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Promotion of Large Facility Science Projects by MEXT. October 16, 2013 Shintaro SETO Scientific Research Institutes Division, Research Promotion Bureau, Ministry of Education, Culture, Sports, Science and Technology (MEXT). Large-Scale Science Frontier Promotion Framework
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Promotion of Large Facility Science Projects by MEXT October 16, 2013 Shintaro SETO Scientific Research Institutes Division, Research Promotion Bureau, Ministry of Education, Culture, Sports, Science and Technology (MEXT)
Large-Scale Science Frontier Promotion Framework ~Promotion of Large Scale Science Projects based on Strategic Road Map~ Budget FY2013:23.584 B\ FY2012:28.949 B\ (FY2012 Supplementary:13.285 B\) Objectives ○ Large scale science projects by Japan yielded world frontier science achievements (e.g. Nobel prize supported by B-Factory experiments). ○This Promotion Framework aims at strategic realization of Large Scale Science Projects according to the Road Map (*) established by MEXT. (*) The Science Council of Japan produced a Master Plan where 46 Large Scale Science Projects from various science discipline are listed. The Road Map was designed by the Academic Panel (Gakujutsu-Bunkakai) of MEXT to show high priority Large Scale Projects for funding based on peer reviewing. Expected Outcomes ○ Revolutionary Science Achievements. ○ Project Visibility: Attracts top class researchers from all over the world. ○ Promotion of Next Generation Scientists: Bring up young scientists. ○ Challenging R&D yields Engineering Innovations. - 2 -
Large Scale Science Frontier Promotion Framework 8 projects (FY 2013 budget) TMT LHD Subaru Telescope JPARC New Entry National Astronomical Observatory of Japan 2.237B\ High Energy Accelerator Research Organization, Japan Atomic Energy Agency,J-PARC Center 6.617B\ National Astronomical Observatory of Japan 1.244B\ National Institute for Fusion Science 4.377B\ ALMA KAGRA Super Kamiokande B Factory Institute for Cosmic Ray Research, The University of Tokyo 0.463B\ Institute for Cosmic Ray Research, The University of Tokyo 0.675B\ High Energy Accelerator Research Organization 5.302B\ National Astronomical Observatory of Japan 2.669B\ - 3 -
Science Projects with Large Facilities Challenging Big Questions and yielding Frontier Scientific Achievements e.g.) Experimental demonstration by B-Factory of Kobayashi / Masukawa theory on violation of CP symmetry that led to Nobel Prize. e.g.)First discovery of neutrino oscillation by SuperKamiokande But Needs major investment for long period Requires Strategic funding support based on peer review not just from science community Need for Master Plan + Road Map - 4 -
The 4th Base Plan for Science and Technology (Cabinet approval on Aug. 9, 2011) 4. Developing international-level research environment and infrastructure (1) Developing R&D environment at universities and other public research organizations ・Developing university facilities and equipment ・Developing advanced research facilities, equipment and promoting their joint utilization (2) Developing intellectual infrastructure (3) Developing research information infrastructure - 5 -
MEXT Promotion Policy of Large Scale Science Projects Master Plan as developed by the Committee for Large Scale Research Project of the Science Council of Japan Evaluate purely from Scientific point of view Road Map as developed by the Panel for Large Science Facilities, Council for Science and Technology, MEXT Evaluate urgency, strategic aspects, and public accountability to judge the Priority of projects in the Master Plan MEXT makes budget request to Ministry of Finance for high priority projects in the Road Map, considering the results of assessment by the Large Projects Panel. Large Scale Science Frontier Promotion Framework(MEXT) TMT project ranked highly in the Road Map got newly started funding from FY2013. - 6-
MEXT Evaluation Process of Large Projects MEXT protocol established on 17 Feb 2009 Preliminary Evaluation Evaluation for funding decision: Objectives, Needs, Feasibility Intermediate Evaluation Evaluation to see the soundness of the project progress. Recommendation for modification of the project goals, schedule, and management, or even close down of the project can be advised. Progress Check Progress check for facility construction etc. Not for evaluation. Retroactive Evaluation Evaluate the level of achievements of the initial goals at the end or one year prior to the end of the project to judge if further support to develop the project is necessary and useful. - 7 -
Evaluation of individual project in Road Map ○ To develop a Road Map, MEXT introduces evaluation category ②to judge the priorities of projects,in addition to category ① to list projects in the Master Plan by the Science Council of Japan. ○Road Map review evaluates each project by commenting on “key advantages” and “main issues of concern”. Evaluation criteria for Road Map (1)Community support (2)Responsible organization (3) Open Use System (4) Maturity of project Selection Criteria for Master Plan =「Category ①」 Set out by SCJ (Basic requirements) Additional criteria for Road Map =「Category②」 Set out by MEXT (5) Urgency (6) Strategic Aspects (7) Social/Public Accountability - 8 -
Project Evaluation Criteriafor Road Map Category ① (1) Community Support : (2) Appropriate organization: Clear role sharing among members (3) Open Use System : Accessibility for nation wide researchers (4)Maturity of the Project: Schedule, Construction/Operation Cost Category ② (5) Urgent Needs : International competition/cooperation threat of brain drain to abroad (6) Strategic Aspects : 1) Status in the world, 2) Influence on other fields 3) International contribution, 4) Long term effect for Japan, 5) Any loss to Japan if not do it (7) Social / Public Accountability: 1) Accountability of the importance and needs 2) Defendable for a large investment - 9 -
Road Map as of Today ○Minor revision of the Road Map was made in May 2012 ○46 Projects in 7 Fields are chosen and evaluated to be promoted. ・Humanity and Social Science 4 projects ・Life Science14 projects ・Earth Science, Environmental, Energy 9 projects ・Material Science・Chemistry4 projects ・Physical and Engineering Sci.9 projects ・Space Science3 projects ・Information Science3 projects +6 on-going projects are chosen for follow up evaluation ○17 projects out of 46 were evaluated at “a” rank on evaluation criterion ① and are recognized as the urgent projects with high priority. An example of Road Map is shown in the next slide - 10 -
Formulating Road Map: Approval for New Entry (Example of Project evaluation) Description of the outline of the project, responsible organization, required budget, period projects etc. Description of the results of evaluation: Major merits, Remaining issues, Remarks etc. Among the several projects ranked “a” for both evaluation criteria ① and ②, TMT Project, for example, was funded from FY2013 based on the Evaluation Panel Review of MEXT carried out in FY2014 . - 11 -
Project Approval Process before Road Map Approach is established Decision Making Process invisible to the community Researcher Community Planning project MEXT Evaluation Project assessment by the Committee for Science & Technology Budget Request to MF Funding Universities, Inter-University Institutes - 12 -
Highly Transparent Feedback Project Approval Process after Road Map Approach is established Researcher Community Submission of proposals Science Council of Japan Master Plan ROAD MAP MEXT Council for Science and Technology, MEXT(consultative body to the MEXT minister) Plan Funding of Projects recommended in the Road Map Project Evaluations: Before, Middle, After Funding Universities・Inter-University Institutes - 13 -
Expected Roles of Master Plan ・Strategic planning and funding based on scientific evaluation ・ Project promotion with broader support from general community ・ Timely support of international collaboration or competition ・ Autonomous prioritization by researchers community - 14 -
Policy for Master Plan Revision Master Plan Revision should be reflected in Road Map Revisionand eventually in the Financing of the Projects. Master Plan 2010 (Mar.2010)→ Road Map 2010(Oct. 2010) Revised Master Plan(Sep.2011)→Revised Road Map(May 2012) Master Plan is drafted by the Science Council of Japan. MEXT and other funding agencies are expected to use Master Plan to make coherent funding decisions. (Plan-Do-Check-Act cycle for academic projects) - 15 -
MEXT view in reviewing Master Plan The Master Plan should not be an unaffordable scale. ・More strict evaluation should be made on the ability of the executing Institute and the validity of the project. ・Strategic support of projects where Japan can make leading roles in international collaboration or competition The Master Plan should establish priority across the entire science fields. Re-evaluation of on-going projects on their validity in view of world science trend. - 16 -
Public comments on the promotion of Large Facility Science Projects (Road Map 2012) Regarding the Road Map Road Map shows the research perspective as viewed by researchers. Funding support coherent with this perspective is very important not just for large facility sciences. Establishing a scheme for Japan to take a lead in some area is important. Only few projects involve foreign leading institutes. More globalization of Japan’s projects is needed. Developing a Road Map itself is not a goal. Implementing coherent checking process to feed back for updating the Road Map at key milestones to reach the final goal is important. - 17 -
Public comments on the promotion of Large Facility Science Projects (Road Map 2012) Regarding Large Facility Projects (1) Importance of Instituting Peer Review Evaluation => Stable long term support for successful projects. Timely descope or termination of unsuccessful projects (2) Road Map 2012 lists important projects. The priority among the projects varies depending upon world scientific trend and the level of maturity of projects. Regular evaluation of projects is essential. (3) Systematic outreach of Science community, not by individuals, to general public as a whole is essential. -18 -
Master Plan Revision Schedule Science Council of Japan 21 Dec 2013 Oct. 2010Master Plan Revision Policy Decision Feb. 2013 RFP for Large Scale Science Projects Mar.2013Deadline for proposal submission Jun. 2013Report on Large Scale Science Projects Dec.2013Master Plan for High Priority Major Project Feb. 2014Review at Scientists Council (Inviting Public Comments, if necessary) Apr.2014Report to General Assembly of SCJ - 19-
1.International Comparison of S&T Index (surveyed by MEXT) 1
2.Structure of S&T policy formation in Japan Prime Minister Response/ Opinions offered Consultation Cabinet Office Council for Science and Technology Policy (CSTP) -Investigations and deliberations on basic policy on S&T. -Investigations and deliberations of policy for allocation of budget, human and other resources relating to S&T -Evaluation of nationally important R&D Response/ Opinions offered Response/ Opinions offered Consultation Consultation Other Ministries -Ministry of Economy, Trade and Industry -Ministry of Agriculture. Forestry and Fisheries, etc. Ministry of Education, Culture, Sports, Science and Technology (MEXT) Coordination Research Institutes and Research Funding Agencies (Independent Administrative Institutions) Cooperation Cooperation Industries Cooperation Universities 2 Inter-University Research Institutes
3.S&T-Related Budget in FY2010 S&T-Related Budget Ministry (tri JPY) (bln USD) Ministry of Education, Culture, Sports, Science and Technology (MEXT) 2.32 MEXT ( 27.3 ) Ministry of Economy, Trade and Industry (METI) 0.54 METI ( 6.4 ) Ministry of Defense (MOD) 0.17 MOD ( 2.0 ) Ministry of Health, Labor and Welfare (MHLW) MHLW 0.15 ( 1.8 ) Ministry of Agriculture, Forestry and Fisheries (MAFF) 0.12 MAFF ( 1.4 ) Others 0.28 Others ( 3.3 ) NOTE The exchange rate : 1 USD = 85JPY 3.59 Total ( 42.2 ) 3
4.Breakdown of MEXT S&T-Related Budget Breakdown of MEXT S&T-Related Budget in FY2010 University, etc. 12,266 (53%) Independent Administrative Institutions 6,391 (28%) Grants-in-aid for Scientific Research 2,000 (9%) (Unit: 100 million JPY) Others 2,579 (11%) 4
RIKEN - The Institute of Physical and Chemical Research (http://www.riken.jp/) JAMSTEC - Japan Agency for Marine-Earth Science and Technology (http://www.jamstec.go.jp/) JAEA - Japan Atomic Energy Agency (http://www.jaea.go.jp/index.shtml) NIMS - National Institute for Materials Science (http://www.nims.go.jp/index.html) JAXA - Japan Aerospace Exploration Agency (http://www.jaxa.jp/index_e.html) NIED - National Research Institute for Earth Science and Disaster Prevention (http://www.bosai.go.jp/) NIRS- National Institute of Radiological Science (http://www.nirs.go.jp/) JST - Japan Science and Technology Agency (http://www.jst.go.jp/) JSPS - Japan Society for the Promotion of Science (http://www.jsps.go.jp/) 5.Independent Administrative Institutions under MEXT 5 Please find other institutions at “http://www.mext.go.jp/b_menu/link/ken.htm”
6.Inter-University Research Institutes The inter-university research institute is a center of excellence that promotes academic research by fulfilling the needs of researchers involved in universities across the country and by cooperating extensively with researchers abroad. 1. Extramural use of large-scale and special experimental and observatory equipment 2. Collecting,researching and releasing of reference materials and data 3. Ensuring and providing intellectual properties that are the results of most advanced research 4. Fostering of researchers 5. Promoting research exchange National Institutes for the Humanities(NIHU) National Institutes of Natural Sciences(NINS) National Museum of Japanese History(Rekihaku) National Astronomical Observatory of Japan(NAOJ) National Institute of Japanese Literature(Kokubunken) National Institute for Fusion Science(NIFS) National Institute for Japanese Language and Linguistics National Institute for Basic Biology(NIBB) International Research Center for Japanese Studies National Institute for Physiological Sciences(NIPS) Research Institute for Humanity and Nature(RIHN) Institute for Molecular Science(IMS) National Museum of Ethnology(Minpaku) Research Organization of Information and Systems(ROIS) High Energy Accelerator Research Organization(KEK) National Institute of Polar Research(NiPR) National Institute of Informatics(NII) Institute of Particle and Nuclear Studies(IPNS) 6 The Institute of Statistical Mathematics(ISM) Institute of Materials Structure Science(IMSS) National Institute of Genetics(NIG)
7.The 4th Basic Plan for Science and Technology (Draft) (1) I. Basic Concept 1. Rapidly changing world and Japan’s crises <World changes> ・Emergence of global problems ・Intensifying race to acquire resources and energy ・Rise of emerging countries ・Progress in economic globalization <Japan’s crises> ・Falling birthrate, aging population, and population decline ・Declining social/economic vitality ・Long-term decline in industrial competitiveness 2. Position of Basic Plan for Science and Technology Basic principles for comprehensive and systematic promotion of Japan’s science and technology policy as a national strategy for the next five years 4. Principles for 4th Basic Program (1) Target picture of Japan ・A country that achieves sustainable growth in the future ・A country that realizes affluent, high-quality life for citizens ・A country that has science and technology as the foundation for national survival ・A country that takes leadership in resolving global problems ・A country that continues to create intellectual property and develops science and technology as culture (2) Basic principles for future science and technology policy ・ Integral development of “science, technology and innovation (STI) policies” ・ Giving greater priority to “roles of human resources and their support organizations” ・ Realizing “policies for creating things together with society” 3. Third Basic Program’s achievements and problems ・Individual achievements have fallen short of attaining social challenges. ・Slack government investment in recent years ・Decline in posts for young people at universities ・Obstacles to maintenance and management of facilities/equipment II. Promotion of 2 big innovations as a pillar of growth III. Addressing key challenges facing Japan 1.Basic principle Strategic promotion of STI in environment/energy and medical/nursing/health areas to overcome constraints to new growth 2.Promotion of green innovation Lower-carbon energy supply, increased energy use efficiency, etc. 3.Promotion of life innovation Development of innovative disease prevention methods, development of new early diagnosis methods, etc. 4.System reforms to promote STI (1) Enhancement of strategic promotion systems for STI - Creation of “STI Strategy Council (provisional name),” etc. (2) Building of new science/technology innovation systems - Utilization of regulations and institutions to promote innovation - Promotion of intellectual property and international standardization strategies, etc. 1.Basic principle The government will establish challenges to address and will primarily promote measures to attain them 2.Promotion of measures to attain key challenges (1) Realizing affluent, high-quality life for citizens (2) Enhancing Japan’s industrial competitiveness (3) Contributing to resolving global problems (4) Maintaining foundation for national survival (5) Expanding and enhancing common science and technology infrastructure 3.System reforms to attain key challenges (same as II.4) 4.Strategic development of globally integrated activities (1) Promoting R&D to resolve problems common to Asian countries (East Asia Science & Innovation Area Initiative, etc.) (2) New development of science and technology diplomacy 7
8.The 4th Basic Plan for Science and Technology (Draft) (2) IV. Enhancement of basic research and human resources development 1. Basic principle Addressing key challenges and promoting efforts to enhance Japan’s basic research and human resources development as “two wheels of one cart.” 2. Thorough enhancement of basic research (1) Enhancing creative and diverse basic research (Further expansion of scientific research subsidies, etc.) (2) Enhancing globally top-level basic research 3. Development of human resources to support science and technology (1) Developing human resources who are useful in diverse scenes ・Thorough enhancement of graduate school education (Creation of industry-academia forums, preparation of guidelines for promotion of graduate school education, etc.) ・Support for those going on to doctoral courses and diversification of careers ・Development and vocational training of engineers (2) Training creative, excellent researchers ・Building fair, transparent evaluation systems ・Developing career paths for researchers ・Promoting the success of female researchers (3) Developing human resources to support the next generation 4. Developing international-level research environment and infrastructure (1) Developing R&D environment at universities and other public research organizations ・Developing university facilities and equipment ・Developing advanced research facilities, equipment and promoting their joint utilization (2) Developing intellectual infrastructure (3) Developing research information infrastructure V. Development of policies for creating things together with society 1. Basic principle Making efforts to win the people’s understanding, support and confidence in order to realize policies for society and the public 2. Deepening relations between society and science/technology innovation (1) Promoting STI policies based on citizens’ viewpoints ・Promoting citizen participation in policy planning, making and promotion ・Training and securing human resources to link society and STI policies (2) Promoting science and technology communications activities 3.Promoting effective STI policy (1) Enhancing policy planning, making and promotion functions (STI Strategy Headquarters (provisional name), etc.) (2) Enhancing screening and fund distribution functions under research funding systems ・Reforming systems for screening and distribution of research funds ・Improving and expanding competitive funding systems (3) Enhancing R&D implementation systems ・R&D corporation reforms (National R&D Organization (provisional name), etc.) ・Developing systems to effectively promote research operations (4) Establishing the PDCA (plan-do-check-act) cycle for STI policies ・Ensuring effectiveness in the PDCA cycle ・Improving and expanding R&D evaluation systems 4.Expanding R&D investment Raising public and private sector R&D investment to 4% or more of GDP and government R&D investment to 1% 8
9.Large Scientific Research Projects Super Kamiokande (neutrino detector) LHD (Large Helical Deivce ) Subaru Telescope J-PARC (Japan Proton Accelerator Research Complex) National Institute for Fusion Science National Astronomical Observatory of Japan High Energy Accelerator Research Organization, Japan Atomic Energy Agency,J-PARC Center Institute for Cosmic Ray Research, The University of Tokyo ALMA (Atacama large Millimeter / submillimeter Array) LCGT (Large Cryogenic Gravitational wave Telescope) SuperKEKB (electron-positron collider) High Energy Accelerator Research Organization Institute for Cosmic Ray Research, The University of Tokyo National Astronomical Observatory of Japan 9 ※ 3 Projects of the lower parts are still under construction.
10.Promotion of Large Scientific Research Projects ① - Formulating fundamental concepts, or “Roadmap” relating to the promotion of large scientific research projects - Working Group on Large Scientific Research Projects, Council for S&T, MEXT ( Sept. 2, 2010 ) On Large Scientific Research Projects (their basic attributes and significance.) ○ Large projects have yielded groundbreaking results that have taken the lead in scientific research worldwide, by aggregating cutting-edge technology and knowledge to tackle research issues that had yet to be explored by anyone. ○ Such projects require enormous amounts of fiscal investment, necessitating strategic, systematic promotion through a long-term outlook, while garnering the support and understanding of the general public and society overall. <Large projects: Fundamental Outlook> ・Evaluate based on the intellectual curiosity of researchers, and conceptualize through formation of agreement within the science community ・Promote through Joint usage/research system ( main implementing institute: Inter university research institutes, university labs that have national joint usage function. ) ・Include those promoted through networks of research institutes, as well as those promoted through construction of large facilities ・Deal with the amount of project budgets flexibly, in accordance with their respective attributes, on the scale of several billion yen Examples of large scientific research projects under promotion B-factory (KEKB)(High Energy Accelerator Research Organization) Super Kamiokande(Institute for Cosmic Ray Research, The University of Tokyo) ■The government must explicitly position the consistent, stable investment of resources into large projects for the nation’s scientific research, while winning support and understanding from the general public and society overall. ■Use the examples of Europe and the US to formulate a Japanese version of the “Roadmap”to strategically and systematically promote large projects. ■Promote international cooperation and partnership by sharing the information effectively and dividing the role clearly with foreign institute. 10
11.Promotion of Large Scientific Research Projects ② - Formulating fundamental concepts, or “Roadmap” relating to the promotion of large scientific research projects - Formulating “Roadmap” Science Council of Japan Master Plan (March of 2010) Circumstances in Europe and the US Consolidate the concepts from various fields of scientists community; with regard to the 43 large projects in 7 fields, organize according to outlines and scientific significance DOE Research Council ESFRI etc. Method entails making a list of positively- evaluated projects, clarify their contents and costs, and formulate a roadmap that indicates a plan for their promotion Recomm-endation Working group “Roadmap” formulation Conduct hearings on the 43 projects See the attached table for the outline > Positive evaluations in accordance with ①: Organize/categorize the 18 plans, along with the other 25 > Contents of the Roadmap: ・Project summary ・Implementing institute ・Financial requirement ・Project Duration ・Evaluation results ・Main positive points/advantages ・Main issues/concerns etc. <Points for evaluation> ・Agreement within the science community ・Implementing institute of the project ・Systems for joint use ・Legitimacy of the plan ・Urgency ・Strategic value ・Understanding/support of general public/society ① Criteria for listing on the “Master Plan” ⇒ Basic criteria that must be fulfilled (Reference) In order of projects rated highly on ② (of the 18 projects): ② Criteria set by the working group “a” 8 projects “b” 5 projects “c” 5 projects ※ Although the Roadmap does not guarantee budgetary measures, it should be seriously considered when promoting related measures. ※ Future revisions to the Roadmap will be considered when revising the Master Plan. Roadmap example For the steady promotion of large projects ○ When starting new projects, ex-ante evaluations should be conductedby specialists in an objective and transparent manner while following the Roadmap. ○ From the standpoint of the “concentration” and “selection” of resources, conduct evaluations of ongoing projects by specialists in a timely manner. Use evaluation results to propose policies for the improvement or cancellation of ongoing projects. ○ Put forth efforts for acquiring the support and understanding of the general public and society overall, on the significance of large projects.(example: detailed promotion of activities utilizing the internet, enhance support system by deploying science communicators, etc.) ○ Explore new possibilities from various perspectives, for the realization of stable, continuous budgetary measures. 11
12.Examples of Projects in the “Road map” 【Explanation of chart】 1. Category A: Large-Research Facility Projects (Project to construct/operate a large research facility/equipment) Category B: Large-Scale Research Projects (Project to create large-scale research infrastructure/network, to collect data on a large scale) 2. Implementing institute: For Projects where the main implementing institute is clear, only this institute is listed (associated institute shown in the "Master Plan" have been omitted) 3. Financial requirement (1 billion yen) : based on the "Master Plan“ 4. Evaluation①: Evaluation (a – c) based on the basic criteria that must be fulfilled to promote the project (agreement within science community, implementing institute, system for joint use, appropriateness of the project) 5. Evaluation②: Evaluation (a – c) based on new criteria set by working group (urgency, strategic value, understanding of the general pubic and society) 1.The projects which basic requirements are fulfilled, and are considered priority (18 projects) 2.The others (25 projects) 12
13.Promotion process of Large Scientific Research Projects Science community Consolidating of plan Highly transparent Feedback Science Council of Japan (representative organization of the science community in Japan) Master Plan(March of 2010) “Road map” Council for Science and Technology ,MEXT (consultative body to the MEXT minister) MEXT Consider specific projects by referring to the “Road map” fiscal measures Ex-ante evaluation of Project University – affiliated research institutes Inter-University Research Institutes etc. 13
14.Expected effectby “Roadmap” • Promote Large Scientific Research Projects strategically and systematically from a long-term point of view, based on the “Road map”. • Promote communications among the general public , the science community and the administration by making the process transparent from the very beginning of planning the projects. • Promote international cooperation by effective information exchange and clear division of roles with other countries. 14
15.Future tasks • Improve the “Roadmap” - Aggregate opinion of the science community more precisely (More detailed aggregation according to the characteristics of each field) - Make the “Road map” more strategic (Based on the study and analysis on scientific trends in Japan and abroad) • Strengthen communication with the general public and society • Study the possibilities of more continuous and stable fiscal measures etc. 15
Thank you very much for your attention. Ministry of Education, Culture, Sports, Science and Technology (MEXT) http://www.mext.go.jp/english/ National Institutes of Natural Sciences(NINS) http://www.nins.jp/english/index.html National Astronomical Observatory of Japan(NAOJ) http://www.nao.ac.jp/E/index.html 16