played important roles in microwave and
remains a critical aspect of DoD fabrication
millimeter wave circuit devices as well as
efforts.
roles at other frequencies (eg., infrared and
15
REPORT OF THE PRESIDENT TO THE CONGRESS ON FEDERAL POLICIES, BUDGETS, AND TECHNICAL ACTIVITIES IN
optical). While these materials have well
niques, and thin film deposition processes
known potential for still other applications
and equipment.
(such as high speed, radiation resistant, in-
GaAs now is used in solid-state active-aper-
tegrated circuits), fabrication difficulties
ture-antennas (phased arrays). The same
prevented the realization of these potential
integrated circuit elements will appear more
applications. Since 1980, major technology
commonly in equipment for communica-
advances have led to greatly improved GaAs
tions, electronic warfare, and electronic in-
materials. Preparation at the molecular level
telligence, avionics, missile guidance and
has recently permitted fabrication of the first
control, and surveillance from space in the
truly microelectronic integrated circuits on
1990s.
non-silicon substrates. GaAs technology is
expected to become competitive with silicon-
Work is in progress to develop a high-pres-
based microelectronics, and promises sig-
sure liquid encapsulated Czockralski
nificant advantages especially for military
(HPLEC) crystal puller fitted with a variety
applications.
of sensors to allow the reproducible pro-
duction of larger diameter, larger overall
GaAs circuits could have significant techni-
size (20-25 kg) boules, of gallium arsenide
cal advantages over their silicon-based
substrate material with the electrical prop-
counterparts because of two intrinsic ad-
erties and uniformity necessary to provide
vantages GaAs has over silicon, namely, a
starting materials for microwave and milli-
faster electron drift velocity and inherently
meter wave devices.
better resistance to radiation damage. GaAs
has an electronic drift velocity nearly seven
Work is also in progress to improve the con-
times faster than silicon, a significant ad-
trol and uniformity of epitaxial gallium ar-
vantage which can now be exploited. Thus,
senide layers. Techniques being developed
a GaAs integrated circuit may be many times
include Metal Organic Molecular Beam
faster than a silicon-based counterpart of
Epitaxy (MOMBE), Molecular Beam Epitaxy
similar design and complexity. Gallium ar-
(MBE), and Metal Organic Chemical Vapor
senide materials are also inherently less
Deposition (MOCVD). Strategies for theshort
susceptible to damage caused by ionizing
term are primarily directed toward improv-
radiation (e.g., that experienced in routine
ing the quality and reproducibility of wafers
space operations or in a nuclear blast envi-
grown one at a time. Longer range plans call
ronment) than silicon.
for development of equipment which would
Despite its recent breakthroughs, GaAs de-
allow simultaneous epitaxial growth on
vice fabrication technology remains relatively
multiple gallium arsenide wafers.
undeveloped compared to more than two
1.6 National Science Foundation
decades of research and development in fab-
Semiconductor Program
rication technology for silicon devices. De-
velopment and incorporation of GaAs tech-
1.6.1 Semiconductor Physics and Materials
nology into new or existing microfabrication
Sciences. The National Science Foundation
techniques is believed to be critical if DoD is
(NSF) support for this area has the objective
to keep pace with materials preparation ad-
of providing a fundamental understanding
vances now occurring worldwide. Such
of the mechanical, thermal, electrical, mag-
developments would also significantly affect
netic, optical, and other properties of semi-
existing applications of GaAs technology,
conductor materials and other materials used
especially in millimeter and microwave
in making semiconductor devices. This
systems. Materials preparation technologies
knowledge is the cornerstone of semicon-
include advanced III-V compound semicon-
ductor technology.
ductor epitaxy, II-VI compound semicon-
ductor epitaxy, materials handling tech-
16
SEMICONDUCTORS, FIBER OPTICS, SUPERCONDUCTING MATERIALS, AND ADVANCED MANUFACTURING
1.6.2 Semiconductor Chemistry. NSF sup-
1.6.7 Compound Semiconductor Technol-
ports research on photochemistry for li-
ogy and Devices. NSF supports research on
thography, which remains the basic tech-
devices with applications in signal genera-
nology for mass production of integrated
tion, signal processing, chemical sensing,
circuits. Basic research in both surface
frequency conversion, and power process-
chemistry and inorganic chemistry is sup-
ing with an emphasis on investigations into
ported with the objective of yielding im-
fundamental physical phenomena. The
proved techniques for depositing or etching
emphasis is on experimentally based research
circuits on chips. New types of semiconduc-
and on devices with long-range future im-
tors made from polymers may emerge soon
pact and/or areas with a lack of fundamental
from basic research in organic chemistry.
understanding of device operation. NSF
supports work on molecular beam epitaxial
1.6.3 Semiconductor Mathematics. NSF
growth of compound semiconductors and
supports academic research on theoretical
growth and characterization of semiconduc-
mathematics such as Boolean algebra, which
tor quantum wells and superlattices. NSF
formed the basis for the design of the first
provides support for academic researchers
digital computers. Today, such semiconduc-
to use the semiconductor fabrication and
tor-related areas as device design and mod-
processing facilities of the Electronics Tech-
eling depend on advanced mathematics.
nology and Devices Laboratory operated by
1.6.4 Packaging Materials. Materials used in
the Department of the Army.
packaging integrated circuits have a pro-
1.6.8 Device Processing Techniques. NSF
found effect on the performance and reli-
supports investigations of advanced pro-
ability of finished semiconductor products.
cessing techniques that permit fabrication of
Packaging materials technology becomes in-
improved and novel solid state electronic
creasingly critical in modern devices with
devices, with emphasis on fundamental
very small circuit dimensions and high power
studies of processes that have promise in
dissipation. NSF supports basic research in
device fabrication. New resists, ion implan-
ceramic packaging.
tation, transient processing techniques using
1.6.5 Dielectrics. Various dielectric (non-
lasers, and the development of x-ray lithog-
conducting or insulating) materials are
raphy are some examples. NSF supports the
needed in semiconductor devices for such
Cornell National Nanofabrication Facility,
functions as providing electrical capacitance.
which is a user facility for making small-
New or enhanced dielectric materials could
feature-size semiconductor devices for re-
increase the capability or reduce the cost of
search and development.
such semiconductor devices. NSF supports
1.6.9 Integrated Electronics. The ability to
research in this area.
design integrated circuits that incorporate
1.6.6 Silicon Technology and Devices. NSF
many circuit elements onto one chip draws
supports basic research in semiconductors
on a wide range of engineering disciplines.
with an emphasis on projects that may result
NSF-funded research in this area focus on
in new technologies, devices, or processes.
maintaining circuit quality, performance, and
NSF supports the Semiconductor Research
reliability as circuits are designed on a pro-
Corporation, which develops programs to
gressively smaller scale. Improving the in-
strengthen the U.S. industrial position in
terconnections and contacts between circuit
semiconductor manufacturing. In addition,
elements is also of critical importance.
the NSF provides funding for several indi-
vidual investigator grants for silicon devices,
1.7 National Aeronautics and Space Adminis-
development, processing and device mod-
tration (NASA)
elling.
Semiconductor activities within NASA are
focused on gallium arsenide (GaAs) technology.
17
REPORT OF THE PRESIDENT TO THE CONGRESS ON FEDERAL POLICIES, BUDGETS, AND TECHNICAL ACTIVITIES IN
The objective of this program is to develop GaAs
support research, development, and manu-
digital integrated circuit technology for onboard
facturing; promote equity in domestic and
high data rate signal processing applications
international markets; and aid international
suchas: Robotic Vision, High Resolution Imagery
competitiveness of the nation's manufactur-
Spectrum and the Geodynamic Laser Ranging
ers and users of semiconductor materials,
System (GLRS) instruments. The technology
fabrication equipment, and devices. The
development plan is structured to build on the
program does not include development of
previous development of Depletion Mode (D
new commercial device designs, new pro-
Mode) transistor devices to develop High Elec-
cessing or assembly techniques, or new
tron Mobility Transistor (HEMT) low power
manufacturing equipment, except as these
devices.
may arise logically as the outcome of the
basic metrology mission.
The D Mode development was initiated in
FY83 after three studies identified GaAs as the
1.8.2 Technical Activities. Integrated circuit
most promising technology to meet NASA's
manufacture is a measurement-intensive
onboard processing requirements for high data
process. Roughly a quarter of the cost of the
rate processing, low power, high reliability and
product is due to the cost of measurement.
radiation tolerance. In fiscal year 1983, a project
Only the most essential problems with sig-
was initiated to develop an Advanced Adaptive
nificant impact potential ("high leverage"
Processor (AAP) chip set. The AAP chip set is
issues) can be addressed by NIST's relatively
structured around a general purpose processor.
small program.
Other devices in the chip set are the random
access memory and gate array which were de-
Projects are selected in response to measure-
veloped by DoD. During 1987, a general purpose
ment needs expressed by industry, particu-
processor, with controller, was fabricated using
larly those that relate to the NIST missions of
DoD's GaAs pilot line. Initial testing of the wa-
improving U.S. competitiveness and pro-
fers show a good yield of fully functional devices.
moting equity in domestic and international
trade. The dissemination mechanisms enu-
These two devices were integrated in 1988 and
successfully applied to image data compression.
merated below frequently establish industry
contacts that contribute substantively to in-
The present effort has a goal of developing a
put for planning. The extraordinarily dy-
general purpose processor using the Minimum
namic character of the industry demands
Instruction Processing Set (MIPS) architecture
these close ties if the NIST program is to be
by 1992. In 1989, NASA continued a program
responsive to industrial measurement needs.
initiated the Office of Naval Research to enhance
Most of the technical concerns of the indus-
the yield of random access memory devices with
try are considered in the formal planning
an access time of 1.0 nanosecond utilizing the
process.
HEMT devices. This device will be utilized as a
memory in high data rate applications.
Program work ranges across the metrologi-
cal research and development board, from
basic investigations of the behavior of ma-
1.8 Department of Commerce Semiconductor
terials and structures to the development
Program
of special circuits used in characterizing per-
1.8.1 Program Objectives. The Semicon-
formance limits of devices and processes.
ductor Metrology Program (SMP) in the
Special measurement methods are required
Department of Commerce's National Insti-
to determine the levels of dopants, defects,
tute of Standards and Technology (NIST)
impurities, and structural imperfections in
provides generic measurement methods and
semiconductor materials. Many of these
services, national reference standards, care-
measurement methods also support process
fully evaluated reference data, technical
development and control. Resistivity mea-
consultation on metrology, and theory. These
surements of dopant density in silicon wa-
- 18
SEMICONDUCTORS, FIBER OPTICS, SUPERCONDUCTING MATERIALS, AND ADVANCED MANUFACTURING
fers continue to be supported and improved.
now foreseen, using electron microscopy.
Methods for measuring oxygen and carbon
Work continues on the very difficult problem
in silicon wafers using non-destructive in-
of measuring these small scale features on
frared optical techniques are being devel-
wafers in the production process.
oped. Expertise with compound semicon-
ductors continues to be advanced. A variety
1.8.3 Dissemination of Results to Indus-
of x-ray techniques for characterizing semi-
try. The accomplishments of the program
conductor materials and structures are being
are disseminated through a special NIST
developed using a recently completed beam
publication series for major reports of pro-
line at the Brookhaven National Synchrotron
gram research (about 80 have been issued);
Light Source.
quarterly progress reports; other NIST-pub-
lished reports; and about 800 journal and
Work continues on developing integrated
conference papers. All are referenced in an
circuit test structures as a major tool for
annual NIST List of Publications in semi-
verifying the performance of fabrication
conductor technology.
processes and the reliability of completed
The program also targets information to those
circuits. Activity is focused on the analysis of
who need it through seminars and workshops
test structure data using machine learning
on special topics; talks at professional meet-
algorithms and expert systems analyses. The
ings; videotapes; visits to industry sites; visits
algorithms digest historical data on fabrica-
to NIST by engineers and researchers in in-
tion processes to derive rules for use in ex-
dustry; consultations; industrial organiza-
pert systems. The expert systems provide
tions such as the Semiconductor Industries
real-time diagnosis of difficulties arising
Association (SIA), Semiconductor Equipment
during subsequent processing and generate
and Materials International (SEMI), and the
prioritized lists of candidate corrective ac-
Electronic Industries Association (EIA); and
tions. Test structures can also be used for
standards development in committees of the
reliability determination by examining fail-
American Society for Testing and Materials,
ure mechanisms such as electromigration
EIA, the Institute of Electrical and Electron-
and time-dependent dielectric breakdown.
ics Engineers, and SEMI, for example. Dis-
Models and measurements to support both
semination is also accomplished through the
integrated circuits and power transistors are
sale of standard reference materials, the
being developed. For integrated circuits,
provision of computer codes on magnetic
theoretical studies of the quantized electron
tapes, and informal consultations.
states in silicon and compound semiconduc-
tors are being conducted to understand de-
1.8.4 Collaboration with Industry. Collabo-
vice performance better. For power transis-
ration ranges from industry's provision of
tors, measurements for characterizing per-
materials or technical services not otherwise
formance continue to be developed. A key
available to NIST through NIST participation
aim is to provide measurements that can
in interlaboratory round-robin experiments
determine non-destructively the safe oper-
to participation in cooperative research
ating conditions for new types of power
projects. Frequently, researchers in industry
transistors, including those based on mixed
and at NIST will characterize the same set of
technologies.
specimens as part of the process of developing
a new measurement method.
Standards for feature-size measurements on
wafers are in constant demand from the in-
1.8.5 Services for Other Agencies. Semicon-
dustry for controlling the dimensions of in-
ductor expertise and technical advice are
tegrated circuit patterns. Past calibration
frequently needed by other government
tools for use with photomasks are being ex-
agencies for a variety of reasons including
tended to the smaller range of dimensions
export controls, antitrust and merger issues,
19
REPORT OF THE PRESIDENT TO THE CONGRESS ON FEDERAL POLICIES, BUDGETS, AND TECHNICAL ACTIVITIES IN
antidumping matters, etc. Program staff with
Photonic devices like electronic devices have
appropriate expertise are made available as
diverse uses. However, photonic devices are not
needed on a reimbursable basis. Measure-
nearly as well developed as electronic devices,
ment problems of concern to other agencies
and many uses are not, at present, cost-effective.
are undertaken at their expense, subject to
The main commercial application for photonics
mutual agreement on topics, costs and
is for information transmission. A second major
deliverables. National security matters are
use, optical computing, is in the exploratory
generally addressed by the program only
stage.
when specifically targeted to the semicon-
Photonic-based systems are becoming the
ductor industry, such as is the case with
system of choice for many high-data-rate uses.
DoD's Very-High-Speed Integrated Circuits
For example, the long distance telephone and
(VHSIC) and Microwave Monolithic Inte-
data network is rapidly converting to photonic
grated Circuits (MIMIC) programs, and
based systems. Even such short-haul uses as
SEMATECH.
communication between racks of equipment in a
1.8.6 Formal Evaluation of Program Effec-
large switching system or computer and between
tiveness. The activities of the program are
components of in-home high fidelity stereo
reviewed in detail annually by a panel of
systems are being taken over by photonic sys-
tems.
experts from industry and academic institu-
tions selected and administered by the Na-
The vanced state of photonic transmission
tional Academies of Science and Engineering.
systems and their reliability can be gauged by
The panel reports candidly both informally
the fact that the trans-Pacific and trans-Atlantic
and in writing. These evaluations provide
cables recently put into service are photonic
valuable guidance and have a major influence
systems capable of carrying the equivalent of
on the conduct of the program.
40,000 voice transmissions simultaneously; the
Formal studies have examined the effective-
previous coaxial cable system has a capacity of
ness of the SMP in assisting industry from an
10,000 voice channels. In addition, photonic
econometric point of view. These studies
systems are proposed for distributing data and
concluded that from 1973 to 1977 the NIST
high definition television (HDTV) signals to the
program increased the overall industry pro-
home, a potentially huge consumer market.
ductivity level by approximately 1 percent.
Photonic systems are being developed and
[Independent evidence indicates that this
evaluated because they promise some potential
amounted to 5 percent of the increase in
advantages over electronic systems:
semiconductor industry productivity during
that period.] The value of these productivity
a) They have gigabit wide bandwidths and
benefits was from $30 to $50 million per year
so can carry a large volume of data.
over this period. Benefit:cost ratios for those
b) They are immune to many forms of elec-
NIST semiconductor projects which have
tromagnetic interference.
been studied range from 5:1 to 110:1.
c) They are difficult to intercept and tap
2. Fiber Optics and Optoelectronic
and so give better security.
Technologies
A photonic transmission system has three
basic components:
2.1 Introduction
a) Electro-optic input device-the input
Photonics is the name given to the genera-
device changes the electronic input sig-
tion, control and use of photons (light). It is the
nal to a photonic (optical) output.
optical analog of electronics. Photonic or electro-
optic devices and systems can have a large band-
Present day technology uses an electri-
width. This means that huge amounts of data
cally switchable semiconductor laser. It
can be quickly switched and transmitted.
was the invention of the laser in the late
20
SEMICONDUCTORS, FIBER OPTICS, SUPERCONDUCTING MATERIALS, AND ADVANCED MANUFACTURING
1950's that ushered in the photonics age.
system are either not readily available, or
Because a laser generates a coherent al-
are not cost-effective. For example, there
most single frequency output, the design
is no cost-effective photonic analog to the
of low attenuation, non-dispersive sys-
transistor or integrated circuit. So pres-
tems are made much easier. Semicon-
ently, high speed electronic devices made
ductor lasers are small, complex devices
with silicon or gallium arsenide are used
made primarily of the III-V elements such
to do the switching, amplification and
as gallium, arsenic, and phosphorus. The
memory functions, with photonics being
processing technology used in produc-
confined to data bussing. However, many
tion is extremely complex. Presently,
laboratories world wide have strong R&D
molecular beam epitaxy, liquid phase
efforts on photonic computer devices and
epitaxy, and vapor phase epitaxy, are the
components.
predominant technologies.
The Department of Defense (DoD), via
b) Transmission Medium-theinformation-
the Defense Advance Research Programs
bearing photons are transmitted over an
Agency (DARPA), has funded a program
optical fiber. An optical fiber is usually a
aimed at providing key gallium arsenide
thin fiber of silica glass about the diam-
technology devices. Also, DoD, via the
eter of a human hair; i.e., about 75 mi-
Air Force and in partnership with New
crometers that can be made in unbroken
York State and several universities, is
lengths of many kilometers. Fibers, even
forming a photonics center of excellence
when in bundles, can be readily spliced
covering all aspects of photonics. In ad-
in the field.
dition, several government laboratories
are doing R&D in photonic based systems.
The fibers have extremely low attenua-
tion and dispersion, and signals need
2.2 Introduction to Technical Issue
only be amplified after many kilometers.
The low attenuation and dispersion
Low loss fibers, capable of supporting very
characteristics are obtained by making
high data rates were theoretically predicted in
the fiber of several layers of extremely
1968 and demonstrated by U.S. industry only a
pure glasses of different refractive indi-
couple of years later. By the end of the 1970's
ces.
these new carriers of information were already
being implemented in the Northeast corridor
c) Electro-Optic Output Device-the output
device converts the modulated photon
telephone system from Boston to New York to
stream at the end of the optical fiber to an
Washington, D.C. This first demonstration was
with multimode fibers transmitting laser pulses
electronic signal. The device is usually a
semiconductor photo-diode. The tech-
operating at wavelengths of 0.8 to 0.9 microme-
ters and capable of transmitting information over
nology used for its manufacture is simi-
three channels of 90 megabits/s/channel. Since
lar to that used for the input devices
described above.
this very early demonstration the industry has
moved rapidly to single mode fibers carrying laser
The technology used in electro-optic in-
pulses at 1.3 micrometers, where the losses are
put and output devices may be critical
much less, and usually operate in excess of 1 gigabit/
for key devices proposed for many ad-
second.
vanced displays.
High data rate single mode optical fiber net-
The high speed and high noise immunity
works now encompass the entire U.S. and reach
of photonic systems make them a natural
to both Europe and Japan. This rapid deployment
consideration for computing applica-
of fiber optic telecommunication systems has
tions. However, several basic devices
required very significant developments in basic
necessary for a completely photo-based
and applied research and component manufac-
21
REPORT OF THE PRESIDENT TO THE CONGRESS ON FEDERAL POLICIES, BUDGETS, AND TECHNICAL ACTIVITIES IN
turing. The necessary components include laser
ronments, material properties, and general mar-
diodes operating at 1.3 micrometers, fiber con-
ketable product development. They hold sig-
nectors, couplers, detectors, modulators, optical
nificant promise for future markets.
waveguides, optical multiplexers and
demultiplexers, low loss fiber operating near the
2.3 Procurement Policies
theoretical limits, and all the supporting spe-
cialized instrumentation. Thesystems will soon be
Existing Federal procurement policies and
operating at wavelengths of 1.55 micrometers where
regulations for items incorporating fiber optics
even lower losses in the fibers are possible.
and optical electronic technologies are the same
as they are for all other items. The policies and
The fibers themselves are capable of carrying
regulations emphasize widespread dissemina-
much higher data rates than at present, even in
tion of announcements for bid competitions
excess of 100 gigabit/second, and in the future
followed by competition and bid evaluation
more sophisticated modulation schemes will
based on lifecycle costs and performance. Pro-
realize this potential. Also coherent communi-
curement decisions are based on agencies' pro-
cations are being extensively researched and
grammatic needs and not on the promotion of
may be implemented in a few years. Coherent
specific technologies. Specific procurement
communications have the potential of enhanced
regulations can be found in the Federal Acqui-
signal-to-noise ratios and thus greater distances
sition Regulations.
between repeaters where the signal must be
detected, reconstructed, and again transmitted.
2.4 Funding Levels for Fiber Optic and
Coherent communication also holds the promise
Optoelectronic Research and Development
of enabling very large numbers of channels oper-
ating at different wavelengths to be transmitted
The Federal funding for fiber optic and opto-
through a single fiber.
electronic research and development is summa-
rized in Table 2.
The next major thrust in fiber optic telecom-
munications is the transmission of information
TABLE 2. Funding of photonic research and devel-
to homes and business places connected through
opment (dollars in millions) by agency.
subscriber loops and local area networks (LANs).
These implementations are likely to depend
Agency
1988
1989
1990
heavily on integrated optics, especially modula-
Energy
9
10
10
tors, wavelength-division multiplexing and
Defense
80
118
116
demultiplexing, and optical-to-electronic inter-
NSF
13
14
16
faces. These new developments will require
NASA
7
4
4
extensive basic and applied research and prod-
Commerce
2
2
5
uct development.
Total
$111
$148
$151
Optical fiber sensors are another major po-
tential application of photonics. These sensors
The budget data collected for this report was
can measure temperature, pressure, electrical
based on a unique set of definitions, a unique
current, and many other phenomena. Important
process for data collection, and on the budget
products being developed include hydrophones
projections during the 1989 fiscal year. For this
and fiber-optic gyros. These sensors are often
reason these numbers do not track with, nor
very important for special situations such as
should they be compared to, the budget cross-
chemical processes, shipboard and space appli-
cuts which have been prepared for subsequent
cations. They hold much promise for medical
budgets.
applications. For the most part these products
are in the applied research stage and require
The agency programs are summarized in the
further work in the manufacturing process, en-
following sections.
gineering the components to work in harsh envi-
SEMICONDUCTORS, FIBER OPTICS, SUPERCONDUCTING MATERIALS, AND ADVANCED MANUFACTURING
2.5 Department of Energy Fiber Optic Program
applications as well as optical components,
fiber optic cabling, and fiber coatings.
The DoE conducts research and develop-
ment that is intended to contribute to the
Ultra-low-loss fiber optics technology is an
knowledge base used to advance the state of the
area of great importance to DoD. This tech-
art in fiber optics and optical electronic technolo-
nology consist of optical fibers fabricated with
gies and the uses of fiber optics and electro-
zirconium fluoride glasses. These glasses are
optical components in new applications. Re-
the lowest scatter material ever produced
search under the weapons program includes the
and represent a major advance in glass
synthesis, characterization and processing of
chemistry. This technology is crucial to such
glasses; investigations of non-linear optical
systems as large aperture, high-gain, acous-
properties of materials; and the effects of impu-
tic arrays (thousands of acoustic sensors in-
rities on the optical properties of disordered
terconnected over tens of kilometers), and
materials. The goals are to improve the perfor-
long-range command guided anti-ship mis-
mance of these materials for use in diagnostic
siles. Continued integrations of electronic
instrumentation for real-time monitoring of shock
processors and controllers with fiber optical
waves, lasers and weapons testing. Research is
devices, improved interconnects, switches
also underway on the possible applications of
and multiplexers, and higher power, fre-
fiber optics and electro-optical technologies to
quency tunable optical sources are important
sensors, detectors, modulators, and switches with
elements of this technology.
their associated electronic drivers and amplifiers.
The superiority of fiber optic communica-
The work is expected to make possible the
tion over copper-based systems can be
implementation of new and unique diagnostics
measured by information-carrying capacity
and to increase the capabilities for down-hole
(four orders of magnitude greater for optical
control and monitoring of complex experiments.
systems), energy loss in signal transmission
Other research is on infrared photocathodes and
(two orders of magnitude lower), error rate
a microchannel plate intensifier.
(one order of magnitude lower), and resis-
tance to electromagnetic interference (EMI).
2.6 Department of Defense Fiber Optic Program
Future developments in semiconductor lasers
2.6.1 Fiber Optic Communications and Sen-
promise still greater improvements in data
sors. During the past decade, fiber optics has
rate capacity and link margin.
been incorporated DoD communication and
Ultra low-loss fiber optics will support a
sensor systems. The next decade will see a
number of critical military capabilities:
proliferation of DoD systems which rely on
fiber optics to perform their functions.
Wide area surveillance,
Today's fiber optics will provide ships, air-
Undersea and tactical missile guidance
craft, and undersea communications with
(low-cost, target and aimpoint selection),
higher bandwidth capabilities at lower cost
and
than cable approaches. Ultra low-loss fluo-
ride fibers, with their theoretical loss of 0.001
Remote surveillance and tele-operated
dB/km, will permit transoceanic repeaterless
weapons platforms (removing the re-
links which could revolutionize undersea
quirement for personnel to enter high-
surveillance, long distance communications,
threat areas).
and tethered vehicles such as fiber guided
Fiber optic communication links will add a
missiles. Fiber optical sensors will provide a
whole new range of capabilities for weapon
new class of gyros as well as an acoustic,
guidance since they provide for wideband,
magnetic sensor for inertial navigation,
non-line-of-sight, two-way communication.
antisubmarine warfare, and commercial ap-
The Fiber-Optic-Guided Missile (FOG-M) is
plications. DoD's research and development
a prototype which provides a television or
efforts in fiber optics support all of these
23
REPORT OF THE PRESIDENT TO THE CONGRESS ON FEDERAL POLICIES, BUDGETS, AND TECHNICAL ACTIVITIES IN
infrared image to the gunner, who guides it
devices that use light (photons) and electron-
to the target while staying in a safe location.
ics (electrons) to perform functions that are
Advances made in fiber optics technology
now typically performed by electronic de-
will provide future local area voice and data
vices. The next 20 years will see the emer-
communications networks with more reli-
gence of photonic devices in sensor, commu-
ability and survivability. The tactical fiber
nication, and information processing sys-
optic local area networks can satisfy the need
tems. Photonics developments can provide
to distribute command posts by providing
major improvements in tactical and strategic
high capacity interconnection.
systems. The DoD advanced technology
developments in photonics include optical
Fiber optical sensors support major im-
memories, optical signal processing, optical
provements in Anti-Submarine Warfare
computing networks, optical control of
(ASW) surveillance as well as providing the
phased arrays, integrated opto-electronic
basis for autonomous underwater vehicle
networks, and nonlinear optical processing.
guidance. Future acoustic to wed arrays from
Integrated optical computing offers order-
surface ships and submarines require at least
of-magnitude improvements in processing
10 times the number of acoustic channels in
speed resulting from the natural parallel ar-
either multi-line or extra long arrays. Fiber
chitecture and high switching speeds of op-
acoustic sensor arrays appear to offer the
tical devices. In addition, integrated optical
best approach for this application. High-
circuits eliminate many potentially trouble-
performance, high-gain planar fiber acoustic
some connectors and increase reliability. New
arrays offer significantly increased capabili-
distributed processing architectures will ex-
ties. Bottom-mounted acoustic fiber sensor
ploit the absence of metallic wires and con-
arrays connected by fiber optic telemetry
comitant electromagnetic interference prob-
cables will play a key role in enhancing
lems.
DoD's capability to counter advanced sub-
marine threats.
The processing rates for emerging electro-
optical and infrared sensors, electronic war-
There are a number of DoD programs in fiber
fare and undersea surveillance are surpass-
optics, fiber optic sensors, and semiconduc-
ing the capabilities of electronic processing
tor lasers of various types. Applications
(1-10 Gbit/s). Dedicated integrated optical
likely to be ready for full scale engineering by
processors will soon be needed which act as
the year 2000 include fiber guided missiles,
sensor front ends to reprocess the data and
fiber optic local area networks for land and
reduce data rates to those compatible with
sea with bandwidths in excess of 20 GHz,
current and projected electronic processors.
high speed computer interconnects using
Dedicated special purpose integrated optical
fiber optics, phased array control by an op-
processors are now in use within DoD in
tically-fed harness to the transmit/receive
such front end applications.
elements, and intrusion detection systems
made with optical fibers.
2.7 National Science Foundation Fiber Optics
Program
Ultra low-loss fiber optic technology is being
pursued by DoD in its technology base and
2.7.1 Fiber Optics. The NSF supports uni-
advanced technology demonstration pro-
versity research efforts in optical fiber tech-
grams, and can be expected to be available
nology for communications, sensing, and
for incorporation in engineering develop-
switching applications. The projects involve
ments by the mid- to late-1990s. DoD is also
fundamental research and vary widely from
developing a rugged, non-kinking fiber op-
investigations into the transmission of data
tic cable for the FOG-M.
to the creation of devices for integrated op-
2.6.2 Integrated Optics. Integrated optics
tics and the investigation of nonlinear optics
(photonics) encompasses the technology for
24
SEMICONDUCTORS, FIBER OPTICS, SUPERCONDUCTING MATERIALS, AND ADVANCED MANUFACTURING
phenomena for possible use in optical
than 1.2 Tbit capacity. Potential applications
switching devices.
include buffering and management of high
resolution sensor data. This random file
2.7.2 Optical Computing. The NSF supports
access recorder system will support selective
a number of academic research projects in
transmission of high priority scene segments
the use and exploitation of optical phenom-
and provide data storage for higher level,
ena for possible applications in optical com-
non-real time processing. This activity in-
puting, processing, logic, displays, imaging,
cludes development of flight prototype 14
and others. Current research indicates that
inch media and diode laser arrays. Test bed
these functions, carried out by light rather
demonstrations are planned with an early
than electricity, offer greater speed via faster
flight demonstration of a drive brassboard.
switching capability and more massive par-
allelism, much greater information flow, and
2.8.2 Fiber Optic Rotation Sensor Program.
freedom from electronic interference.
The objective of the FORS program is to
2.7.3 Photoelectric and Optoelectronic De-
develop a 10-year-lifetime, low cost, light
vices and Systems. The NSF supports aca-
weight, highly reliable, and high performance
demic research on semiconductor devices
navigation grade optical gyroscope as part of
that exhibit photoelectric or optoelectronic
the spacecraft inertial reference unit (IRU).
properties. This research is aimed at yielding
The technology for the development of an
optoelectronic logic devices with theoretical
IRU with these characteristics is key to future
switching speed orders of magnitude greater
NASA missions such as the Comet Rendez-
than possible with electronic logic devices.
vous and Asteroid Flyby (CRAF), Mars Or-
biter, and Earth Orbiting platforms.
2.8 Fiber Optics and Electro/Optics Programs at
The thrust of this activity includes develop-
NASA
ment of state of the art integrated optics
The NASA has several key programs in fi-
technology using lithium niobate substrates,
ber-optic and electro-optics research and devel-
semiconductor lasers, and fiber optic
opment for applications in space and aeronautics.
waveguides operating with 1.3 micrometer
The key programs are:
wavelength light. Test bed and brassboard
demonstrations are planned.
(1) Spaceflight Optical Disk Recorder
(SODR),
2.8.3 Fiber Optic Control System Integration
(2) Fiber Optic Rotation Sensor Program
The goal of the fiber optic control system
integration program is to design, develop,
(FORS),
test, and flight demonstrate a fiber optic in-
(3) Fiber Optic Control System Integration
tegrated propulsion/flight control system
(FOCSI),
for an advanced supersonic aircraft. The
program consists of three phases. The first
(4) Multi-Purpose Fiber Optic Transceiver
phase was to conceptualize an all fiber optic
(MFOX),
integrated control, define the sensor envi-
(5) Optical Communications, and
ronment, evaluate the status of optical sensor
readiness in industry, and as final output,
(6) Photonics Research.
provide a milestone chart for developing the
technology to the point where it could be
2.8.1 Spaceflight Optical Disk Recorder High
incorporated into production aircraft. The
rate (300 Mbps), high capacity (80 Gbit)
results of this study phase indicated that
rewriteable optical disk drive and controller
fiber optic/passive optical sensor technol-
demonstration units will be developed to
ogy was feasible and desirable. Additionally
support an expandable system concept pro-
it showed that this technology will improve
viding up to 1.8 Gbps data rate and greater
reliability through electromagnetic immu-
25
REPORT OF THE PRESIDENT TO THE CONGRESS ON FEDERAL POLICIES, BUDGETS, AND TECHNICAL ACTIVITIES IN
nity while providing weight reduction for
Acousto-Optic Spectrum Analysis - The
the aircraft. The second phase of the program
objective of this research is to develop and
is aimed at the selection, fabrication and
demonstrate the technology for real time
testing of the preferred electro-optic archi-
wideband, high resolution, acousto-optic
tecture and its integration with a set of repre-
spectrum analysis of RF signals. Acousto-
sentative sensors for both the propulsion
optic spectrum analysis has potential appli-
and the flight control system. The third phase
cations in radio astronomy, radar astronomy,
of the program will be a flight test in which
and any other application where a wideband
the electro-optic architecture and sensor
RF signal or a narrowband RF signal in a
system will be installed on an aircraft to run
large analysis band width is to be analyzed in
as a piggyback experiment. Flight tests of
real time.
representative sensors and associated electro-
Spatial Light Modulator - This task will
optic architecture will be conducted in the FY
exploit new quantum well devices to arrive
1993-1994 timeframe.
at high performance optically or electrically
2.8.4 Multi-Purpose Fiber Optic Transceiver
addressed spatial light modulators. The
The objective of this program is to provide a
approach focuses on a specific SLM based on
space qualified 0.05-4 Gbits/s fiber optic
modulation (switching) of the gain in optical
transceiver for space data systems, for use on
amplifiers.
Space Station, Earth Orbiting platforms, and
Image Processing System - This research
planetary missions. This will require the
focus on the development of an intelligent
development of an all integrated circuit
optical vision system that is able to perform
transceiver that is fully military and space
optical pattern recognition and feature ex-
qualified. This activity also includes the
traction. A new real-time updatable holo-
development of high speed semiconductor
graphic writer will be developed for use in
lasers. An initial model of this high speed
this vision system to accommodate NASA's
fiber opticspace data system will be fabricated
planetary and outer space exploration needs.
and evaluated in 1991.
2.9 The Department of Commerce Optical Fiber
2.8.5 Optical Communications The optical
Program
communications program develops the
technology base required for the optical
The Department of Commerce R&D program
transmission of high resolution data from
is carried out in the laboratories of the National
deep space planetary bodies for both robotic
Institute of Standards and Technology (NIST).
and piloted exploration missions; and for
The objective of the optical fiber program at
geostationary-to-geostationary, and geosta-
NIST is to provide the base of consistent physical
tionary-to-low-earth orbit missions. This
measurements and standards required to support
program will develop the required compo-
the development and commerce of optical fiber
nents for optical communications such as:
telecommunications.
high power and long lifetime lasers, high
speed optical modulators, high speed detec-
This program has been in operation for about
tors, ultrastable oscillators, and ground base
12 years in close collaboration with the industry
receivers.
through the Electronics Industry Association
(EIA), its new subsidiary the Telecommunica-
2.8.6 Photonics Research The photonics re-
tions Industry Association (TIA), and other stan-
search program consists of the following
dards organizations. It has developed, refined,
tasks: acousto-optic spectrum analysis, spa-
tested and established 28 standard measurement
tial light modulator development, and image
techniques for characteristics of optical fibers
processing system development.
such as: attenuation, bandwidth, refractive in-
dex profile, core diameter, numerical aperture,
26
SEMICONDUCTORS, FIBER OPTICS, SUPERCONDUCTING MATERIALS, AND ADVANCED MANUFACTURING
mode field diameter, cut-off wavelength, bire-
measurement of the special characteristics of
fringence, Verdet constant, OTDR calibration,
these fibers and the development and evaluation
etc.
of prototype sensors for current, voltage, mag-
netic field, and other quantities. This work is
The initial emphasis of the program was on
complementary to that on telecommunication
the characteristics of the optical fibers themselves
fibers.
because these were the major limitations on tele-
communication technology. After much devel-
3. Superconducting Material
opment, single mode fibers evolved to the extent
that they now have potential channel capacity
3.1 Low Temperature Superconductors -
that is several orders of magnitude greater than
Introduction to the Technical Issue
can be used with the comparatively primitive
terminal equipment in use today. Now, there are
3.1.1 Low temperature superconductivity,
government and private sector efforts world-
as represented by conductors for large
wide to develop faster transmission, wavelength
magnets used in high energy physics, ex-
division multiplexing, optical switching, coher-
periments in fusion energy, and magnetic
ent communication, and other techniques to make
resonance imaging research, is a viable
full use of the potential channel capacity of op-
American industry. Superconducting wire
tical fibers that are already installed. The program
and cable are produced by a number of
at NIST is expanding to give full support of
companies in this country and magnets in
measurements and standards for these new
varying sizes are also made here. However,
technologies.
it is believed that the requirements for so-
The expanded program includes establish-
phistication of the wire composite will in-
ing methods to measure the characteristics of
crease as the demands of new applications
optical waveguides in a variety of substrates.
increase.
This is a basic technology for many of the new
3.1.2 The low temperature superconductor
devices under development. A calibration ser-
industry developed in the U.S. over the past
vice has been established for optical fiber power
20 years. All of the methods now considered
meters, using standards already established for
as "standard" for the production of these
laser power meter calibration (improved stan-
materials were developed slowly as the
dards are under development). Two measure-
commerce developed. Such concepts as: a)
ment systems are being developed to measure
dividing the superconductor into many fine
the response of laser diodes, detectors, modula-
filaments within a conducting matrix in or-
tors, and other devices to very fast pulses. A
der to stabilize the magnets against flux mo-
system has been developed to measure the
tion, b) the wind-and-react technique for the
wavelength emitted by laser diodes to support
manufacture of magnets from the brittle
wavelength division multiplexing. Ultimately
niobiumtin intermetallic superconductor, or
the means to make consistent and reliable mea-
c) the use of thin film superconductor layers
surements of the engineering characteristics of
on a strong tape, came from the national
all components of advanced optical telecommu-
laboratories and the industrial laboratories
nications systems will be established.
working together on problems ranging from
Another application of optical fibers with high
basic physics to industrial production. In the
commercial potential is to sensors. This requires
final analysis, however, widespread com-
fibers with certain characteristics that differ from
mercialization of these products remains
those of telecommunication fibers, particularly
unlikely because they must be operated at or
with respect to the preservation of polarization
near the temperature of liquid helium. The
and sensitivity to external conditions such as
technology of producing and handling this
magnetic field, temperature, strain, etc. The
very cold and expensive liquid is complex.
optical fiber program at NIST encompasses the
27
REPORT OF THE PRESIDENT TO THE CONGRESS ON FEDERAL POLICIES, BUDGETS, AND TECHNICAL ACTIVITIES IN
3.1.3 There are no technical barriers to com-
3.1.6 The technical problems blocking more
mercialization of NbTi conductor and there
widespread application include integrated
is, in fact, a significant market for these wires
circuit manufacturability and reliability al-
and cables. Other, higher field materials
though substantial progress has been made
such as Nb3Sn and V3Ga present some prob-
recently. The requirement for cooling with
lems although they are available commer-
liquid helium inhibits simple applications,
cially ona limited scale because of the limited
but in high value applications such as ultra-
number of uses. In both cases, the brittle
high-speed computing, refrigeration is an
nature of the superconducting filaments
engineering problem which can be overcome.
creates problems manufacturing long lengths.
There are other superconducting materials
3.2 High Temperature Superconductors -
known with unique and desirable properties
Introduction to the Technical Issue
for some applications such as NbN, Nb₃Aland
PbMoS which may lead to commercial
3.2.1 Commercialization of high tempera-
ture superconductivity has been the subject
products.
of numerous studies and the goal of several
3.1.4 Superconducting electronic devices
major consortia. These materials offer great
have demonstrated outstanding speed,
promise because they bypass the constraints
bandwidth, and sensitivity. However,
imposed by operation in liquid helium, an
commercial devices are limited to simple
expensive substance that is difficult to handle.
magnetic field sensors (SQUIDs) for use in
The possibility of materials that are super-
medical and other scientific studies. A high
conducting in the range of conventional re-
speed sampling system has not sold well.
frigeration methods is real, but not yet
While superconducting microwave mixers
achieved. Several problems exist with the
are the detector of choice for
high temperature materials that must be re-
radioastronomers, the market is very small.
solved before commercialization can be
More complex devices include a voltage
considered on any large scale. They are
standard developed at NIST and used in 17
complex materials that are not well under-
laboratories around the world. A very high
stood. They are brittle ceramics, which makes
speed microprocessor developed in Japan
the production of wires difficult (although
offers great promise but is still in laboratory
Nb₃Sn and other low temperature supercon-
development. Military applications have
ductors are also brittle and have been suc-
been under investigation for several decades
cessfully made into very long lengths). They
but none are yet in actual use.
have widely different superconducting
properties depending on direction through
3.1.5 The development of high transition
the crystal structure which makes large,
temperature superconductors has produced
polycrystalline conductors with good prop-
a renewed interest in low transition tem-
erties very difficult to create. There is no
perature superconducting electronics. For
good theory for this type of superconductiv-
many military applications the added cost of
ity, something which is essential for rapid
cooling with liquid helium is not significant,
progress in the development of new materials.
although added weight of refrigeration re-
mains a problem. Ultra-high-speed micro-
3.2.2 High-transition-temperature super-
processors could be of considerable impor-
conducting electronics offers potential ad-
tance. Just as reduced instruction set com-
vantages like those of low temperature su-
puters are making major advances in con-
perconductors to electronic applications:
ventional integrated circuits, the astonishing
speed, bandwidth, and sensitivity. Refrig-
speed of a superconducting microprocessor
eration should be much simpler with an
could be of significance. The quality of su-
operating temperature near that of liquid
perconducting electronics for scientific ap-
nitrogen. In cases where extreme sensitivity
plications continues to increase and these
is needed, cooling with liquid helium may
should produce a small market.
continue to be required.
28
SEMICONDUCTORS, FIBER OPTICS, SUPERCONDUCTING MATERIALS, AND ADVANCED MANUFACTURING
3.2.3 High transition temperature supercon-
3.4 Department of Energy Superconductivity
ductors are difficult to form into integrated
Program
circuits. Their sensitivity to precise control
of chemical composition makes high quality
3.4.1 Low Temperature Superconductivity.
thin films difficult to fabricate. The heating,
This research is conducted primarily because
which is often used in such processes, can
superconducting magnets are required to
change the composition, damaging super-
advance the performance of expensive ex-
conducting properties. Fabrication of mono-
perimental devices utilized in magnetic fu-
lithic layered structures such as electrically
sion energy and high energy and nuclear
insulated crossings or tunnel junctions (the
physics. Such magnets also reduce the sub-
superconducting counterpart of the transis-
stantial electric power cost of these accel-
tor) has never been demonstrated. Other
erators, detectors, and experi-mental plasma
technologies do not offer much guidance to
fusion reactors. In fusion, the emphasis has
the likelihood of eventual success, although
shifted to development of high-field steady
it is clear that a massive amount of educated
state and pulsed magnets. For accelerators
trial and error will be required.
and detection devices, research and devel-
opment focuses on the development of su-
3.3 Funding Levels for Research and
perconducting wire, materials, and magnets.
Development in the Area ofSuperconducting
3.4.2 High Temperature Superconductors.
Materials.
DoE carries out research and development
The Federal funding for research and develop-
on high temperature superconductors pri-
ment in the area of superconducting materials is
marily in support of three program missions:
summarized in Table 3.
Basic Energy Sciences, Conservation and
Renewable Energy, and Defense Programs.
Table 3. Funding of research and development in
the area of superconducting materials (dollars in
The Basic Energy Sciences research empha-
millions) by agency
sizes synthesis, measurement of properties,
determination of properties, theory, charac-
Agency
1988
1989
1990
terization, processing, investigation of novel
electronic devices, and instrumentation that
Energy
69
138
165
might benefit from incorporating the unique
Defense
60
73
72
properties of these new materials. Much of
NSF
20
26
29
the work is on fundamental questions re-
NASA
4
6
6
garding how materials become supercon-
Commerce
3
3
4
ducting, the parameters of critical tempera-
ture, critical magnetic field and current, and
Total
$156
$246
$276
synthesis of new materials to expand these
parameters.
The budget data collected for this report was
based on a unique set of definitions, a unique
In Conservation and Renewable Energy, the
process for data collection, and on the budget
emphasis is on applications in motors, gen-
projections during the 1989 fiscal year. For this
erators, transmission lines, and other elec-
reason these numbers do not track with, nor
trical equipment. The goal is to reduce the
should they be compared to, the budget cross-
amount of electricity used by such devices,
cuts which have been prepared for subsequent
and the cost of running them. An extensive
budgets.
technology transfer effort includes three pi-
lot centers at DoE laboratories; a series of
The agency programs are summarized in the
interlaboratory meetings with university and
following sections.
industry participation telecast over the Na-
tional Technology University network; a
newsletter of world-wide research preprint
titles; and database and information centers.
29
REPORT OF THE PRESIDENT TO THE CONGRESS ON FEDERAL POLICIES, BUDGETS, AND TECHNICAL ACTIVITIES IN
Under Defense Programs, the research is on
feasible. High temperature materials are in
theory, materials characterization and ma-
their infancy and are difficult to process. A
terials synthesis to gain a scientific under-
heavy investment in R&D will be required if
standing of the fundamental properties re-
their apparent potential is to be realized. The
sponsible for superconductivity. There are
course of development will probably proceed
many possible applications to the Inertial
from electronic transmission lines to sensors
Fusion Program, the Nuclear Weapons
to analog and digital electronics to a variety
Technology Program, and the Strategic De-
of supermagnet applications.
fense Initiative. This includes research on
Superconductivity applications, some of
fast-opening switches, levitation bearings,
which have already been tested in prototype
solenoids, and electo-magnetic shielding.
form, include more compact, higher-effi-
3.5 Department of Defense Superconductivity
ciency, electric drive systems for ships (and
possibly land vehicles and aircraft), electric
Program
generators, electric energy storage systems
3.5.1 Low Temperature Superconductivity.
for directed energy weapons, supercon-
Superconductivity technology encompasses
ducting-cavity-particle-accelerator directed
both traditional metallic low-temperature
energy weapons, electromagnetic sensors
superconductors (transition temperature be-
from dc through infrared, infrared focal plane
low 23 K) and the new high-temperature
arrays, ultra-high-speed, ultra-compact sig-
superconductors (transition temperature as
nal processors and computers, high-perfor-
high as 125 K). Of concern are issues related
mance low-noise communications and sur-
to their basic properties, their fabrication
veillance systems, superconducting antennas,
into usable configurations, and their unique
and superconducting gyroscopes, inertial
device and systems applications. Potential
sensors, and gravimeters. In all cases, the
applications capitalize on the ability of su-
performance advantages of such systems
perconductors to support lossless dc currents
must compensate for the necessary refrigera-
and low-loss ac currents, to levitate, to shield
tion penalties. Many of these systems are
magnetic and electromagnetic fields, to sense
unique with no normal-conductor counter-
magnetic and electromagnetic fields with
parts, e.g., superconducting magnetic energy
unmatched sensitivity, to transmit electronic
storage systems. In other instances new ca-
signals with extremely little distortion, and
pabilities can be brought to platforms inca-
to fulfill analog and digital electronics func-
pable of supporting conventional semicon-
tions at speeds 10 to 20 times faster than and
ductor counterparts, e.g., with supercon-
at power dissipation 1,000 times less than is
ducting electronic technology it should be
possible with semiconductors. Critical to all
feasible to place ultra-high-speed
such applications are efficient and reliable
supercomputing capabilities onboard aircraft
refrigeration systems.
and space craft, a capability not feasible with
semiconductor technology because of its large
Large-scale, low-temperature superconduc-
input power requirements (200 kilowatts)
tivity technology is relatively mature. Liter-
and associated massive cooling system re-
ally thousands of supermagnets are in rou-
quirements.
tine use, but there has been only modest
exploitation in military systems. Sensors
DoD programs in low temperature super-
and analog electronic devices are also highly
conductivity research are coordinated
developed, while digital electronics systems
through a wide number of intra-service and
are at an earlier stage of development, at least
inter-departmental coordinating mecha-
in the United States. This technology prom-
nisms, including working groups, annual
ises high utility not only in its own right, but
program reviews, and special review panels.
also for pioneering systems to be executed
The coordinating vehicles help insure against
later with higher temperature supercon-
duplication of effort and keep focus on topics
ducting materials at such time as that proves
of importance.
30
SEMICONDUCTORS, FIBER OPTICS, SUPERCONDUCTING MATERIALS, AND ADVANCED MANUFACTURING
3.5.2 High Temperature Superconductivity.
strength). Manufacturing issues include un-
Future U.S. military electronics will require
derstanding process control for reproduc-
significant increases in signal processing ca-
ible quality and quantity of HTSC compo-
pability as the number and accuracy of
nents, scale-up issues, and cost-effectiveness.
various sensors (infrared, acoustic, radar,
Device demonstrations will provide data for
etc.) exceeds the ability of existing signal
checking improvements in system perfor-
processing hardware to translate this infor-
mance while development aspects are ori-
mation in to usable form. To address this,
ented toward near-term retrofit of present
DoD's first priority in high temperature su-
systems and longer term design of new HTSC
perconductivity is the development of high
devices that may require changes in present
temperature superconducting analog-to-
systems technology. The DARPA program
digital converters. These devices will be
is designed to develop technology for military
considerable faster than existing converters
systems, however, these technologies may
and will consume far less power. Also of
have commercial applications.
high priority are various analog devices,
particularly of the passive microwave type.
3.6 The National Science Foundation
These will be developed in the near-term and
Superconductivity Program
will probably be the first superconducting
components utilized in military systems.
3.6.1 Solid State Physics. The National Sci-
Gyroscopes, accelerometers, digital devices
ence Foundation supports research to bring
and meters also have high research priority.
a wide variety of experimental techniques to
the study of new high temperature super-
There are critical scientific problems, how-
conductors. Areas of research focus include
ever, which may inhibit the realization of
electronic and crystal structure, and elec-
DoD research goals. These barriers are: (1)
tronic, magnetic, spectroscopic, and thermo-
imperfect thin film deposition techniques,
dynamic properties.
(2) lack of a superconductive transistor-like
(or three-terminal) device, (3) inadequate
3.6.2 Solid State Chemistry. The NSF sup-
material capabilities, and (4) incomplete un-
ports research to bring experience in chemis-
derstanding of the mechanism of high tem-
try to the synthesis of solid state oxide su-
perature superconductivity. DoD is well
perconductors.
aware of these technical barriers and its
3.6.3 Low Temperature Physics Research in
program, by necessity, includes multiple
low temperature physics has long had su-
contractors addressing each (particularly in
perconductors as a focus. The NSF currently
film deposition and materials development).
supports research on bulk properties, thin
DoD's program in high temperature super-
films, and superconducting devices.
conductivity is focused at the Defense Ad-
3.6.4 Condensed Matter Theory. The NSF
vanced Research Projects Agency (DARPA).
supports solid state theorists to develop
It addresses high temperature supercon-
models, computer simulations of physical
ductors and is a technology-driven program
behavior to understand physical limitations
rather than basic research. The program
of superconductors such as critical tempera-
comprises three areas: (1) synthesis, pro-
tures and fields.
cessing and fabrication of materials, (2) pre-
commercial manufacturing science issues,
3.6.5 Metallurgy. The focus of NSF support
and (3) conceptual device development. Since
in the area of metallurgy includes under-
high temperature superconducting materi-
standing of metallic and structural behavior
als are brittle ceramics, the first task is fabri-
of superconductors, and the microscopic
cation into engineering forms such as wires,
behavior of superconducting properties.
coils, and thin films, each with optimized
3.6.6 Ceramics and Electronic Materials.
material properties (e.g., mechanical
Current high temperature superconductors
- 31
REPORT OF THE PRESIDENT TO THE CONGRESS ON FEDERAL POLICIES, BUDGETS, AND TECHNICAL ACTIVITIES IN
are ceramics. This area of research seeks to
3.7.1 Communication and Data Systems. This
expand knowledge of superconductor pro-
technology thrust area is complimentary to
cessing, modification, and synthesis and
an on-going base program in OAST in com-
characterization of superconducting ceramic
munications and data technology. Space
oxides.
data technology is key to the on-board pro-
cessing of space generated data, which can
3.6.7 Polymers. Research supported by NSF
exceed a gigabit per second. This massive
in this area involves the synthesis of polymeric
computational rate is key to future NASA
superconductors.
missions, such as the Mars Rover and Sample
3.6.8 Superconducting Applications. The
Return Mission, where some degree of au-
NSF supports research leading to applica-
tonomy is a critical mission requirement. In
tions of both low temperature and high
addition, space-based communication is
temperature superconductors. Research on
critically important for both geostationary-
high temperature superconductivity includes
to-geostationary, geostationary-to-low-earth-
microwave and strip-line applications.
orbit and deep-space-to geostationary mis-
Support is also provided for power applica-
sions. High speed microwave components
tions.
and ultrastable oscillators are critical to en-
able these missions. The following is a par-
3.7 National Aeronautics and Space
tial list of areas of study, research, and de-
Administration Superconducting
velopment in this area:
Materials Program
High speed switches
The Office of Aeronautics and Space Tech-
Ultrastable oscillators
nology (OAST) of the National Aeronautics and
Microwave components
Space Administration (NASA) has instituted a
Low noise receivers
program in high temperature superconductivity
3.7.2 Sensor and Cryogenic Systems. This
for applications in space and aeronautics. The
technology thrust area is complimentary to
program centers around four technology thrust
an on-going base program in OAST in Sensor
areas:
Technology whose main focus is remote
I. Communication and Data Systems
sensing of galactic, planetary, and terrestrial
phenomena. However, the HTS thrust cov-
II. Sensor and Cryogenic Systems
ers this and in situ sensing applications for
III. Propulsion and Power Systems
both space and aeronautics application ar-
eas. Cryogenic technology which revolves
IV. Space Materials Technology
around the cooling of focal planes for the
The high-temperature superconductor pro-
various remote observations instruments is
gram includes benefit studies of typical aero-
key to future NASA missions, such as the
space applications. The research is directed at
Large Deployable Reflector, a 10 to 15 meter
characterization of new high-temperature su-
reflector for observations from the submilli-
perconducting materials for unique aeronautics
meter to far infrared portions of the electro-
and space applications including the effects of
magnetic spectrum. The following is a par-
vacuum and space radiation. Selected thin film
tial list of areas of study, research, and devel-
and bulk device research will be supported for
opment in this area:
the most promising aerospace applications
Accelerometers for space and
identified from the applications studies in data,
aeronautics applications
communications, sensors, cryogenics, propul-
Magnetometers
sion, and power.
Gyroscopes
Mixers
Local oscillators
Bolometers
Magnetic refrigeration
32
SEMICONDUCTORS, FIBER OPTICS, SUPERCONDUCTING MATERIALS, AND ADVANCED MANUFACTURING
3.7.3 Propulsion and Power Systems. This
3.8.2 Superconductor Properties. Low tem-
technology area is complimentary to ongoing
perature superconductors are already de-
base programs in OAST in space power and
veloped into engineering materials with
propulsion technology. Propulsion technol-
several technically successful applications,
ogy is key to future NASA missions. The
but their characteristics present unique mea-
proposed manned mission to Mars and the
surement problems that have been the sub-
return to the moon for a permanent manned
ject of research at NIST for over two decades.
station are just a few areas where this tech-
These include the measurement of critical
nology is a prerequisite. Space power tech-
current and its variation with magnetic field,
nology is key to future NASA missions, such
temperature, mechanical strain and other
as the Mars Rover and Sample Return Mis-
test conditions; the measurement of ac loss
sion, where the mission science requirements
and other magnetic characteristics; the de-
is heavily dependent on available power and
termination of the limits of stability; and the
storage. Concepts and technologies in these
measurement of basic superconductor char-
areas have obvious spinoffs in the aeronautics
acteristics such as the energy gap, the isotope
area. The following is a partial list of areas of
effect, etc. These measurement problems are
study, research, and development in this area:
of equal importance in ceramic and metal
superconductors. Standards activities in-
Magnetic bearings
clude technical contributions to the devel-
Magnetoplasmadynamic thrusters
opment standards adopted by the private
Electromagnetic launchers
sector, a standard reference material for
Energy storage
critical current measurements, and interna-
Power transmission
tional coordination.
3.7.4 Space Materials Technology. This
3.8.3 Composition and Structure Analysis.
technology thrust area is directed toward
Systematic development of ceramic high
developing materials or processes which will
temperature superconductors must be
result in high-temperature superconducting
guided by reliable determination of chemi-
materials which are stable in the space envi-
cal composition and physical structure of
ronment.
test specimens. NIST has established a wide
range of test facilities for this purpose. These
3.7.5 Low Temperature Superconductivity.
include neutron scattering (both elastic and
Low-temperature superconductivity work
inelastic); x-ray diffraction (including a
includes device research utilizing supercon-
catalog of diffraction patterns); photoemis-
ducting insulating-superconducting (SIS)
sion spectroscopy; micro-Raman spectros-
junctions for remote sensing applications,
copy; electron and ion microprobe analysis;
superconducting quantum interference de-
neutron activation analysis; isotope dilution
vices (SQUIDS) for magnetic sensing and
mass spectrometry; and ultrasonics. Apply-
gravity gradiometer instrument applications,
ing all these techniques to one specimen
superconducting cavities for precise time and
enables a comprehensive analysis of struc-
frequency determination, and magnets for
ture and composition to be made at a wide
detector applications.
range of scales.
3.8 Superconductor Research at the Department
3.8.4 Process Data. The design of fabrication
of Commerce
processes for ceramics depends upon infor-
mation relating process variables to product
3.8.1 Introduction. The Department of
materials. Research to establish such data for
Commerce carries out its superconductivity
the high temperature superconductors is in
research at its National Institute of Standards
progress in NIST. This includes the estab-
and Technology (NIST). The technical pro-
lishment of phase equilibrium diagrams; de-
gram may be described in four parts as fol-
vising and testing process conditions to
lows.
33
REPORT OF THE PRESIDENT TO THE CONGRESS ON FEDERAL POLICIES, BUDGETS, AND TECHNICAL ACTIVITIES IN
promote grain orientation; preparation of
ever-greater percentage of the total work re-
starting materials in optimum form; and the
quired to produce a part. The development of
establishment of processes to fabricate thin
automated "coordinate-measuring machines"
films of high quality.
(CMMs) in the 1970s helped somewhat, but
measurement still used up about 50 percent of
3.8.5 Superconducting Electronics. There has
the total time required to produce a precision
been a program in superconducting elec-
part.
tronics at NIST for over two decades, with
the objective of developing the next genera-
It would be many times more efficient if the
tion of techniques, instrumentation, and
machining process could be made to produce
physical standards for a variety of electrical
accurate parts without being interrupted by the
and magnetic measurements. There is a
measuring process. Not only would it take less
fabrication facility for superconducting mi-
time, but fewer parts would have to be scrapped
crocircuits that has produced SQUID mag-
for being out-of-tolerance. (Some surveys have
netic detectors, an analog-to-digital converter,
shown that in the U.S. one-third of the work force
a fast counter, millimeter wave mixers, and a
in manufacturing industries is engaged in re-
voltage measurement system that incorpo-
work; that is, correcting out-of-tolerance parts
rates the basic national standard. All these
made by the other two-thirds.) Research suggests
are based on thin films of low temperature
that the problem can be solved by use of today's
super-conductors and Josephson junctions.
computer-controlled machine tools, because the
Present work includes further development
position of the cutting edge of the tool is known
of a power standard for infrared and micro-
and controlled at all times, at least in theory, by
wave radiation based on a kinetic inductance
the computer. The computer can be programmed
bolometer. Research to extend the fabrica-
to compensate for known errors in the machine's
tion of microcircuits to high temperature
movement, using sensors that feed back informa-
superconductors is in progress. This includes
tion on the machine's condition.
the establishment of processes to fabricate
This concept of feedback and process control
high quality thin films and perform lithogra-
is being broadly applied in advanced manufac-
phy. The greatest challenge is to fabricate
turing and affect materials handling, quality
reproducible Josephson junctions. Some
control, design, and support as well as fabrica-
progress has been made in this area.
tion. This trend stimulates the need for a variety
of new technologies including robotics, sensors,
4. Advanced Manufacturing Technologies
and advanced control technology. Data han-
dling and communication are also becoming
4.1 Introduction
more important in manufacturing.
Flexibility in manufacturing, especially the
Even for the largest firms the lack of agreed-
ability to make incremental improvements to
upon standards for "interfacing" complex
products and process technologies, contributes
equipment is a difficult-and costly- problem.
to competitiveness. Various studies have docu-
For close to 90 percent of the discrete parts indus-
mented the need for U.S. firms to improve in this
try - about 100,000 firms - - the problem is
area, relative to foreign competitors.
worse. These are much smaller companies (fewer
than 50 employees) without great financial re-
4.2 Introduction to the Technical Issue
sources. Discrete parts producers, those who
make products in small batches, are responsible
Historically, manufacture and measurement
for about 75 percent of the total U.S. trade in
have always been two separate processes. A
manufactured goods.
machinist would cut a part on a milling machine
and stop periodically to check dimensions with
If they choose to automate, the smaller com-
calipers and gauges. As manufacturing tech-
panies frequently prefer to buy automated ma-
niques became more and more efficient, the mea-
chinery in stages, one or two machines at a time,
surement part of the operation consumed an
and slowly build up to an integrated system. The
34
. . .
SEMICONDUCTORS, FIBER OPTICS, SUPERCONDUCTING MATERIALS, AND ADVANCED MANUFACTURING
effectiveness of this approach would be enhanced
4.4 Department of Defense Advanced
by the flexibility to buy from different manu-
Manufacturing Program
facturers at different times with the assurance
that the machines they buy will work together
DoD established the DoD Manufacturing
properly without expensive, custom-designed
Technology Program (Man' Tech) in the late 1950's
interfaces. This is the same flexibility that one
in response to a growing need for advanced
can now find when buying the parts of a home
production processes. Each military department
stereo system from several different manufac-
has a mature ManTech program. The Defense
turers, knowing that they will all plug together.
Logistics Agency recently established one. Inter-
These firms also would benefit from a system
organizational coordination is accomplished via
flexible enough to switch from the production of
the Manufacturing Technology Advisory Group
one part to another quickly and without expen-
(MTAG). It consists of an executive committee
and six technical committees which meet at
sive reprogramming.
various times throughout the year. Once a year,
4.3 Funding Levels for Advanced
the MTAG holds a plenary meeting for the entire
Manufacturing Research and Development
DoD ManTech community. Attendance has
grown to over well over 600 (a high of 1100)
during the past several years — two-thirds from
The Federal funding for research and devel-
the private sector. The meeting includes Service
opment in advanced manufacturing is summa-
overviews, industry panels, and numerous
rized in Table 4.
technical sessions where the results of ManTech
projects are discussed.
TABLE 4. Funding of advanced manufacturing re-
search and development (dollars in millions) by
The ManTech program has produced many
agency.
success stories. One example involves the devel-
opment of a laser welder for producing tank
Agency
1988
1989
1990
engine components. The new welding process is
more productive and produces higher quality
Defense
154
170
173
welds than previous methods. It is estimated
Commerce
3
3
3
that the $1 million ManTech investment pro-
duced a cost avoidance of $3.5 million. Another
Total
$157
$173
$176
project successfully established a more efficient
method of producing gallium arsenide integrated
The budget data collected for this report was
circuit substrate material. It has been estimated
based on a unique set of definitions, a unique
that the new process paid for the ManTech in-
process for data collection, and on the budget
vestment in less than the first month of produc-
projections during the 1989 fiscal year. For this
tion. All three Military Departments are ben-
reason these numbers do not track with, nor
efiting from this project.
should they be compared to, the budget cross-
cuts which have been prepared for subsequent
ManTech's primary goal is to improve the
productivity and responsiveness of the defense
budgets.
industrial base by engaging in initiatives which
The budget numbers shown in this table do not
develop advanced manufacturing technology
include funding for robotics, and therefore do
which will permit DoD and its contractors to
not show several agencies with which have
produce DoD material more efficiently by using
budgets in that area. The President's FY 91
less production resources. While DoD invests in
budget request contains a complete crosscut on
the establishment of advanced technology, DoD
robotics funding. A data collection for advanced
contractors normally are expected to invest in
manufacturing, including robotics, is planned
the capital equipment necessary to implement
for the President's FY 92 budget.
that technology.
The agency programs are summarized in the
following sections.
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REPORT OF THE PRESIDENT TO THE CONGRESS ON FEDERAL POLICIES, BUDGETS, AND TECHNICAL ACTIVITIES IN
Man Tech program results are distributed via
precision welding. Expand effort to en-
numerous methods. Technical reports are dis-
hance current production methods for
tributed by the sponsoring organization and/or
medium duty landing mats and heavy
the contractor involved. The reports are also
duty membrane materials.
deposited centrally at the Defense Technical In-
Continue to develop production meth-
formation Center (DTIC) which provides sec-
ods for heat stable enzymes used in de-
ondary distribution. DTIC's services were aug-
tection devices for chemical and biologi-
mented in June 1984 by the establishment of a
cal agents and toxins.
Manufacturing Technology Information Analy-
sis Center (MTIAC). MTIAC serves as a focal
Continue investigating gaps in precision
point for DoD's manufacturing technology in-
gear manufacturing technology.
formation. It also answers queries on various
technology subjects and prepares technical as-
Complete robotized wire harness effort
sessment reports such as: 1) higher order lan-
with definition and specification of ge-
guages for robots; 2) artificial intelligence and
neric equipment for a variety of wire
expert systems applications in manufacturing;
types and characteristics.
3) evaluation of finite capacity scheduling and
Continue machine tool tasks on: improv-
simulation systems; and 4) automated inspection
ing product quality by computerizing in-
systems for flexible machining systems.
process tool wear monitoring and control;
The Man Tech Program uses other vehicles to
computerizing measurement of product's
distribute program results - one of the most
surface finish, straightness, roundness,
effective means is the end-of-contract briefing.
and cylindricity in order to map defect
Many (about 100 per year) ManTech contracts
areas; and computerizing metal finish-
require the performing organization to summa-
ing bath process control in order to main-
tain correct chemical balance.
rize the contract accomplishments for its peers.
While attendance is by invitation only, the
Continue work on a variety of ammuni-
sponsoring agency will accommodate others if
tion production investments such as: au-
they have a valid reason to send a representative.
tomating stick propellant blending; safely
These briefings give the attendees the opportu-
sampling nitroglycerine; mechanizing the
nity to review the results first hand with the
assembly of mine clearing line charges;
expectation that they will be applied to local
and automated testing of high volume
problems.
production of infrared transducers for
Some ManTech funds are used internally in
seeker type munitions.
DoD activities but most of the nominally 200
Enhance various technologies required
projects funded each year are awarded to private
to modernize/automate repair and re-
sector contractors.
build of tactical vehicle engines.
The following is a partial list of DoD's planned
4.4.2 Department of the Navy.
FY90 ManTech investments.
FY 1990:
4.4.1 Department of the Army.
Utilize the Automated Manufacturing
FY 1990:
Research Facility (AMRF) to demonstrate
Initiate efforts to improve crystal growth
the architecture and concepts necessary
and manufacturing capability for basic
for the "seamless" processing of part
integrated circuit materials.
description data through process plan-
ning, NC code generation, robot path
Continue to develop alternate process to
creation, inspection plan generation, and
manufacture access and egress mats and
material handling.
bridge decks with smaller extrusions and
o
36
SEMICONDUCTORS, FIBER OPTICS, SUPERCONDUCTING MATERIALS, AND ADVANCED MANUFACTURING
Demonstrate the technology for quality
4.4.4 Defense Logistics Agency (DLA).
control in the unmanned small batch size
FY 1990:
environment by developing technology
for deterministic metrology.
Continue work on establishing three
Demonstrate advanced casting technol-
apparel manufacturing research centers.
ogy for 16" and 5" projectiles.
Develop in-process quality control sys-
Initiate project to develop technology for
tems, computer simulation of apparel
refurbishment of engine parts (turbine
manufacturing models, ergonomic re-
blades/vanes and static components).
search, and real-time data collection.
Demonstrate improved manufacturing
Establish dvanced technology for com-
process for ausrolling gears.
bat rations manufacturing.
Develop technology for automated tape
Establish advanced technology for pro-
laying of complex shapes.
ducing gears by initiating acquisition of
equipment for "center for excellence" and
Develop shape melting technology for
begin work on spiral bevel gear cutting
fabrication of ship and submarine com-
machine technology.
ponents.
Establish advanced technology for pro-
Develop improved manufacturing tech-
ducing bearings by awarding contract
nology for thermoplastic secondary air-
for "center of excellence" for bearing pro-
craft structures.
duction.
4.4.3 Department of the Air Force.
Initiate activities to establish DLA's In-
dustrial Modernization Incentives Pro-
FY 1990:
gram through eight investments in
bearing and apparel industries. In FY 91
Complete financial support of the Na-
tional Center for Manufacturing Sciences.
begin application engineering for four
factories of the eight factories.
Continue work on producibility of elec-
Note: In addition to the ManTech program
tronic subsystems, flexible micro-elec-
tronic manufacturing systems, and ad-
funding, many other DoD development pro-
vanced radar modules.
grams produce advances in manufacturing that
are targeted toward specific programs. The re-
Continue efforts to implement vanced
sults, however, may be used in many other prod-
technologies in repair depots while con-
ucts as the techniques are disseminated through
tinuing efforts on flexible repair center
personal contacts, technical contacts, or confer-
and Computer Aided Acquisition and
ences. There is no reliable way to estimate the
Logistics Support.
manufacturing R&D funding attributable to such
programs, but the total could easily exceed that
Continue activities to provide economi-
in the ManTech Program.
manufacturing methods for composite
airframe components.
4.5 Department of Commerce Advanced
Complete development of computer in-
Manufacturing Program
tegrated composites manufacturing cen-
ter.
The core of the Department of Commerce's
advanced manufacturing program is the Auto-
mated Manufacturing Research Facility (AMRF)
at NIST. The AMRF is an engineering laboratory
in the Center for Manufacturing Engineering at
NIST. The facility provides a basic array of
37
REPORT OF THE PRESIDENT TO THE CONGRESS ON FEDERAL POLICIES, BUDGETS, AND TECHNICAL ACTIVITIES IN
manufacturing equipment and systems-a "test-
NIST, was adopted by the American National
bed"-that researchers from NIST, industrial
Standards Institute (ANSI), a private voluntary
firms, universities, and other government agen-
standards organization. The standard now is
cies can use to experiment with new standards
supported by all U.S. CAD vendors which have
and to study new methods of measurement and
at least a 1% market share.
quality control for automated factories.
NIST has recently established the National
The AMRF includes several types of modern
PDES Test Bed at the AMRF to support industry
automated machine tools, such as numerically
and government projects in developing and
controlled milling machines and lathes, auto-
testing the Product Definition Exchange Specifi-
mated materials-handling equipment (to move
cation (PDES), the next generation of data in-
parts, tools, and raw materials from one "work-
terchange standards for automated manufac-
station" to another), and a variety of industrial
turing. Recent demands for solid modeling,
robots to tend the machine tools. The entire
configuration control, fully computer-interpret-
facility operates under computer control using
able data, and interactive access by cooperating
an advanced control approach pioneered at NIST.
users have led to the need for PDES, one of the
The AMRF incorporates some of the most ad-
most ambitious standards ever attempted.
vanced, most flexible automated manufacturing
Implementing the new standard currently
techniques in the world.
under development by voluntary standards or-
NIST, as the nation's primary laboratory for
ganizations, industry, and government still re-
measurement science and engineering, has two
quires serious technical effort. Implementations
principal goals for its automated manufacturing
must be tested as they are built to uncover
program: to supply American industry with a
problems and inconsistencies in the various
radically new way of making precisely machined
definitions.
parts-with dimensions that can be referenced
to national measurement standards maintained
Experienced researchers working in a testbed
environment such as the AMRF can identify
by NIST-and to encourage the modernization
of American manufacturing by providing the
potential problems and suggest clarifications and
technical information necessary to develop
interpretations of the standard. Work in the
AMRF on manufacturing data preparation has
standardized "interfaces" between various types
of equipment. NIST also is using this facility as
already developed a product part model which
a testbed for research on the next generation of
is consistent with the expected PDES standard.
AMRF researchers are testing to determine the
"knowledge-based" manufacturing systems-
automation systems that incorporate artificial
effectiveness of this part model as the informa-
tion needed by the manufacturing applications
intelligence capabilities.
in the facility. As PDES is developed, this effort
The effective transfer of technical informa-
will be expanded.
tion requires standardization-standard proce-
AMRF research also led to standards for the
dures, standard protocols, standard interfaces.
The challenge is to develop standards which
characterization of computerized coordinate
measurement machines, and for a method of
support current technology and yet still encour-
surface texture measurement. Seven other po-
age equipment manufacturers to develop new
tential standards are now being considered by
and innovative products. These are problems
various industrial standards groups.
that NIST is solving in the AMRF.
The AMRF is a unique government facility
Three industrial standards have already been
developed based on NIST automation research.
for many reasons, including:
For example, a standard method for exchanging
Its location at the National Institute of
graphics data between otherwise incompatible
Standards and Technology. As an open
computer-aided design (CAD) systems, devel-
federal laboratory with no commercial
oped by a government-industry coalition led by
interests, NIST can make this facility ac-
38
SEMICONDUCTORS, FIBER OPTICS, SUPERCONDUCTING MATERIALS, AND ADVANCED MANUFACTURING
cessible to private firms interested in au-
The AMRF is not a prototype of the
tomation research-firms that individu-
"factory of the future." It is extremely
ally could not afford such a complex
unlikely that any actual factory would
research facility. NIST has a long history
resemble the AMRF, at least physically.
of working with private firms and orga-
The AMRF is a laboratory for studying
nizations to develop standards and mea-
factory automation. Further, the AMRF
surement and test methods that benefit
is not a demonstration project. Although
the entire industry.
it does demonstrate several new and
potentially important techniques for
The active participation in the AMRF by
machine control and the integration of
industry, universities, and other gov-
diverse systems, the AMRF is not a mu-
ernment agencies. The AMRF has be-
seum piece but rather a working research
comea focal point for interactions among
facility.
all American researchers in automated
manufacturing.
In addition to NIST funding, the Navy's
Manufacturing Technology Program is a
The use of a wide variety of commercially
major source of support. Private firms
available machine tools and robots. This
and universities also contribute to AMRF
is a direct result of the NIST decision to
research through the donation or loan of
study the most practical, incremental
equipment or by providing personnel
route to automation for the small- to
through the NIST Research Associate
medium-sized firm; it is anapproach that
Program.
has never been used before.
The Research Associate Program is also
The flexibility of the system. One of the
one of the ways that NIST research re-
goals of the AMRF is to create a facility
sults are transferred out of the AMRF.
that is, in the jargon of the researchers,
Another approach to transferring this
"data driven"-theactions of the various
technology is through the establishment
machines and robots should be deter-
of the Manufacturing Technology Cen-
mined primarily, or solely, by a comput-
ters Program at NIST. The objective of
erized description of the part to be manu-
this program is to accelerate the transfer
factured. This stands in contrast to
of advanced manufacturing technology
modern "flexible manufacturing" cells
to small- and medium-sized U.S. busi-
which are truly flexible only for a limited
nesses to assist these firms in improving
"family" of parts for which the machine
their manufacturing and process capa-
tools are programmed.
bilities and market competitiveness. Each
Sensory interaction. The AMRF makes
center will apply advanced manufactur-
use of an unusually versatile robot con-
ing techniques to the needs of manufac-
trol system in which sensory information
turers located within its region. The ad-
from, for example, the NIST robot vision
vanced technologies transferred will
system is fed back to the controller to
emphasize those developed at the AMRF.
provide a basis for its decisions. This is
Each center is expected to communicate
important because it enables the system
its experience to all interested parties.
to react to its environment, eliminating
While research is the focus of the AMRF,
the need for a lot of rigid programming.
the transfer of advanced manufacturing
The scope of the facility. Research at the
technology is the primary task of the
AMRF covers everything from the
Manufacturing Centers Program. Ac-
preparation of data on a new part to final
tivities of each center are expected to
automated inspection.
include: 1) informing and educating the
industrial firms in its region about ad-
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REPORT OF THE PRESIDENT TO THE CONGRESS ON FEDERAL POLICIES, BUDGETS, AND TECHNICAL ACTIVITIES IN
vanced manufacturing techniques; 2)
technological improvements thatcan help
demonstrating the applicability of ad-
these firms improve productivity. These
vanced technology to these firms; 3) ac-
centers must serve as more than just
tively assisting firms in evaluating their
brokers, however. It is also their respon-
requirements; 4) assisting with the
sibility to help increase the flow of tech-
implementation of desired applications;
nology out of federal laboratories by
5) supporting work-force training and
identifying technologies that can benefit
retraining; and 6) communicating tech-
industry, and where enecessary, extracting
nology transfer experiences to a wide
that technology, refining it, packaging it,
national audience.
fine tuning it, and otherwise making it
available and useable to the general
One aspect of this new program is that it
public. This step is important because it
represents the first time the federal gov-
is not the mission of the federal laborato-
ernment explicitly attempted to establish
ries, including NIST, to engage in prod-
an intermediary between the federal
uct development. This manufacturing
laboratories that perform research and
Technology Centers Program at NIST is
development in new technological areas
unique. It builds on the resources of NIST
and the small-and medium-sized manu-
and other laboratories while establishing
facturing firms that hope to benefit from
a mechanism to combine the push of new
the availability of this technology.
technology development with the pull of
NIST's successes in transferring technol-
manufacturing competition for
ogy have generally been a result of coop-
marketshare.
erative research agreements in which
Three organizations have been selected
private sector personnel spend up to a
to become the first NIST Regional Manu-
year working side-by-side with NIST staff
facturing Technology Centers: The
solving some problem of mutual interest.
Manufacturing Technology Center at the
Some of these agreements also entail a
Cleveland Advanced Manufacturing
donation of some piece of equipment to
Program in Cleveland, Ohio; The
the AMRF. In these cases, the research
Northeast Manufacturing Technology
program will typically involve incorpo-
Center at Rensselaer Polytechnic Insti-
rating the equipment into the AMRF. At
tute in Troy, New York; and The South
the end of these cooperative research
Carolina Technology Transfer Coopera-
programs, the visiting staff return to their
tive based at the University of South
organizations, taking with them the
Carolina in Columbia, South Carolina.
knowledge of advanced manufacturing
NIST has established cooperative work-
techniques developed in the AMRF.
ing arrangements with each of these or-
This technology transfer process has
ganizations.
worked well for NIST over the years.
Unfortunately it only works well for large
firms, with a large enough staff that they
can afford to send one or two staff
members to NIST for an extended period
of time. Obviously, this is not the case for
most of the small- and medium-sized
manufacturing firms in this country. This
is the motivation for the establishment of
regional centers-to serve the needs of
the manufacturing firms in their region
by working closely with them to identify
40
DRAFT
f.6.56t
[March 26, 1991]
U.S. INDUSTRY ACCESS TO JAPANESE SCIENCE AND TECHNOLOGY
D. ALLAN BROMLEY
Assistant to the President for Science and Technology
Executive Office of the President
Conference on U.S. Industry Access
to Japanese Science and Technology
Washington, D.C.
March 27, 1991
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It is a pleasure to be here to open this conference on "U.S.
Industry Access to Japanese Science and Technology." International
cooperation and competition in science and technology are issues of
vital importance to this country, and that importance is only going to
grow as markets and technology transfer become increasingly
global.
In part, the increasing globalization of economies is a reflection
of the widening influence of science and technology in our lives.
Science and technology have always been among the most
international of all human activities. It is frequently the case that
scientists and technologists are on more intimate terms with
colleagues on the other side of the globe than they are with those at
the other end of the hall. What happens in Japan or Germany in
biology is often of more interest to a biologist than what happens
across the campus.
At an even more fundamental level, the globalization of
markets reflects a deeper transition from predominantly resource-
driven economies to information-driven economies. As Walter
Massey, the new Director of the National Science Foundation, has
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said, "The resources that are most critical to progress today are no
longer mined from the Earth but are created in the mind."
Francis Bacon said much the same thing four centuries ago in
his Religious Meditation. He wrote, "Nam et ipsa scientia potestas
est," which translates as "knowledge itself is power." I might add,
by the way, that since coming to Washington I've heard that when
Senator Everett Dirksen first heard this quotation, he immediately
replied, "particularly if you know it about the right people."
This morning I would like to begin by discussing the United
States' general policies toward science and technology. I shall then
turn specifically to international science and technology, which Bob
White and Reggie Bartholomew (or John Boright) will examine in
more detail.
Importance of Science and Technology in Government Policy
Today, science and technology are integral elements of both
domestic and international policy in the United States. One place
where this can clearly be seen is in the budgets that President Bush
has sent to Congress for the past two years. In both of those
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budgets, science and technology were among the very first items
featured, second only to increasing the national savings rate (in the
FY 1991 budget) and education and prevention (in the FY 1992
budget).
In general, the Bush Administration views science and
technology as key investments in the future economic prosperity and
national security of this country. The past investments we have
made in science and technology have paid great returns in
economic growth and an improved quality of life. These returns are
going to continue, most likely at an accelerating pace, in the years
ahead.
In the Fiscal Year 1992 budget, the President proposed a
record $75.6 billion for research and development, a 13 percent
increase over the amount Congress appropriated for FY 1991. In a
year when real growth in the domestic discretionary budget is
essentially limited to the rate of inflation, this increase for R&D --
one of the largest in the federal budget this year -- marks a major
commitment to science and technology.
One area of emphasis in this year's budget is basic research.
To take advantage of the countless scientific opportunities available
to researchers at our nation's colleges and universities, the budget
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proposes an 18 percent increase in funding for the National Science
Foundation and a 9 percent increase in funding for research project
grants awarded to individual investigators at the National Institutes
of Health. By focusing on these two agencies, the Administration is
seeking to strengthen the individual investigator and small group
research that remains the heart and backbone of American science
and technology.
Yet basic research clearly cannot be the only component of a
nation's R&D enterprise. Other nations such as Japan have R&D
enterprises that bring great benefits to society yet include very little
basic research. The difference is that these systems are able to
very efficiently and effectively exploit the results of basic research,
no matter where it is done. This is the stage of the innovation
process -- the stage between the generation of knowledge and its
application in the marketplace -- that poses the greatest challenges
to the United States.
To help strengthen the latter stages of the innovation process,
the budget includes funding for many areas of applied research and
technology development, including high performance computing and
communications, energy technologies, biotechnology, advanced
manufacturing and materials, and aeronautics. To take just one
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example, the budget includes a special Presidential initiative on high
performance computing and communications, which is designed to
sustain and extend America's preeminence in this critically important
area of technology. This program, which was put together by an
interagency committee organized through my office, focuses on the
hardware, software, networks, and human resources that will be
necessary to increase computing and communications capabilities
by several orders of magnitude. In my view, these new capabilities
could have the kind of catalytic effect on society, businesses, and
universities that the telephone system has had during the twentieth
century.
The budget emphasizes a number of areas of applied research
and development. In fact, it goes so far as to state that it is
providing increased funding "for all major civilian applied R&D
areas." This is an important measure of the Administration's
intentions.
In a speech to the recipients of the National Medals of Science
and National Medals of Technology last fall, the President said,
"Today, our government must help carry [basic] research forward
and contribute to the development of generic technologies that build
on basic discoveries. If America is to maintain and strengthen our
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competitive position, we must continue not only to create new
technologies, but learn to more effectively translate those
technologies into commercial products. In this way, we can help
leverage the R&D of the private sector, helping whole industries
advance in an increasingly competitive global market." As part of
this commitment from the highest levels of government, applied
research and technology development are going to be increasingly
important federal emphases.
Science and Technology Policy in the Executive Branch
Let me describe for a moment the institutional structure within
the Executive Branch that shapes science and technology policy,
because it is important both in developing the budget numbers I
have been describing and in considering international science and
technology. As science advisor to President Bush, I wear several
different hats. First, I am an assistant to the President and
therefore part of the White House staff. In my role as assistant, the
President has made me a member of the Economic Policy Council,
the Domestic Policy Council, and the National Space Council, which
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are three of the senior policy-making bodies within the White House.
I am also the Director of the Office of Science and Technology
Policy, which is an office of about 40 people situated within the
Executive Office of the President. This office, which was created in
1976, serves several functions. It helps me in the preparation of the
information, analysis, and advice that I provide to the President in
science and technology policy. It works closely with the Office of
Management and Budget in reviewing and shaping R&D budgets
within the federal government. And in general it monitors and acts
as a source of information for the President and the rest of the
Executive Branch on what might be termed policy for science and
technology the influence of federal actions on the science and
technology enterprise -- and science and technology for policy -- the
influence of scientific and technological considerations on broader
issues of national and international importance.
The same legislation that created OSTP also created an entity
called the Federal Coordinating Council for Science, Engineering,
and Technology, which goes by the rather unfortunate acronym of
FCCSET. FCCSET is a Cabinet-level entity that was established to
review and coordinate activities in science and technology that cut
across the missions of more than one federal agencies. The
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members of FCCSET now consist of the Secretaries and
Administrators of the agencies and independent agencies involved
with science and technology, together with the Assistant Secretaries
of the agencies involved with science and technology less directly.
With this level of representation, FCCSET is having a major impact
on science and technology activities throughout the federal
government.
Following its reorganization last year, FCCSET formed seven
umbrella committees in science and technology. One of these is the
Committee on International Science, Engineering, and Technology,
which is chaired by Reggie Bartholomew, with Fred Bernthal of the
National Science Foundation and Philip Schambra of the National
Institutes of Health as Vice-Chairmen. That committee has initiated
a number of activities in such areas as the intellectual property
protection annexes in science and technology agreements and
international cooperation on megaprojects in the basic sciences.
It is important to keep in mind when considering FCCSET,
however, that all of its members, by law, must be government
employees. Obtaining the private sector's input on matters of
science and technology was one of the reasons why the President
established his Council of Advisors on Science and Technology
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(PCAST). This is a group of twelve distinguished representatives of
industry and academia that meets monthly with the President and
with other high members of the White House staff to discuss a
broad range of issues in science and technology. Furthermore,
PCAST has been setting up panels in specific areas of science and
technology, many of which parallel the FCCSET committee structure
so that the private sector's views can be used to calibrate the
activities of the federal government.
International Science and Technology
Having described the institutional structure that will be shaping
science and technology policy, I want to spend some time
addressing the question of international research and development --
and particularly the concern of this conference, access to Japanese
science and technology.
I believe very strongly in international access to basic science
and basic technology, and particularly in the free flow of researchers
and ideas. Unlike some other forms of international exchange,
science and technology are positive sum games where international
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cooperation benefits all participants. The question is not whether a
country gains or loses from such cooperation. The only question is
the magnitude of the gains. To quote my friend and predecessor
William Graham, "Science is the rising tide that raises all ships."
There is no question that other countries are building on our
basic research. But we unquestionably gain much more by
maintaining an open system than we could by trying to build
barriers. As you know in your own countries, the markets for
technology and ideas are global, and anyone who's really interested
can gain access to them.
We gain not by restricting access to our technology but by
developing capabilities greater than our competitors. Thus there is
a very strong link between our domestic activities in science and
technology and our international efforts. By further developing our
own science and technology enterprise, we will inevitably strengthen
our international standing in the marketplace.
Some individuals, recognizing the link between our national
science and technology and international competitiveness, have
called for restricting international access to U.S. science and
technology. For basic research and the development of
precompetitive technologies, I believe these calls to be misguided.
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After all, in the early years of our development, the U.S. technical
community relied heavily on access to European science and
technology.
But we do need to do a better job of monitoring and drawing
on technologies from abroad, including Japan. The Commerce
Department has mounted some ambitious, if still underused,
programs in this area, and I know you will be discussing them later
today and tomorrow. These and similar programs will continue to
grow in importance as other countries become even more
competitive in science and technology.
We must also work to ensure that individual researchers and
private sector firms are able to participate in R&D endeavors in the
other country's territory to the same extent that domestic
researchers in that country can do. Although there may be projects
for which these rules do not apply, we should strive to achieve a
level playing field for all parties.
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The Protection of Applied Technology
At some point in the continuum between basic research and
the development of commercial products, R&D moves from being
precompetitive to competitive. Because this point is not always well
defined, some countries tend to be overcautious in defining R&D as
competitive.
I am convinced, however, that the line between competition
and cooperation can be sharply drawn. The results of fundamental
research are, by their very nature, public knowledge. What can
and, in some cases, must be protected are the details of a particular
application of the results of this fundamental research. This know-
how, in the final analysis, is our only edge in an increasingly
competitive world.
What this country needs to do is be much more focused on
those aspects of technology that we want to protect. Rather than
trying to protect a broad range of technologies, we have to focus on
the particular technologies -- and particularly on the systems
integration inherent in technologies -- and protect those things as
firmly as we can.
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As part of this effort, we have to be much more vigorous in
enforcing intellectual property rights than we have been in the past.
Of the three sectors of American industry that have remained most
successful internationally during the 1980s -- the pharmaceutical
industry, the chemical industry, and the aeronautics industry -- two
of those have the strongest IPR protection of virtually any American
industry. The protection of intellectual property has been a key
element in their success.
We are reviewing our international science and technology
agreements to ensure that research pursued in cooperation with
foreign countries is subject to strong IPR protection. As many of
you may know, IPR protection is also a major element of the
Administration's objectives in the multilateral trade talks convened
under the GATT.
We also have to identify much earlier than we have in the past
exactly what we want to get in return for our technology. All too
frequently in the past we have sent representatives to international
negotiations without clear instructions on what we wanted to get and
what we were prepared to give, and not surprisingly we have
sometimes come out of those negotiations without the results that
we might have wished. I will be doing my best to make sure that
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such lopsided negotiations do not happen in the future.
Future International Cooperation in Science and Technology
In general, I see international cooperation becoming an even
greater feature of science and technology policy in the future. For
example, we are about to design a program to determine future
cooperation with the Japanese and others on Intelligent
Manufacturing Systems, and the Japanese have proposed another
program on advanced computing. In these efforts, we are taking a
number of steps to ensure that openness and international
cooperation strengthen the competitiveness of our economy and our
nation's science and technology capabilities.
The reciprocal benefits of science and technology are the main
reason for my being here today, and for OSTP being a cosponsor of
this conference. Access to science and technology in Japan and in
other countries is going to be vitally important to the continued
vitality of American science and technology. If our own science and
technology enterprise is to remain health, we must ensure that we
know and appreciate what is going on internationally.
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For many years the United States has had the strongest
science and technology enterprise that the world has ever known,
but the world situation is now changing. Our overall preeminence is
not being challenged. But in specific areas, other countries, by
focusing their efforts into particular areas, have moved up to equal,
and in some cases surpass, the scientific and technical
achievements of this country.
We have nothing to fear from these international achievements.
Rather, we should view them as opportunities. Still, to take
advantage of these opportunities, we must have and take advantage
of access to foreign science and technology. Those of you in this
room -- as well as scientists, engineers, and managers throughout
this country -- must make a concerted effort to look beyond our own
borders to the renewed scientific and technological expertise of the
world.
The development of this expertise should not surprise us. As I
said at the beginning of my remarks, science and technology are
inherently international activities, and other countries were bound to
recognize and emulate the successes that American science and
technology has brought to this country. But the great benefit of
science and technology is that they can make the world better for
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everyone. As Louis Pasteur once said, "Science knows no country
because knowledge belongs to humanity and is the torch which
illuminates the world."