| (unofficial version)
The Science and Technology Basic Plan (2001-2005)
Government of Japan
March 30, 2001
Contents
Introduction
Chapter 1 Basic Concepts
1. Circumstances Relating to S&T
(1) A look back at the 20th century
(2) Outlook for the 21st century
2. A Vision of Japan and Concepts of S&T Policy
(1) A nation that contributes to the world by creating
and using scientific knowledge
(2) An internationally competitive nation capable of sustainable
development
(3) A safe, secure nation where people enjoy a high quality
of life
3. Comprehensive and Strategic S&T Policies
4. Building New Relationships between S&T and Society
(1) Communication between S&T and society
(2) Return of R&D results to society through industrial
activity
5. Achievements and Problems of the First Science and Technology
Basic Plan
6. Basic Concepts for S&T Promotion
(1) Basic Policies
(2) Increase of governmental R&D expenditure and effective/efficient
resource allocation
Chapter 2 Important Policies
I. Strategic Prioritization in S&T
1. Promotion of Basic Research
2. Prioritization of R&D on national/social issues
(1) Life sciences
(2) Information and Communication Technologies
(3) Environmental sciences
(4) Nanotechnology and materials
(5) Energy
(6) Manufacturing technology
(7) Infrastructure
(8) Frontier
3. Focus on emerging fields
II. S&T system reforms
1. R&D system reforms
(1) Building an R&D system that generates excellent
results
1) Establishment of a competitive R&D
environment
2) Mobilization of human resources using fixed-term
appointments
3) Independence of young researchers
4) Reform of evaluation systems
5) Flexible, effective, and efficient management
of R&D systems
6) Utilization of qualified persons and development
of a variety of career paths
7) Realization of creative R&D systems
(2) Promotion and reform of R&D in major organizations
1) Universities and other academic institutions
2) National research institutes and other
institutes
3) Private companies
2. Reinforcement of industrial technology and reform of industry-academia-government
collaboration
(1) Reform of systems of information distribution and
human resource exchange
(2) Improvement of environment of technological transfer
from public research organizations to industry
(3) Promoting commercialization of the R&D results
of public research organizations
(4) Environment for activating high-technological venture
enterprises
3. Regional improvement of the S&T Promotion environment
(1) Establishment of regional "intellectual clusters"
(2) Implementation of regional S&T policies
4. S&T human resource development and S&T educational
reforms
(1) Education of researchers and engineers, and reform
of universities and other institutions
(2) Training and securing engineers
5. Establishment of interactive channels between S&T activities
and society
(1) Promotion of S&T learning
(2) Establishment of channels toward society
6. Ethics and responsibility to society on S&T
(1) Bioethics
(2) Ethics of researchers and engineers
(3) Accountability and risk management
7. Maintenance of infrastructure for S&T promotion
(1) Improvement of facilities and equipment
(2) Enrichment of research assistance
(3) Improvement of intellectual infrastructure
(4) Enrichment and standardization of intellectual property
rights
(5) Maintenance of the research-informational infrastructure
(6) Maintenance of the manufacturing infrastructure
(7) Promotion of academic society activities
III. Internationalization of S&T activities
1. Initiatives in International Cooperation
2. Enhancement of International Information Dissemination
3. Internationalization of Domestic Research Environments
Chapter 3 Missions of the CSTP
1. Basic steering of S&T Policies
2. Promotion of Research and Development in Prioritized Areas
3. Policy on Resource Allocation
4. Promotion of Nationally Important Projects
5. Settlement of National Guidelines on Important Policies
6. Evaluation
7. Follow-up of the Basic Plan
Introduction
During the last decade of the 20th century, the world underwent a great
transition. Now that the Cold War is behind us, all but a few societies,
those living in hotspots of regional conflict, are enjoying peaceful
lives on a global level. The cross border flows of people, goods, information,
and capital continue to accelerate, adding momentum to the trend we
call globalization. In turn, economic competition is intensifying among
advanced countries, spawning an era of mega-competition. As bases for
this competition, IT and biotechnologies have advanced remarkably. Governments
that recognize the importance of these and other new fields are making
great efforts to promote Science & Technology (S&T).
Over the last decade, as these changes transpired globally, Japan has
been ensnared in its first serious depression since World War II. Private
companies, which used to conduct 80 percent of all Research and Development
(R&D) in Japan, are no longer able to invest nearly as much in R&D
as they once did. R&D facilities in universities and national research
institutes are long overdue for renewal, and the system for collaboration
among industry, academia, and government has been working inefficiently
and ineffectively. The effects on Japan's S&T level and industrial
competitiveness are a matter of growing concern.
To overcome these debilities and put Japan back on track to becoming
an advanced science- and technology-oriented nation, the government
of Japan enacted the Science and Technology Basic Law in 1995. In 1996,
based on the law, the first Science and Technology Basic Plan was adopted
to drastically improve the S&T environment in Japan, to strengthen
Japan's R&D capability, and to return R&D results smoothly
to society. In the last five years, the effects of the First Basic Plan
have wrought steady improvement in Japan's R&D. Notwithstanding,
industrial competitiveness has yet to recover its former robustness,
and future economic growth holds less promise in today's 'low-birth-rate
society.' There is all the more reason to reinforce industrial
technologies that will lead new industries and restore strong international
competitiveness.
As we enter the new century, S&T in Japan is expected to undergo
new developments. In numerous fast-growing fields, the United States
and European countries maintain higher levels of R&D than Japan.
To stay competitive, Japan must match and even exceed these levels in
terms of R&D results. Japan must elevate its basic research, the
source of new knowledge, as well as establish an environment in which
internationally respectable achievements will flourish. In R&D geared
to respond to social and economic needs, sectors of industry, academia,
and government must remove the invisible walls that divide them and
set up an environment for practical cooperation. Creative young researchers
must be set in an environment in which they can actualize their talents
and put them to full use. Further, ongoing communication will have to
be maintained between S&T and society, to ensure that S&T meets
society's expectations.
This year, the government of Japan has been reorganized. Among many
other changes, several major national research institutes have been
transformed into independent administrative institutions this year,
and the government has newly established the Council for Science and
Technology Policy ('CSTP' hereinafter) and the Ministry
of Education, Culture, Sports, Science and Technology. A major part
of the reform has been the reform of universities, institutions that
play a great role in S&T. National universities are also deliberating
whether to reestablish themselves as independent administrative institutes,
and further reforms are expected. From now on, the CSTP will act as
a control tower and direct the multifold processes S&T policy implementation.
In addition to formulating promotion strategies on prioritized areas,
principles of resource allocation, and guidelines for project evaluation,
the council will strive to promote S&T activities of a quality high
enough to contribute to the development of the world.
In keeping with the view that S&T in the 21st century, the "century
of knowledge," should generate new knowledge, contribute to sustainable
development for both people's lives and the economic activities
in Japan, as well as contribute to the world, the first chapter of this
document presents basic concepts that Japan should adopt, a vision that
this country should aspire towards, and basic principles by which such
goals can be achieved. The second chapter, in line with the first, demonstrates
basic policies concentrating on prioritized / strategic R&D promotion
and S&T system reform. The third chapter describes missions to be
undertaken by the CSTP to promote this basic plan.
Chapter 1 Basic Concepts
1. Circumstances Relating to S&T
(1) A look back at the 20th century
In the 20th century, what some have called the "century of
science and technology," outstanding advances in S&T brought about
unprecedented changes across the globe. Thanks in part to the rapid
progress of studies in fields such as physics, chemistry, and the life
sciences, people in the more developed countries gained more affluence
and convenience in daily life, as well as better health and longevity.
But adverse influences of S&T also became foreseeable-influences
that posed threats to human society and the global environment.
As a consequence of Japan's successful modernization in the 20th
century, the Japanese economy has grown enormous. Japan's industrial
development and economic growth after the world have even been described
as miracles. In terms of GDP, Japan's stature in the world ranks
second only to the United States. This progress has enriched the standard
of living in Japan, and the resulting improvements in health and welfare
have made the Japanese the longest-living people on earth, statistically
speaking. In the 1990s, however, Japan suffered a trying period of unprecedented
economic depression, the so-called "empty decade."
(2) Outlook for the 21st century
In the 21st century, S&T is expected to make rapid progress, contributing
further to the life and well-being of humankind, as well as to economic
and social development. All over the world, S&T will continue to
be a driver of sustainable growth.
The human society of the 21st century is expected to be a knowledge-based
society. To evolve into such a society while maintaining economic development,
Japan must surmount many problems.
As globalization advances and international competition grows keener,
Japan is burdened with economic issues such as a deterioration of industrial
competitiveness and job creation. Meanwhile, the nation must contend
with a decreasing workforce coupled with increases in expenditures on
healthcare and social security stemming from the low birth rate and
graying of the population. To stabilize and develop people's lives,
the nation's economic vitality will have to be restored through
the fosterage of industries that have internationally high productivity
and strong competitiveness. To this end, persistent technical innovation
will be crucial.
In an aging society, it is important for the elderly not only to live
long lives, but to live active, healthy, rewarding lives in which they
can contribute their experiences and skills to society. Most important
of all, perhaps, is to maintain the health and improve the quality of
life of the elderly by overcoming illness through medical treatments
and preventive therapies.
The IT revolution in recent years is spreading to all parts of society,
bringing rapid and extensive changes in diverse spheres such as economy,
industry, education, and recreation. As this trend goes on, the Japanese
people can best enjoy the benefits if the nation generates new industries
and social conveniences. To these ends, Japan needs to move forward
in R&D on IT, the nucleus of the IT revolution, as well as to resolve
the problem of the so-called digital divide within society.
Indeed, the brightness of our future depends upon S&T. S&T
will be a key tool for tackling the multifold problems that face the
world on a global scale in the 21st century-the population explosion,
global warming, epidemics with no known cures, dwindling supplies of
fresh water, food, and energy-and for achieving sustainable growth in
developed and developing countries alike. In view of Japan's dependence
on foreign countries for resources, energy, and food, the nation is
particularly vulnerable to today's global-scale problems. To overcome
these problems, it will be necessary to amass as much knowledge as possible,
both from within Japan and the rest of the world.
To surmount the problems that face Japan and the rest of the world
in the 21st century, the knowledge humankind has gained through its
intellectual activities must be further concentrated and applied more
effectively. Yet, if we place too much trust in S&T, our confidence
may create more problems for the global environment, social welfare,
and human happiness. The global-scale problems caused by mass-production,
consumption, and disposal in the 20th century are valuable lessons to
heed, albeit very expensive ones.
In the medium-to-long-term forecast for the 21st century, the influences
of S&T on society and human beings will become broader and more
serious, encompassing issues such as bioethics, the challenges to human
dignity imposed by advanced life sciences, the safety/security of genetically
modified organs, the digital divide, and the many problems of the environment.
To proceed with foresight, society will require a new S&T discipline
geared to analyze, assess, and appropriately respond. We must recognize
the need for human wisdom to integrate the natural sciences with social
sciences and the humanities.
2. A Vision of Japan and Concepts of S&T Policy
In helping people to develop a sound perspective for the future, S&T
will play a key role. To pursue its fundamental goal of realizing "an
advanced science- and technology-oriented nation," Japan must
promote S&T by implementing practical policies based on the Comprehensive
Strategy to Promote Science and Technology and the Science and Technology
Basic Plan. As a basis for its S&T policy, Japan must form a clear
vision of what it aims to become, synthesizing what it has learned in
the 20th century with what it foresees for the 21st. This vision will
take three forms:
A nation that contributes to the world by creating and using scientific
knowledge
An internationally competitive nation capable of sustainable
development
A safe, secure nation where people enjoy a high quality of life.
(1) A nation that contributes to the world by creating and using scientific
knowledge - creation of wisdom
"A nation that contributes to the world by creating and using
scientific knowledge" is: firstly, a nation that creates new knowledge
by clarifying unknown phenomena and discovering new scientific laws
and principles; and secondly, a nation that copes with various problems
by utilizing accumulated knowledge. Moreover, if a nation works with
other nations to resolve problems common to humankind by transmitting
its knowledge and wisdom, it will win the trust of other nations.
For Japan to become such a nation, science must be rooted in society
and fostered there. The nation will have to prepare an atmosphere where
the scientific view, scientific way of thinking, and scientific mind
are highly valued; and to build a knowledge-based society that nurtures
talented persons who can create new knowledge.
More specifically, the goal is to create outstanding R&D results
and to disseminate them widely across to the world, for example, by
publishing a profusion of excellent papers that match investment, by
increasing the percentage of internationally renowned papers, by providing
centers of excellence that attract outstanding foreign researchers,
and by producing just as many Nobel Prize winning scientists as the
most technologically advanced European countries. (Some European countries
have produced as many as 30 Nobel laureates in the last 50 years).
(2) An internationally competitive nation capable of sustainable development
- vitality from wisdom
"An internationally competitive nation capable of sustainable
development" is a nation that can improve people's living
standards and maintain vitality for sustainable economic growth and
international competitiveness by overcoming current difficulties, creating
value-added assets and services, and securing job opportunities.
Industrial technological power is not merely a foundation of international
competitiveness for Japanese companies, but a driving force to vitalize
all industrial activities that support people's lives. Industrial
technology is also important in terms of utilizing results of scientific
knowledge to benefit society. To maintain economic vitality for sustainable
development, the nation must foster its more internationally competitive
industries by providing an environment conducive to perpetual innovation
of multifold processes, from the creation of new technologies to the
development of new markets. It will be crucial to create new industries
founded on R&D, and also to reform the interface between basic research
and businesses.
More specifically, the goal is to strengthen international competitiveness
by widely transferring R&D results from public research organizations
to private companies, by proposing various international standards,
by further increasing the number of international patents obtained,
and by improving industrial productivity. Steps to achieve these ends
would include activities of technology licensing organizations to accelerate
technology transfer from public sectors and the establishment of venture
businesses supported by public research organizations.
(3) A safe, secure nation where people enjoy a high quality of life
- enlightening society through wisdom
"A safe, secure nation where people enjoy a high quality of
life" is a nation that reliably assures safe and high-quality
living for its people. Such a nation serves its people by: improving
disease treatments and prevention to maximize its citizens chances for
a long and healthy life; minimizing the risks posed by natural and artificial
disasters; ensuring a steady supply of food and energy, the bases for
human activities; realizing industrial activity and economic development
in ways that preserve the global environment; and maintaining stable
international relations all over the world.
To achieve the foregoing aims entirely, it will be necessary to develop
S&T and utilize them properly in society. For example, S&T can
clarify how diseases and disasters occur and spread. At the same time,
the nation must not lose sight of the negative influences of S&T
to be contended with. As a nation advanced in S&T, Japan is expected
to utilize S&T to resolve various difficult problems that confront
the international community, including developing countries. Indeed,
Japan's international status and national security depend on its
ability to meet this expectation.
The specific goals are to form S&T bases to analyze genetically
caused diseases and develop tailor-made medical therapies for their
treatment, to minimize damage from natural disasters such as earthquakes
and typhoons, and to secure stable supplies of high-quality foods by
applying biotechnology, whilst minimizing the possible risks of S&T.
Through such endeavors, Japan is also expected to contribute to disaster
management and the prevention of infectious diseases in the developing
countries.
To realize the vision described above, Japan will need to consider
following two points.
Japan's S&T development in the 21st century must flow as
a continuation of it's remarkable accumulation of S&T knowledge
during the 20th century. In doing so, Japan should concurrently pursue
two targets: to use S&T to resolve the problems confronting Japan,
and to use S&T to resolve world problems, thereby contributing to
world development.
As Japan commenced its modernization efforts earlier than any other
countries outside of the West, it has gained long experience in harmonizing
S&T and traditional cultures. Japan should use this experience to
help create an environment in which the various peoples of the world
can thoroughly enjoy the benefits of S&T while maintaining their
cultures and value systems.
3. Comprehensive and Strategic S&T Policies
To actualize the vision based on the above concepts, the four principles
set forth below will govern the management of S&T policies. These
principles will ensure that the nation's S&T policies are
promoted with a broad perspective and strategic procedures.
(1) New forms of S&T that support human living and form a basis
for industrial competitiveness should be further developed. At the same
time, the nation should take a comprehensive, panoramic view of S&T
to develop it in harmony with model scenarios for human society in the
21st century. It is very important that the CSTP, a body newly inaugurated
at the start of the 21st century, engages in discussions on S&T
that integrate natural S&T with the social sciences and humanities.
(2) S&T is an inexhaustible intellectual resource whose promotion
might well be regarded as an investment toward the future. To form the
foundations for a knowledge-based nation, Japan should continuously
invest in basic research based upon strict evaluations. The nation should
strategically construct a dynamic circulative system in which high-quality
results in basic research and prioritized areas are rapidly applied
to social and industrial activities, thereby attracting further investment.
(3) In complicated modern societies supported by highly advanced S&T,
we now see occasional instances where the inappropriate use and management
of S&T may pose risks to people's lives and physical safety.
To reconcile this Janus-faced aspect of S&T, it is useful to cultivate
the concept of "S&T for and in society," as a basis
for communication between S&T and society. Meanwhile, the technologists
who work with S&T should heed their responsibilities to society
and human beings, observing high ethical standards in their technical
endeavors.
(4) To achieve the intellectual innovations expected in the 21st century
for social and industrial activities and the symbiosis of human beings
and nature, the CSTP should liken its role to a control tower, directing
comprehensive and strategic policies. To achieve this, the council will
demonstrate points of well-planned investment in prioritized areas,
maintenance of R&D infrastructures, strict evaluation, and effective
and efficient resource allocation. The council will also place importance
on the observation and treatment of negative S&T influences.
4. Building New Relationships between S&T and Society
In promoting S&T to make Japan into the nation it aims to become,
we must adopt and implement S&T policies formed on the basis of
how they relate to society. As S&T holds true value only if accepted
by society, society's understanding, judgment, and acceptance
of S&T are crucial. This is a point to be recognized and strived
not only by the natural scientists and technological experts, but by
experts in the social sciences and humanities as well.
(1) Communication between S&T and society
Bearing in mind the concept of "S&T in and for society,"
we must establish fundamental forms of interactive communication between
S&T and society.
First of all, society should be provided with accurate information
on the present status of S&T, and the anticipated status of S&T
in the future. For this to be effective, schools and public education
will have to equip society with the capacity to receive and assimilate
this type of information. And as S&T advances and grows more complex,
experts in S&T fields will be responsible for routinely briefing
society on the changes in S&T underway, elucidating these changes
for the public as clearly and accessibly as possible. To make difficult
scientific and technical concepts accessible to the laypersons in society,
the S&T experts will have to rely on communicators and interpreters
as mediums. Indeed, S&T experts, professional commentators, and
journalists will share the obligation not only to introduce society
to the significance and salient features of the latest S&T, but
to propagate scientific knowledge and ways of thinking throughout society
as well. It will also be necessary to increase opportunities and widen
channels for society to critique S&T and voice its expectations
of what S&T should deliver; and likewise, S&T experts will have
to respond thereto seriously and appropriately.
Experts in social sciences and humanities should take an interest in
S&T, as well as study and remark on the relationship between S&T
and society. They should also play an important role in the flow of
interactive communication, wherein the opinions and demands of society
are fed back accurately to S&T. Social sciences and humanities in
Japan have not adequately addressed such issues in the past. Henceforth,
these sciences should be developed in concordance with the idea of "S&T
in and for society," and active intermediation works stemming from
research results should be initiated.
These are background conditions requisite for realizing a society in
which ordinary people can make scientific, reasonable, and independent
judgment on matters of S&T, as well as on society in general.
(2) Return of R&D results to society through industrial activity
In considering the relationship between S&T and society, another
important point to keep in mind is the need to apply R&D results
to society practically. Conventionally, R&D results contribute to
people's lives and national economy in the form of available products
and services produced by industrial technologies. Society reaps the
benefits of S&T by generating S&T achievements, publicizing
them, accumulating them, applying them to industrial technologies, and
using them. In light of the importance of this process, industrial technologies
should be strengthened by promoting closer industry-academia-government
collaboration and pursuing R&D systems that create excellent results.
5. Achievements and Problems of the First Science and Technology
Basic Plan
The First Basic Plan was adopted by the government in July 1996, covering
a five-year period from FY 1996 to 2000. The primary principle of the
plan was to concurrently promote R&D to meet social and economic
needs, and basic research to create human intellectual assets. To put
this principle into practice, the plan endorsed policies to structure
new R&D systems, realize desirable R&D bases, promote education
on S&T, and form a national consensus on S&T. Governmental expenditure
on R&D under the plan was initially set at an estimated 17 trillion
yen for the five-year period, while necessary budget to implement the
plan was to be secured in annual negotiation, taking into consideration
the severe fiscal situation.
Following is a summary of the achievements of the policies implemented
during the period of the First Basic Plan, as well as the remaining
problems.
To provide competitive and flexible R&D environments, the government
nearly doubled funds for proposal-competition-based research (hereinafter
referred to as "competitive research funds"), and substantially
increased funds for young researchers. The plan to support a targeted
10,000 young researchers, especially post-doctoral fellows, was numerically
achieved in the fourth year. While this enriched the crop of young researchers
and activated R&D fields, it failed to reconcile several problems,
including the flawed relationship between young researchers and research
advisors, and for some, difficulty in finding jobs after the post-doctoral
period. Though mobility of human resources was not improved to the desired
extent, there were constructive system innovations, such as fixed-term
appointment and a relaxation of the restrictions on the side employment
of civil servants for industry-academia-government collaboration.
With regard to R&D evaluation, the prime minister endorsed a set
of "National Guidelines on the Method of Evaluation for Governmental
R&D" in August 1997, and a system for the earnest evaluation
of research institutes and research themes was introduced. Though there
were several improvements in research evaluations, for example, the
introduction of a system requiring universities to conduct self-evaluations,
overall there was not adequate consideration of the transparency of
the evaluation process and optimal ways to reflect evaluations in resource
allocation and personnel changes. To upgrade effectiveness of R&D
evaluation, the methods for evaluation and publication of results will
have to be promptly improved.
To encourage industry-academia-government collaboration, national research
institutes were restructured to facilitate the application and commercialization
of R&D results, and reforms were made in several systems, including
the system for the adoption of research sponsored by private companies
to national institutes, and the system for patent rights for research
results produced by such sponsorship. As a consequence, the numbers
of patent applications by national research institutes and public-private
joint research bodies have been increasing steadily, and technology
licensing organizations to connect these patents with industry have
become active all around Japan. Further, a law was revised to promote
joint-research facilities in national universities.
However, research facilities and the number of research assistants
have not been improved sufficiently. In spite of an expenditure of over
1 trillion yen in five years, national universities are congested and
their facilities continue to fall into disrepair. The source of the
problem lies partly in the rapid increase in the number of graduate
students. The number of research assistants at national institutes increased
slightly over the five year period of the First Basic Plan. While the
number of research assistants at the national universities fell over
the same period, conditions of research projects were supplemented with
graduate students' participation.
The First Basic Plan did not clearly specify priorities among S&T
related goals. Therefore, the second basic plan is expected to clearly
specify R&D goals that relate to national and social problems, and
to set forth a strategy and priorities regarding those goals.
The total budget for government R&D expenditure exceeded the 17
trillion yen initially estimated for FY 1996-2000, despite the government's
severe fiscal constraints.
Although it is quite difficult to fully evaluate the effect of such
expenditure at this stage, when only four years in the five-year period
have actually passed, the policies under the First Basic Plan are thought
to have activated R&D fields. During this period, Dr. Hideki Shirakawa
was awarded a Nobel Prize in chemistry for his creative scientific achievements
with conductive polymers. Moreover, the number of papers written by
Japanese scientists and published in the world's highest-level
science periodicals has been increasing. In basic sciences, as well
as in newly developing fields, Japanese researchers have obtained the
highest-level results in the world. Of special note are the elucidation
of the so-called suicide mechanism of cancerous cells, and the findings
on the origin of substances through world's first detection of
a neutrino event by the Super-Kamiokande detector.
In line with the increase in R&D expenditure, various research
institutions are now being encouraged to conduct higher-quality R&D
more effectively and more efficiently than in the past, as well as to
cooperate more closely, more appropriately allocating responsibilities
amongst themselves.
In light of these achievements, further reforms called for during the
period of the First Basic Plan should be pursued in the future, and
the problems that emerged during the period should be appropriately
addressed.
6. Basic Concepts for S&T Promotion
(1) Basic Policies
Building on the achievements of the First Basic Plan, and conscious
of the problems that remain to be surmounted, Japan will pursue the
following policies in its promotion of S&T, to best develop into
the nation it seeks to become:
1) To make R&D expenditure more effective by setting priorities
for S&T resource allocation;
- to allocate resources on R&D challenging
national/social problems with priority having definite target
- to accurately bring up emerging S&T
fields with foresight and mobility
to prioritize high-quality basic research that explores new lines of
inquiry and unlocks the future
2) To pursue S&T systems that create world-class achievements, and
to invest in R&D infrastructure for such systems;
to provide competitive R&D environments in which researchers can
perform at their best with their original ideas, and to provide opportunities
for young researchers
to train/secure excellent human resources, the basis of S&T activities,
by promoting educational reform, and to promote the mobility of researchers
as a means of widening their exposure to different R&D environments
to introduce fair and transparent R&D evaluation, and thereby encourage
healthy competition
to improve facilities in national universities that have heretofore
remained lacking, and to enrich intellectual bases for S&T, such
as measuring standards and biogenetic resources
3) To thoroughly return S&T achievements to society
to strengthen technological capabilities in industry to facilitate the
commercialization of R&D results through closer industry-academia-government
collaboration, to resolve social problems concerning food, economy,
industry, the environment, health, welfare, and security
to deepen people's understanding of S&T, a prerequisite not only
for the promotion of S&T itself, but for the scientific, rational,
and independent assessment of S&T subjects, as well as society in
general, by having S&T researchers and engineers to present the
content of S&T and promote S&T education.
4) To internationalize S&T;
to create outstanding R&D results, to operate independent international
activities that help overcome the various problems that human beings
confront, and to disseminate such activities widely across the world
to establish world-standards and open R&D environments in which
excellent researchers from around the world gather
As it pursues the basic policies aforementioned, Japan will advance
reform as promptly and actively as possible, carefully weighing rapid
international trends, globalization, and other factors. In the process,
needless overlap and deleterious sectionalism among ministries will
be eliminated.
In addition, the respective roles of public and private sectors in
promoting S&T will be clarified, and the private sector will be
encouraged to engage more comprehensively in the forms of R&D it
is best geared to handle.
(2) Increase of governmental R&D expenditure and effective/efficient
resource allocation
Since the inception of the First Basic Plan, governmental R&D expenditure
has been steadily growing as a percentage of the national gross domestic
product (GDP). Today the percentage almost equals the level in the United
States and leading European countries, where R&D expenditure has
been decreasing in recent years. As it sustains the S&T efforts
embarked upon in the previous plan, Japan should further increase its
R&D expenditure to at least match the percentage levels in the United
States and European countries. During the period of the Second Basic
Plan, the government is expected to spend about 24 trillion yen* on
R&D (fiscal 2001-2005).
(*One percent of the GDP in 2005, assuming nominal GDP growth of 3.5
percent, during the period of the Second Basic Plan.)
While fiscal conditions in other industrially developed countries recovered
during the five years of the First Basic Plan, Japan's fiscal
conditions substantially worsened. At this juncture, an enormous fiscal
deficit threatens to obstruct Japan's economy and future development.
If Japan is to have a vital society and economy in the 21st century,
financial affairs will have to be restored to a sound condition.
Annual budgets will be fixed in order to provide necessary expenditure
for S&T policies in the Second Basic Plan, on the precondition that
effective resource allocation will be prioritized by observing the effects
of S&T system reform, the prospects for revenue for R&D, social
and economic trends, the requirements of S&T promotion, and worsening
fiscal conditions.
Top funding priority will go towards the main subjects listed in Chapter
2, namely, R&D to solve national/social problems, enhance competitive
environments, and enrich S&T bases. In parallel, to spend the funds
effectively and efficiently, unnecessary overlapping and deleterious
sectionalism among policies, systems, and organizations will be eliminated,
and the quality of R&D activities will be upgraded by goal setting
for definite clarification of R&D effects, disclosure of R&D
realities, accountability among researchers to explain their own R&D
results, and strict evaluation of S&T policies/projects. Moreover,
other financial resources will be obtained by introducing private funds,
setting off properties by sale, and so forth.
Chapter 2 Important Policies
Based on the basic policies, three important policy themes are now
adopted:
- strategic priority setting in S&T
- S&T system reform to encourage outstanding achievement
- internationalization of S&T activities
I. Strategic Prioritization in S&T
Japan will promote R&D activities that concur with policy priorities
in resolving national and social issues, such as the enhancement of
international competitiveness, or countermeasures against environmental
problems or aging and the low-birth-rate society, in order to pursue
the establishment and maintenance of an affluent, comfortable, and safe
society. Japan will also deal with newly emerging S&T fields that
are expected to be developed rapidly in the future, with appropriate
foresight and maneuverability.
At the same time, Japan will secure proper resources to promote of
basic research. Because discoveries in R&D might bring breakthroughs,
and basic research and industrial applications have been rapidly drawing
closer together.
1. Promotion of Basic Research
Basic research, i.e., research that seeks to find new rules and principles,
to build up creative theories, and to discover unknown phenomena, expands
the compendium of human intellectual assets and leads to unprecedented
R&D breakthroughs and innovative industrial technologies. Japan
will attach more importance to basic research and promote it broadly,
steadily, and continuously.
At universities in particular, Japan must promote basic research in
a wide variety of fields, in line with enhanced training of excellent
researchers and technical experts.
To upgrade R&D levels, research should be carried out in competitive
environments based on fair and transparent evaluation. Research outcomes
will be evaluated primarily from a scientific point of view.
Among research borne of original ideas, projects that require especially
large amounts of resources will be evaluated to assess their potential
to yield innovative knowledge, to generate distinguished research internationally
and to share international roles appropriately. To effectively and efficiently
promote the projects assessed most favorably, extensive resources will
be allocated intensively in consideration of views of researchers in
various fields and total balance among basic researches including competitive
research funds. Further, adequate explanations on the significance and
expected outcomes of projects will be requisite for the public's
understanding.
With regard to the results of research, researchers must target the
acquisition of intellectual property rights, as well as publish theses.
2. Prioritization of R&D on national/social issues
To promise the people a safe and comfortable life, with an economy
and industries sufficiently activated to secure sustainable economic
development, Japan must promote R&D through positive and strategic
investment in prioritized areas. In promoting S&T fields instrumental
in the realization of Japan's visions, Japan will adhere to three
general policy priorities:
Creating knowledge that engenders new developments (enhancement
of intellectual assets)
Promoting sustainable growth in world markets, improving industrial
technologies, and creating new industries and employment (economic effects)
Improving people's health and quality of life, enhancing national
security, disaster prevention, etc. (social effects)
In the selection of specific S&T fields, priority will go to the
following four:
1) Life sciences-which resolve food shortages and prevent/treat disease
in Japan's aging and low-birth-rate society
2) Information and communication Technologies-which are advancing rapidly
and are vital to the building of an advanced IT network society and
fosterage of IT and other high-tech industries
3) Environmental sciences-which are indispensable for human healthcare
and conservation of the living environment, as well as sustained foundations
of human existence
4) Nanotechnology and materials-which disseminate into a broad range
of fields and help Japan maintain its technological edge
R&D resources will be intensively allocated to all of the above.
In promoting R&D, peripheral fields or fields that may appear irrelevant
should not be excluded, as new S&T fields are frequently borne of
combinations of different fields, with the rapid advancement of S&T
and its further specialization.
The following pages focus primarily on the roles of government, while
R&D on national/social issues should be promoted in public-private
collaboration.
(1) Life sciences
Some like to call the 21st century the "Century of Life."
A thorough understanding of the nature of life is expected to propel
the progress of medical science and lead to new solutions to food shortages,
the environment, and other global scale issues. In a society such as
Japan's, an aging society with fewer children, the life sciences
are key to actualizing healthy, active, and comfortable lives.
While Japan compares favorably with the United States and Europe in
some R&D fields in the life sciences, for example, the Rice Genome,
specific microbe genome analysis, and livestock cloning techniques,
as a whole Japan is still behind. For instance, the United States leads
the world in both national research programs in the life sciences, under
the auspices of the National Institutes of Health and venture business
activities. European countries are second to none in research on Alzheimer's
disease and the technology used to develop genome-information databases.
A draft sequence of the Human Genome was made public in February of
this year. Genome information on various species has advanced very rapidly
in recent years, and this information is expected to set a foundation
for a wide range of more advanced research. In view of its situation,
Japan must work selectively and strategically in the newly emerging
fields of the advanced life sciences, such as post-genomic research.
Specifically, Japan will focus on the following:
Genome science: to promote proteomics, the elucidation of the three-dimensional
structures of proteins and genetic markers of disease and drug reactions,
and the development of new medicines, tailor-made medicines, and functional
foods based on such technologies
cellular biology: to advance organ transplantation and regenerative
medicine
clinical medicine and medical technology: to foster practical medical
uses of R&D results
food S&T: to advance biotechnologies that contribute to food
security and promote a healthy diet, as well as sustainable food production
brain science: to elucidate brain functions, to control cerebral
development disorders and aging, to overcome neurotic diseases, and
to develop information-processing and communications systems by applying
principles that underlie the functioning of the brain
- bioinformatics: to support the aforementioned technological advances,
by analyzing the tremendous amounts of gene-related data they yield,
through the use of information/communications technologies
To promote the life sciences, Japan must implement basic R&D in
basic science fields, training and securing of researchers and technicians
required in merging fields, maintenance and widespread utilization of
an intellectual infrastructure that includes biological genetic resources,
action against international problems relating to patents, safety checks
from a scientific point of view, promotion of public understanding in
biology, and formulation of ethical guidelines relating to biological
R&D.
(2) Information and Communication Technologies
R&D progress in the field of information and communication technologies
(hereafter referred to as "IT") is very important for the
creation and expansion of knowledge-intensive industries such as IT
industries and high-tech industries, as well as for enhancing innovations
in existing industries such as manufacturing technologies. Newly realized
and diffused systems for electronic commerce, electronic governance,
telecommuting, telemedicine, and distance-education/learning will have
a great impact upon socio-economic activities in Japan at all levels,
from everyday life to industrial production. Advances in IT will continue
to be an important factor in Japan's ongoing efforts to secure
safe and comfortable people's life.
Japan is thought to hold a competitive edge over Europe and the United
States in R&D in IT fields, especially in mobile-phone systems,
optical communications technology, and IT terminals. The United States,
however, leads the world in both software technologies and strategies
for de facto global standardization of PCs and related technologies.
In view of the great variety of needs in this field, as well as the
rapid innovations of the technologies, Japan will promote its R&D
with flexibility. It will also be important to promote R&D in the
technologies required to realize an advanced IT network society in which
people can make full and creative use of their capabilities by freely
sending, receiving, and sharing information. Specifically, Japan will
focus on the following:
advanced network technology that enables all network activities to
be performed safely, at any time, at any place, and without stress
high-performance computing technology that enables rapid analyzing,
processing, storing, and searching of vast amounts of distributed information
human interface technology that allows everyone to enjoy the benefits
of an IT society without mastering complicated equipment and feeling
stress
device technology and software technology to support the foregoing
points
To promote IT R&D, Japan will emphasize fundamental and leading
R&D fields that are unattainable strategically and effectively through
market-motivated activities alone, while keeping close track of the
variety of this field and speed of technological innovations. Private
sector experts will be used to train and encourage outstanding researchers
and engineers to pursue their innovative ideas through R&D. Japan
will also promote institutional improvements by ensuring the privacy
and security of network activities, by providing testing beds for developing
technologies, by implementing activities for international standardization,
and by developing education/learning programs for IT literacy that enable
people to make good use of IT-related equipment and skills. Another
indispensable competence will be disaster-preparedness, that is, readiness
to respond to disasters stemming from computer glitches, service interruptions,
or functional suspensions due to attacks on the network, poor control
of information, and the digital divide.
(3) Environmental sciences
The environmental sciences are essential to preserve the natural environment,
which of course includes ecologies that support the species of the planet.
This forms the basis for the survival of humankind in the future, as
well as a basis for protecting human health and lifestyle.
Japan's environmental R&D is on par with that in Europe and
the United States in the struggle against global warming. In the area
of global science, Japan is equal to them in measuring techniques for
environmental monitoring, but behind Europe and far behind the United
States in environmental monitoring itself. Japan's comprehensive
evaluation and management technologies for chemical substances are at
the same levels as those in Europe and the United States .
Given the limitations in Japan's land and natural resources,
Japan relies heavily on the environmental sciences and must use them
to become a world leader in tackling environmental problems. Specifically,
Japan will focus on the following:
introduction of production systems that minimize both the input of
resources and output of wastes, and technology to support recycling
in society where effective use of resources and waste control are achieved
by utilizing natural circulative function and bio-resources.
technology to minimize harmful chemical substances for human health
and natural ecology, as well as to evaluate and manage them
technology for measures against global warming, such as forecasting
global changes that affect human survival and natural ecology, evaluation
of how forecast results will influence social-economy, and minimizing
the emission of greenhouse gases.
Considering the need to reduce the environmental impact, comprehensive
technical evaluation is requisite. In the course of conducting technical
evaluation, it will also be important to develop life-cycle-assessment
methods, prepare databases, and provide information for consumers.
To promote the environmental sciences, it is very difficult to evaluate
the added economic value of policies. To apply the environmental measures
properly into society and economy, Japan will promote global-scale environmental
monitoring, the development of common basic techniques, standardization
of an intellectual base on the environment, and evaluation of model
projects. Japan will also introduce systems designed for environmental
preservation, initial demand excavation, and environmental education
programs for consumers.
(4) Nanotechnology and materials
Nanotechnology and materials science/technology are important fields
that provide bases for many kinds of scientific and technological advances
in the three fields aforementioned, as well as many others. Nanotechnology
is expected to lead to breakthroughs in all S&T fields in the 21st
century.
+ Materials science/technology
In the area of materials science/technology, Japan's R&D
is more advanced than that in Europe and the United States, insofar
as existing materials are concerned.
Materials science/technology will provide the wherewithal for tremendous
leaps in a wide variety of other fields. Ongoing investment in R&D
in materials science and technology will help Japan retain its leadership
position in technological innovation in these fields. Specifically,
Japan will focus on the following:
materials science/technology for analysis of material structures
and forms, surfaces, and interfaces in the order of atomic/molecular
size, which will be applicable to IT, medical science, etc.
materials science/technology to develop energy and environmental
applications for recycling, resource saving, and reduced energy consumption
materials science/technology for creating a secured environment for
living
The true value of materials lies in how they actually are used. In
promoting R&D, the seeds created by researchers should be carefully
tended to ensure they bear fruits that properly meet users' needs.
It will be also important to apply IT methods, such as computer simulations,
to promote international standardization, to improve the intellectual
infrastructure, and to establish a comprehensive technique for evaluating
the environment and/or security.
To promote materials science/technology, the priority in R&D should
be assigned to basic/leading fields and those aiming at forms of industrialization
that cannot be attained strategically or effectively through market-motivated
activities alone.
+ Nanotechnology
Nanotechnology is an interdisciplinary and comprehension S&T field
that encompasses IT, the environmental sciences, life sciences, materials
sciences, and so on. By manipulating atoms and molecules on a nano scale
(1/1,000,000,000 m), the unique material properties in the nano world
lead to novel discoveries that can be exploited to innovate technologies
in other fields. Nanotechnology also provides new materials, devices,
and innovative systems to fields in IT, biotechnology, medical science,
and so on.
Nanotechnological R&D in Japan is on the same or a slightly higher
level than that in Europe and the United States. However, other nations
are rapidly formulating national policies and implementing measures
to promote their research in nanotechnology. If Japan is to maintain
it's technological edge in this field, it will have to gather
all possible industrial, academic, and governmental knowledge on nanotechnology
and approach its further development strategically. Examples of nanotechnology
include: nano materials that have extremely high strength, extremely
low weight, and an extremely efficient luminescence that can be acquired
when their material structures are controlled on the nano scale; nano
information devices that realize extremely high-speed communication
and information processing; nano devices in medicine that can be implanted
inside patients' bodies to control, diagnose, and directly treat
disease; and nanobiology techniques to observe and control various kinds
of biological phenomena on the nano scale.
In promoting nanotechnology, Japan must maintain a balance between
fundamental/leading research and research that aims for industrialization.
It will also be important to construct a network for information exchange
and collaboration among researchers in various academic fields, and
to educate students and young researchers on the newly emerging branches
of nanotechnology that involve various academic fields.
In addition to the four areas mentioned hereinbefore, there are other
four areas: energy, manufacturing technology, infrastructure, and frontier.
These are fundamental areas for the nation's existence, hence
R&D on these fields should be promoted by the government at a national
level.
(5) Energy
The energy supply is not expected to be secure in the future. To attain
a maximum level of energy security, Japan will realize a safe and stable
energy demand structure that relies less on fossil fuels and encompasses
mechanisms to combat global warming and increase energy efficiency.
Examples include: fuel cells, solar power generation, new energy sources
such as biomass, energy saving technologies, nuclear fusion technologies,
innovative atomic-energy technologies, and technologies for nuclear
safety.
(6) Manufacturing technology
Manufacturing technology is the very source of Japan's economic
power. Many of Japan's high-precision machining technologies are
unavailable anywhere else in the world, attesting to the extremely high
level of the nation's manufacturing technologies. It is important
to develop new innovative technologies, based on the advanced standards
already set.
Examples include: high-precision technologies, fine-parts processing
technologies, high-value-added advanced technologies such as micro-machines,
environmentally friendly technologies, quality assurance/safety technologies
for manufacturing sites, advanced manufacturing technology (especially
using innovative technologies based on IT or bio principles), and medical/welfare
apparatus technologies.
(7) Infrastructure
The field of "Infrastructure" is the basic framework for
supporting the people's life. S&T in this field includes the
development of disaster prevention / mitigation technologies; crisis
management technologies; the development of transport systems such as
automobiles, ships, airplanes and railways; geographic information systems;
and the production and management of fresh water. The government promotes
R&D on infrastructure to reduce social risks and improve quality
of life.
Examples include: the science and technology of crisis control and
management technology, such as emergency communications and prevention
/ mitigation of earthquake disasters; and information technology-related
infrastructure developments such as Intelligent Transport Systems.
(8) Frontier
"Frontier" is a cutting-edge S&T field to explore unclaimed
regions that are hoped to become new frontiers of human activities,
for example, outer space and the ocean. The purpose of R&D in this
category is to improve quality of life through the use of such technologies
as the followings: space technologies that include utilizing space for
satellite-based telecommunications and earth observation with satellites;
and oceanic technologies that take advantage of the vast resources of
the oceans.
Examples include: space development to contribute to the growth of
the advanced information technology society; ocean development leading
to the utilization of untapped natural resources.
3. Focus on emerging fields
In a new age where mobility and speed are required, the CSTP will continuously
examine and promptly review the areas and targets to be prioritized.
In concert with rapid intellectual accumulation, new ways of thinking,
and technological development in recent years, mergers of different
fields and new-born S&T realms have been becoming more common. The
most recent examples include: nanotechnology covering materials science,
IT, life sciences, and the environmental science; bio-informatics as
a merger of life sciences and IT technology using developed computer
processing and accumulated genetic information; newly emerging systematic
biology; and nanobiology. Many other realms are forecasted to appear
in the years to come. When a new realm appears on the horizon and shows
the prospect for tremendous growth and advancement, CSTP should step
in to facilitate the process.
II. S&T system reforms
An S&T system is a mechanism in which resources are invested on
the basis of social understanding/agreement, human resources are developed,
a necessary infrastructure is constructed, R&D is activated, and
the results are enjoyed by society. Accordingly, the system comprises
four major parts: an R&D system, a training system for S&T related
personnel, maintenance of facilities for promoting S&T, and an interface
between industry and society. In order to upgrade S&T activities
and accelerate social restorations, Japan will reform its S&T system
while expanding its investment through the following initiatives: enriching
its human resources and infrastructure, conducting high-quality R&D,
generating world-class achievements, transferring them to industry and
society, and explaining these activities to the public.
1. R&D system reforms
(1) Building an R&D system that generates excellent results
1) Establishment of a competitive R&D environment
Creative R&D activities are promoted in a competitive environment
to ensure that all the capabilities of personnel are being fully applied
in every phase. Such a competitive environment is encouraged not only
within research organizations but also through the researchers'
acquisition of competitive, outside funds.
(a) Increasing the amount of competitive funds
Funds received on a competitive basis will be increased continually.
Taking the United States as a model-the United States leads the world
in the use of competitive funds for S&T-the amount of competitive
research funds will be doubled over the period of the Second Basic Plan.
And to make the best use of the funds, the following reform actions,
focusing on evaluation, will be essential.
- For evaluation of R&D themes, the system and operation of funds
should be improved to clarify the ideas and abilities of individual
researchers. For instance, the number of projects conducted by single
researchers in cooperation with post-doctoral fellows and research assistants
should be greatly increased. In the case of group projects, the responsibilities
of collaborating researchers should be divided according to individual
expertise.
- To attain valid results, each project should be granted a necessary
and sufficient amount of funds, and its planned duration should range
from 3-5 years.
- An interim and a follow-up evaluation should be properly conducted
to assess the fund operation. The interim evaluation may recommend expansion,
reduction, or suspension of the project, as well as an extension of
the project period to achieve a better outcome. In addition, the judgments
of the interim and follow-up evaluation will be utilized to make preliminary
evaluations for the next competition. These evaluations will be helpful
for the overall development of effective R&D activities in the long-term.
They should also be used to assure that funds are applied fairly, particularly
with respect to researchers who have relatively less experience.
- Every evaluation should properly disclose all information on procedures,
checkpoints, processes, and results to the researchers of the project.
- Evaluations should be conducted in a systematic way using an adequate
budget and full-time experts who have themselves made substantial contributions
to R&D.
- In order to conduct a fair and transparent evaluation that properly
accounts for each researcher's performance, a database of results
and project progress should be established using information supplied
periodically by the researchers themselves.
- Each ministry distributing competitive funds must allow a maximum
number of researchers to apply.
- The research organization should be in charge of the account for
research funds, including, in principle, competitive funds directly
distributed to individual researchers.
- Objectives of the competitive funds operated by each ministry should
be clarified, and all programs and systems related to the competitive
funds should be properly integrated.
(b) Allocating funds for indirect expenses
As a result of the expansion of competitive funds, direct expenses
for R&D have been increasing. To utilize funds effectively and efficiently,
it is necessary to pay the administrative expenses of the research organizations
managing the projects. For this reason, a set portion of the acquired
research funds should be allocated for the indirect expenses incurred
by the research organizations.
Taking the United States model as a reference, this rate will be set
at 30% of the total acquired research funds, but may be changed upon
review of the R&D system operation.
Indirect expenditures shall be used to improve the researchers'
R&D environment and the organization's overall function, and
an organization which has acquired several competitive funds is expected
to utilize its total funds for indirect expenses efficiently and flexibly.
This use of indirect expenses will promote competition among research
organizations and upgrade the quality of research; however, the records
of expenditure must be reported to the fund-distributing agencies to
maintain transparency.
With regard to national universities, a special accounting mechanism
should be arranged to allocate funds for indirect expenses to those
universities that acquire competitive funds.
(c) Handling basic expenses
In conjunction with the projected doubling of competitive funds, the
use of basic expenses should be examined so as to ensure a competitive
R&D environment. In this context, the following should be assured:
- The basic expenditures for academic research should include funds
to promote education and support the university's administration.
- The accumulated administrative costs for researchers should include
expenditures for administrative operation of the research institutes.
2) Mobilization of human resources using fixed-term appointments
The tenure system-under which permanent R&D positions are granted
to young researchers based on their performance during fixed-term appointments-is
regarded as the principle source of R&D vitality in the United States.
To realize such a vital R&D environment in Japan, efforts will be
made to promote fixed-term appointments in which researchers can work
in a competitive environment until their mid-30s. Also, to help researchers
obtain a job corresponding to their talents and abilities, Japan will
popularize recruitment and mobility of human resources on an apply-and-review
basis in industry, academia, and government. It is highly important
to formulate a market mechanism that meets the needs of both researchers
and research organizations. For this reason:
- Governmental R&D organizations, such as national research institutes,
independent administrative institutions, and national universities,
should employ young researchers until their mid-30s under a fixed-term
appointment, and provide job opportunities widely and fairly to talented
and capable researchers on an apply-and-review basis of recruitment
in principle. Governmental R&D organizations should issue guidelines
for fixed-term appointments and apply-and-review basis recruitment.
Implementation of such systems will be a checkpoint for evaluating the
organizations.
- Although the period of the present fixed-term appointment for young
researchers is less than three years, this period may be too short to
attain the objective. In order to provide sufficient and various R&D
opportunities, the organizations should secure at least five years for
young researchers to work intensively, should permit reappointment under
certain conditions, and should endeavor to treat researchers fairly
according to their achievements and abilities. At the universities,
policies should be revised so as to introduce talent-based treatment
of lecturers, including fixed-termed appointments.
- In order to increase the mobility and range-of-experience of researchers,
communication and cooperation must be enhanced among the industrial,
academic, and government sectors. And to help researchers secure career
paths not only in R&D but also in government or industry according
to their interests, a system should be developed for dispatching post-doctoral
fellows and young researchers to companies and government ministries.
3) Independence of young researchers
Young researchers should be encouraged to work independently, developing
their self-reliance and making the most of their own instincts and capabilities.
To this end:
- The positioning of assistant professors should be reviewed and, if
needed, restructured to promote their autonomy in R&D. At the same
time, in order to draw out the full abilities of researchers, the R&D
support system should be reinforced and efforts made to encourage young
researchers to be creative and have a broad perspective.
- Sufficient R&D space in research organizations should be provided
for gifted young researchers.
- Research funds for young researchers should be expanded in conjunction
with the doubling of competitive research funds, and applications by
aggressive young researchers should be promoted in the competitive funds
in general.
- Awards should be increased to young researchers whose work yields
especially fruitful results.
In the case of post-doctoral fellows working under research advisors,
a plan to support 10,000 post-doctoral fellows has been adopted, and
has led to an improved environment for intensive and independent research.
In the future, the post-doctoral fellowship system should be substantially
improved with emphasis on the following: allocating funds to research
advisors so that they can secure post-doctoral fellows themselves; treating
post-doctors fairly according to their abilities; dispatching post-doctoral
fellows to ministries or companies; assuring adequate support for especially
gifted doctorial students; and a full system review.
4) Reform of evaluation systems
Evaluations of R&D have been conducted in accordance with The National
Guidelines on the Method of Evaluation for Governmental R&D (hereinafter
referred to as the National Guidelines on Evaluation), and Japan will
reform the evaluation system for the competitive R&D environment
and effective/efficient resource allocation in consideration of:
- Securing fairness and transparency of evaluations, and assuring that
the results of the evaluations are reflected in the resource allocation;
- Securing the necessary resources for evaluations and arranging a
system for the implementation and support of evaluation.
During implementation, systematic and efficient evaluations should
be conducted for R&D themes, R&D organizations, and researchers'
achievements.
The National Guidelines of Evaluation should themselves be revised
with the following emphases:
(a) Securing fairness and transparency of evaluations, and reflecting
evaluations into resource allocation
The evaluation of R&D themes should be conducted flexibly according
to the subject or field of each project. In particular, evaluations
of R&D projects according to policy objectives should be conducted
by independent experts. In the preliminary evaluations, the checkpoints
should be social/economic significance and effectiveness, and the clearness
of the goals; in the interim/follow-up evaluations, the checkpoint should
be progress against the implementation plan. In the case of R&D
using competitive funds, peer reviews should be performed by highly
qualified individuals to verify that the scientific and technological
progress is original and forward-thinking, and to evaluate the quality
of R&D according to international standards. Results of the follow-up
evaluations should be referred to the next preliminary evaluation of
the same applicant's projects by the same or other competitive
funds.
In addition to the preliminary, interim, and follow-up evaluations,
each ministry should conduct a tracking evaluation of the spin-off effect
and impact of R&D results, and then should verify previous evaluations.
Moreover, the R&D systems and their operations should be evaluated
in terms of effectiveness and efficiency in obtaining the objectives.
R&D organizations should be evaluated according to their organizational
operation and their successful implementation of R&D to obtain their
objectives. Organizational operation should be evaluated according to
the performance for the organizational objectives or improvement of
the R&D environment, under the discretion and the resources granted
to the director. R&D implementation should be thoroughly evaluated
according to both R&D themes done in the organization and the achievements
of member researchers. Because the success of the R&D organization
is a reflection of its leadership, this evaluation will also serve to
evaluate the director of the R&D organization.
The performance evaluations of the researchers should be performed
by the R&D organizations, and the director of the organizations
should arrange the rules for evaluations and perform them responsibly.
Versatile standards should be used in order to evaluate R&D and
related activities, such as the contributions to society, and those
activities with high grades in terms of any of these standards should
be highly evaluated.
In order to secure fairness and transparency in implementing the evaluation,
an objective evaluation index and external evaluations should be introduced,
and evaluators should disclose their methods, standards and processes
of evaluation. Further, the results of the evaluation should reflect
the resource allocation, such as the continuation, expansion, reduction
or suspension of the project, and the treatment of researchers.
In addition, as to universities, attention should be paid to academic
autonomy and the combined function of education and R&D. And education,
R&D, contributions to society, and the organizational operation
of universities should be evaluated externally by the National Institution
for Academic Degrees.
(b) Securing required resources and arranging a system for the implementation
and support of evaluation
Because evaluation is indispensable for effective and efficient S&T
promotion, required resources should be secured and a system for the
implementation and support of evaluation should be arranged.
- Due to the shortage of full-time, highly qualified evaluators, a
portion of R&D funds should be allotted for assessing and securing
veteran evaluation researchers either from Japan or abroad.
- In order to select appropriate evaluators and to evaluate each project
reliably and universally, a national database of researchers, funds,
evaluators, and results should be established.
- Computing systems should be introduced to rationalize and improve
the system for the implementation and support of evaluation.
5) Flexible, effective, and efficient management of R&D systems
(a) Securing flexibility and efficiency in executing the R&D budget
Because R&D projects are generally several years in duration, they
often cannot proceed as originally planned. For this reason, the governmental
R&D budget should be executed flexibly and efficiently in accordance
with the progress of the project, such as by using special budgets that
can be carried forward into the fiscal year.
At the same time, competitive funds should be budgeted from the beginning
of the fiscal year using smooth accounting procedures.
(b) Promoting a flexible working style
In order to fairly employ and evaluate researchers and thereby inspire
their best performance, administrative institutions must be free to
work with autonomy and discretion in the manner of private companies,
promote the independence and performance of researchers, and consider
developing leave of absence systems.
6) Utilization of qualified persons and development of a variety of
career paths
(a) Expanding opportunities for gifted foreign researchers
It is important to provide an environment in which talented foreign
researchers can engage in R&D activities competitively. For example,
public institutes might employ young foreign researchers according to
a fellowship scheme, based on their abilities and achievements, and
competitive research funds could be arranged to enable foreign researchers
working in Japan to submit an application in English.
(b) Improving the environment for women researchers
In order to attain a gender-equal society, the job opportunities and
working environment for women researchers should be improved. In particular,
to help sustain the abilities of female researchers during maternity
leave, as well as to encourage their return after maternity leave, various
forms of support should be provided, such as work-at-home and limited-period
positions, and special funds relating to their research.
(c) Developing a variety of career paths
A variety of career paths should be developed so that researchers can
engage in a wide range of jobs, such as R&D planning/management,
evaluation of R&D, and development of intellectual property rights.
For young researchers to widen their work possibilities in the future,
job opportunities in the government should be increased, and funding
agencies should adopt individuals with research experience. In the private
sector, companies are expected to employ capable young researchers,
such as doctors and post-doctoral fellows.
7) Realization of creative R&D systems
To accomplish the reforms mentioned above and to realize creative R&D
systems, major R&D organizations should be managed with flexibility
and mobility under the director's leadership, and centers of excellence
should be established.
Such R&D systems can be developed from existing R&D organizations
by reforming the management and introducing novel methods that emphasize
the abilities and achievements of researchers.
Moreover, new ideal R&D organizations comparable to top-level R&D
organizations in Europe and the United States should be established
in prioritized areas and emerging fields, without restricting existing
organizational management. These organizations should focus on generating
world-class R&D achievements with special emphasis on the following
points:
-limiting the term of the organization;
-establishing a clear separation between the organizational and the
R&D managers, and appointing experienced professionals to both positions;
-establishing a department for assisting in adequate management of
R&D, technological support, and management of R&D achievements;
-promoting young researchers, including employment of post-doctoral
fellows;
-appointing foreign researchers;
-promoting the participation of industry, academia, and government;
-allocating funds and treating employees according to their R&D
abilities and achievements;
-managing funds flexibly;
-using English as the common language for R&D;
-establishing facilities based on international standards.
(2) Promotion and reform of R&D in major organizations
1) Universities and other academic institutions
Universities are required to play a number of significant roles in
R&D systems, including educating and securing excellent human resources,
encouraging international academic cooperation, and generating new discoveries
to help unlock the future.
However, universities in Japan have often been criticized for their
poor educational functions, excessively specialized fields of education,
and exclusiveness or inflexibility of organizational management.
From the viewpoint of activation, qualification, and individualization
of education/research in universities, the government has recently promoted
numerous university reforms, such as presenting a national policy for
universities, increasing the number of graduate courses, establishing
an advisory committee with external members in all national universities,
and establishing a National Institution for Academic Degrees. From this
point forward, although the government will continue to promote institutional
reforms to help universities establish their independence and operate
more flexibly and autonomously, individual universities will also be
expected to promote their own operational and educational reforms.
To this end, each university is expected to promote a systematic undergraduate
education that fosters a spirit of inquiry, and to establish graduate
schools as innovative bases of R&D and education that will be both
competitive with and attractive to international researchers. Organizational
flexibility will be needed to predict social/economic trends and to
follow them autonomously, which is a key subject for national universities
operating under the restrictions of public institutions. Universities
should conduct strict self-evaluations and make their results fully
available. When presenting their results, universities should reflect
on their managerial reforms and educational and research activities.
In this way, and through their wide presence in Japan, it is hoped that
universities will form regional academic cores in cooperation with local
governments and private companies. In addition, universities should
intensify cooperation and collaboration with other R&D organizations
or private companies in order to activate a variety of educational/research
initiatives and elevate the university generally.
(a) National universities and other public universities
National universities and national research institutes should function
as independent administrative institutions by promoting organizational
reforms to be carried out autonomously under the president's leadership.
And graduate schools, especially prominent ones, should vary and specialize
their education and research.
Public universities are required to provide a high-level education
for their geographic region and to contribute to studies for regional
development, thereby intensifying both their educational/research functions
and their unique regional contributions.
(b) Private universities
Private universities, which together account for 80% of student enrollment
in Japan, have been enhancing their role in higher-education by asserting
a unique educational philosophy. They are expected to continue to upgrade
their education and research while maintaining their autonomy as private
institutions. To assist them, the granting of special funds and the
acquisition of private sources of funding should be prioritized.
2) National research institutes and other institutes
National research institutes, independent administrative research institutes,
and public corporations have a mission to accomplish policy objectives.
To this end, they have conducted prioritized R&D, including basic/innovative
researches for S&T progress in Japan and systematic/integral researches
with concrete objectives to meet policy needs. Public research institutes
in all prefectures have played important roles in technological development
and analysis to meet the needs of local industries and communities.
With the ever-increasing socio-economic expectations for S&T in
Japan, these institutions are expected to continue yielding excellent
results and making unique contributions to society. Special emphasis
will be placed on the following activities in particular:
-National research institutes, independent administrative research institutes,
and public corporations should execute R&D according to their own
objectives, such as R&D on national/social needs, basic researches
for future development, etc. These organizations should intensify their
cooperation with universities and private companies, in order to more
effectively industrialize and disseminate R&D results.
-Public research institutes are expected to contribute to industrial
development based on the characteristics of their respective regions.
These institutes should increase their efforts to transfer their basic
and leading achievements to regional industries and see them commercialized
locally.
Research institutes that will become independent administrative institutions
should operate their organizations flexibly, generate and utilize outstanding
R&D results, and place special emphasis on the following:
--expanding the discretion
of their directors-general, managing R&D funds flexibly, and positively
utilizing the results;
--conducting R&D
using both outside funds and the budgets from their respective ministries;
--appointing top-notch
researchers and treating employees according to their abilities under
the discretion of their directors-general;
--seeking the advice
of the National Personnel Authority in regard to R&D suspension
and the appointment of fixed-term and other researchers.
3) Private companies
(a) Promoting R&D by private companies
R&D by private companies is a vitally important complement to governmental
R&D. In order to promote it, the government should apply incentives
which stimulate private companies to help themselves, such as tax reforms
to promote R&D investments, and grant and loan systems that reduce
the risks inherent in R&D. At the same time, systems for R&D
for economic growth should be reviewed with an eye toward increased
efficiency and effectiveness.
And the government should allow researchers or research organizations
to hold/utilize the rights to patents generated from government-funded
researches.
(b) Promoting the mobility of capable researchers
In order to promote the mobility of researchers in Japan, private companies
are expected to employ capable young researchers, such as doctors and
post-doctoral fellows.
2. Reinforcement of industrial technology and reform of industry-academia-government
collaboration
In a competitive environment fueled by the market mechanism, R&D
results become widely disseminated in the form of usable properties
or services. The role of industrial technology is to serve as a bridge
between intellectual properties and the economy-i.e., people's
everyday lives. In order to reinforce industrial technology, certain
S&T reforms are indispensable. Central among them is reform of the
collaboration among industry, academia, and the government. A technological
innovation system should be established in which industrial/academic/governmental
collaboration can be promoted and innovative assets and services can
be generated at the same time. This will require removing the invisible
walls among the three sectors, such as by utilizing academic achievements
in industry and transmitting industrial needs to public research organizations.
(1) Reform of systems of information distribution and human resource
exchange
Today, when private companies in Japan are increasingly outsourcing
their basic R&D to research organizations across the globe, it is
more important than ever to formulate a common understanding between
private companies and public research organizations, and to promote
collaboration among Japanese industries, academic institutions, and
government. Industry must present its needs, and public research organizations
must promote R&D in consideration of these needs. Specifically:
- Public research organizations should strengthen their ability to
disseminate information on their research systems, achievements and
human resources by preparing or improving their database.
- Public research organizations should promote collaboration with industries
through personnel exchanges, such as by proactively employing researchers
from private companies, in order to accurately reflect the economic
needs of society through their R&D topics. Public research organizations
should also periodically hold meetings in which both sectors can exchange
information on the latest R&D trends and requirements, and secure
and train personnel to promote their collaboration. Joint-research centers
and technology licensing offices should promote free exchange of information.
Through these activities, public research organizations can rise to
meet current economic, social, and socio-economic challenges.
- To stimulate incentives for private companies, public research organizations
should simplify their procedures for joint or entrusted researches,
cost estimation, reports, etc. such as by implementing organizations,
cost estimations, reports, etc. And private funds for public research
organizations should be made available for the indirect expenses of
those organizations.
- In regard to competitive funds, workers in the industrial sector
should be involved in the theme selection or interim/follow-up evaluations,
and should be appointed as managers of industry-academia collaborative
projects, in order to appropriately convey economic/social needs to
the direction of R&D.
- Because there are strong economic/social needs with regard to international
standardization, not only basic but also practical cooperative researches
should be conducted.
(2) Improvement of environment of technological transfer from public
research organizations to industry
(a) Promoting technological transfer of public research organizations
In order to promote technological transfer from public research organizations
to industry, it is important to strengthen systematic measures for the
collaboration. Particularly in universities, the function of joint research
centers should be functionally enhanced by appropriate inter-faculty
personnel exchanges. Technology licensing organizations should be utilized
independently to commercialize R&D results in public research organizations.
Moreover, activity records of industry-academia-government collaboration
should be regarded as one of the factors used to evaluate research organizations
or researchers.
(b) Promoting patent management by public research organizations
Each public research organization should establish a mechanism to commercialize
useful R&D results.
- During the period of the First Basic Plan, assignment of patent rights
to individual researches has been promoted, in order to enhance incentives
of researchers and to accelerate transfer of researchers with patent
rights. And although the number of patent rights assigned to individual
researchers has increased, the number of commercially applied patents
has not necessarily been enhanced. In order that R&D results be
applied more effectively and efficiently for commercial purposes, patent
rights management should generally be shifted from individual to organizational.
- Research organizations should be equipped with functions for acquisition,
management, and application of patent rights. And technology licensing
organizations should support those functions of research organizations.
- Turning to organizational patent management, a system should be developed
such that patent fees will be properly shared with the corresponding
inventors. Even when researchers change employers, the inventor's
privileges should be taken into consideration.
These reforms should first be introduced in independent administrative
institutions, and then considered for universities and other institutions.
In light of globalization relating to patents, public research organizations
should also be encouraged to acquire patents not only in Japan but also
in foreign countries.
(3) Promoting commercialization of the R&D results of public research
organizations
R&D results of public research organizations, attained in joint
researches with private companies or sponsored researches by private
companies, should be applied to commercialization. The motivation of
private companies to participate in joint research will be enhanced
by promoting transfer of R&D results to private companies. Accordingly,
the results of R&D attained in joint or sponsored researches should
be transferred to the companies concerned. In particular, this should
be accomplished by transferring government-owned patents to private
companies or technology licensing organizations, and by granting exclusive
licenses of government-owned patents to private companies or technology
licensing offices. To realize these goals, public research organizations
should be encouraged to assign their R&D results, by the contracts
at discretion, to the companies concerned or to the TLOs authorized
under the Law for Promoting Research Results of Universities to Private
Companies (1998, Law No. 52), or to make contracts of the assignment
with TLOs on a deferred payment basis.
In personnel matters, researchers in public research organizations
should utilize the personnel systems to allow simultaneous employment
with the companies concerned or employment suspension. The government
should permit their engagements of study or instruction in private companies.
These treatments will enable human resources in public research organizations
to play an active part in society, so that technology transfer can be
promoted.
(4) Environment for activating high-technological venture enterprises
The environment for activating venture enterprises in Japan has been
improved in regard to both capital and human resources. Nonetheless,
further measures should be conducted in consideration of the relative
disfavor for entrepreneurship, the difficulty for securing initial risk
money, and the individual risks of failure. In particular:
- Universities should foster human resources of entrepreneurial spirit,
as by establishing courses that invite entrepreneurs or venture capitalists
to appear as lecturers, etc. Graduate schools should enrich special
education courses to improve capital/legal skills, and to promote joint
researches with venture enterprises through joint research centers.
- Regional public research organizations should establish better cooperation
with regional venture enterprises by functioning as coordinators, securing
mobility of human resources, and promoting cooperative projects for
industry-academia-government collaboration.
- The government should improve its system for promoting innovation
and R&D by small and medium enterprises, particularly by positively
utilizing the institution of Small Business Innovation Research (SBIR).
- Finally, the government should review its present legislation on
stock-options, stock companies, and bankruptcy.
3. Regional improvement of the S&T Promotion environment
Economic/social globalization and rapid progress and dissemination
of IT have been affecting individual regions directly, and local industries
are now exposed not only to domestic competition, but also to global
competition. At the same time, S&T achievements afford local companies
a chance to establish businesses in the international market quickly
and easily.
Regional R&D resources/potentials can be utilized to upgrade and
vary S&T in Japan, as well as to revitalize the Japanese economy
through regional technical innovation and creation of new industries.
(1) Establishment of regional "intellectual clusters"
The "intellectual cluster" is a regional system of technological
innovations in which a public research organization uses its R&D
potential and other unique abilities to lead companies in and around
a particular region.
More specifically, by utilizing a human resource network and systematic
collaborative researches, the system fosters interaction between the
original technological seeds of the public research organization and
the business needs of regional companies to create a chain of technological
innovations and new industries. Within such a system, regional development
can lead to world-class technological innovations. It is thus imperative
that Japan establish and support intellectual clusters in as many regions
as possible.
In order to establish the intellectual clusters effectively and efficiently,
the government should promote various R&D activities, including
collaborative researches, human resource training/securing, and technological
transfer functions, etc.
And public research organizations-including both national and independent
administrative institutions-should develop their R&D functions in
the region in cooperation with the local government.
(2) Implementation of regional S&T policies
In order to realize a range of S&T development, it is important
that public research organizations within a particular region, e.g.,
universities, develop their original potentials and commercialize the
results.
For this purpose, several S&T policies should be adopted within
each region, such as the securing of professional coordinators to judge/apply
technologies and the promoting of interregional technological transfers.
The local government should work together with public research organizations-such
as national universities within a particular region-to regionally promote
industry-academia-government collaboration.
4. S&T human resource development and S&T educational reforms
(1) Education of researchers and engineers, and reform of universities
and other institutions
The education of talented researchers and engineers is crucial to S&T
system reform. As the very core of S&T education, the universities
must endeavor to reform themselves.
Therefore, in order to be internationally competitive, universities
should upgrade the quality of education/research to cultivate researchers
and engineers who are creative and have expert skills and training.
In addition, universities should accelerate both self-evaluation and
external evaluation, and should fully disclose the results.
(a) Graduate schools
To ensure that students learn to think and perform logically within
the context of a systematic education, and that their course-work strengthens
their ability to research independently, graduate schools must elevate
and diversify their education and research. At the same time, in order
to produce the human resources needed in academic and industrial S&T
in Japan, universities must enrich their education and research to foster
students with a wide vision and a good balance of core skills and application
abilities. To this end, universities should plan special lectures featuring
experts in the private sector, and should sponsor courses for emerging
S&T fields, etc.
To promote rapid S&T progress through world-class education and
research, the government should equitably evaluate graduate schools
and establish centers-of-excellence and prioritized resource allocation
for those schools showing exceptional innovative promise. At the same
time, the government should allow a wider range of graduate courses
that produce experts in particular S&T fields.
And scholarships or other financial support should be provided to help
excellent students advance to doctoral work without financial stress.
Those forms of support that prove especially successful in producing
excellent researchers should be highly evaluated.
(b) Faculties in universities and junior colleges
Faculties in universities and junior colleges should enrich their general
education curriculum in order to rapidly advance S&T through total
management of the school. In technical training curricula in specialized
courses, schools should attach importance to principles and theories,
thereby fostering the ability of students to investigate and resolve
their own subjects independently.
(c) Technical colleges and vocational schools
Technical colleges should enrich their educational contents, improve
job-training courses, and review classes to meet social needs in consideration
of S&T progress and industrial structural reform.
Vocational schools should elevate their educational contents to promote
more practical and vocational training.
(d) High schools
High schools should fulfill the goals of a scientific education through
observation and experimentation, and should promote an industrial education
correspondent with changes in society.
(2) Training and securing engineers
Engineers are in a unique position to promote technological innovations
and strengthen international competitiveness in Japan. To keep abreast
of rapid technical developments and economical globalization, it is
necessary to secure many qualified engineers who can support technological
fundamentals in Japan while also working internationally.
In order to achieve this, a social system will be established to certify
the engineer's qualifications in the international community. An accreditation
system of engineering and science curricula will be introduced in universities,
a technological management education will be established, and practical
educations will be implemented. The engineer's certification system
will be promoted in Japan, and efforts made so that the system can be
applied internationally, including in APEC countries. To keep engineers
current with the latest technological developments, continuing education
will be provided by academic societies or universities. Through these
educational initiatives, including registered engineer and other certifications,
and continuing education, a system that consistently improves the abilities
of engineers can be established.
5. Establishment of interactive channels between S&T activities
and society
Over the long term, S&T can only be developed and utilized in society
if people fully understand its contribution to their daily lives. Thus
the support of individuals in the community is indispensable for promotion
of S&T. Everyone involved in S&T must recognize the basic precept
that S&T and society are synergistic and inseparable.
This is why it is necessary to establish an environment in which laypeople
have a deep scientific understanding that they can apply to make rational
and independent judgments.
(1) Promotion of S&T learning
In order to increase social interest in S&T, to promote a general
understanding of S&T, and to foster excellent human resources engaged
in S&T activities, the government will provide people with a wide
background in S&T.
High school students should learn scientific ways of thinking, scientific
studies, and basic principles of S&T through observation and experimentation.
To this end, schools should improve their guidance of students, train
teachers, introduce internships in industries, introduce working people
as lecturers, promote IT education, and enrich facilities.
Universities should refine their curricula so that even students who
don't major in natural science courses can attain basic competency in
S&T concepts.
In social education for children and elders, compelling opportunities
to study both basic S&T and the latest S&T trends should be
increased through the use of schools and museums.
(2) Establishment of channels toward society
S&T can only be promoted by encouraging understanding. Therefore,
research organizations should be open and museum activities should be
enhanced. And S&T information should be broadcasted more frequently
through the mass media. At the regional level, trained S&T interpreters
should be provided to explain S&T concepts to individuals in the
community, as well as to convey the S&T-related opinions of individuals
back to researchers and engineers.
In addition, researchers themselves should continuously evolve their
understanding of the relationship between S&T and society, so that
they can work on R&D activities with society in mind and even make
suggestions to solve social problems based on their S&T knowledge.
6. Ethics and responsibility to society on S&T
S&T progress has been significantly affecting human beings and
society in various ways. Bioethics are a prime example of the seriousness
of ethical issues relating to S&T development. Organizations/researchers
are increasingly faced with the need to address social problems. Given
the present climate, the relationship between S&T and society will
need to be restructured in the 21st century.
(1) Bioethics
On the one hand, life science developments have widely benefited society
by improving disease diagnosis, prevention and treatment. At the same
time, some of the new techniques have seemed to threaten human dignity,
such as in vitro fertilization followed by embryo transfer, transplantation
of organs from brain-dead patients, genetic diagnosis, gene therapy,
human cloning, and use of human embryonic stem cells. Reproductive cloning
of human beings in particular has caused great concern among the nations
of the world. In Japan, a law prohibiting reproductive cloning of human
beings was adopted in November 2000.
Clearly, modern physicians and researchers should have morals. And the
basic human rights of patients must be respected through the use of
informed consent and enforcement of patients' privacy rights. People
are also concerned about such bioethical issues as clinical tests, transplantation,
and regeneration of organs. Due to their unprecedented complexity, bioethics
issues should be discussed openly as a problem for all of Japan.
In the future, S&T-especially life sciences and IT-will make even
greater advances that impact society in new and unexpected ways. It
is thus imperative that a social consensus be reached on bioethical
issues, and that this consensus be used to forge ethical rules for life
science research. Furthermore, in light of increasing globalization,
it is also important to promote international cooperation on bioethics.
S&T activities on this matter should be directed quite carefully,
through discussion among experts and polls of public opinion in a spirit
of complete disclosure.
(2) Ethics of researchers and engineers
S&T has the potential to seriously impact both individuals and society.
One example is the current rash of laboratory and manufacturing-site
accidents. In order to manage R&D activities properly, researchers
and engineers must recognize the import of their S&T activities
and their responsibility to society.
R&D activities have generally been conducted under the rules adopted
by academic communities. However, as the range of R&D activities
continues to increase, and the relationships between R&D activities
and society continue to gain in complexity, researchers will need to
elevate their ethical standards in regard to dealing with conflicts
of interest in S&T, application of R&D results, financial resource
allocation, etc. At the same time, researchers and engineers will need
to disseminate R&D information to society in order to explain the
social impact of their results.
Considering the aforementioned, in order to ensure the highest professional
ethics in researchers and engineers, academic societies will need to
form guidelines on ethics for researchers and engineers, and ethical
issues will have to be considered in the evaluation of an engineer's
certification. Here again, education for professionals should be provided
not only in universities but also in academic societies through various
training courses.
(3) Accountability and risk management
Research organizations and researchers should recognize their responsibility
to explain the contents and results of their research. Research organizations
should have open exhibitions, open lectures, information disclosure
through the Internet and academic societies. Researchers should maintain
interactive communications with society. To achieve all of the above,
the government will provide training courses to help researchers improve
their communication abilities. This will help establish closer relationships
between researchers and laypeople, so that people can more deeply understand
S&T and researchers can direct their R&D activities in response
to people's opinions.
Organizations related to S&T should evaluate the potential risks
of accidents or crises, conduct R&D activities so as to minimize
potential damage, and cultivate understanding of ethical issues among
their researchers and engineers.
7. Maintenance of infrastructure for S&T promotion
(1) Improvement of facilities and equipment
(a) Improving facilities of universities and national research institutes
It is essential to improve facilities for education and research because
these are vital infrastructures for the 21st century.
In order to activate research and education to produce S&T human
resources and generate R&D results, it is necessary to maintain
world-class facilities. A world-class facility is one in which a researcher
can safely and successfully devote him or herself to research and education,
and which will attract students and researchers from Japan and from
universities and national research institutes throughout the world.
To achieve this, the government will allocate sufficient budgetary resources
to solve the deterioration/congestion problems of the current facilities
in universities and national research institutes.
In national universities, the necessary floor space is estimated at
over 11 million square meters. During the period of the second Basic
Plan, the government will make an urgent plan to improve facilities.
It will then implement this plan with deliberation, in full consideration
of the congestion in graduate schools, the need for centers-of-excellence,
the need for revitalization of existing facilities, and so on.
Then, in view of effective/efficient use, multipurpose laboratories
for plural sections will be constructed and existing facilities will
be reformed and equipped. These facilities will be used flexibly under
the president's leadership, in accordance with the results of self/external
evaluations.
In addition, improvement of facilities in national research institutes
by non-governmental organs will be promoted under the Law for Facilitating
Governmental Research Exchange.
National research institutes and independent administrative institutions
will establish the most up-to-date facilities to promote effective research
and to generate prominent results. By receiving top priority, their
deteriorated facilities will be improved promptly.
(b) Improving the equipment of universities and national research institutes
In national universities and national research institutes, advanced
equipment will be made available for use in/around prioritized S&T
areas and emerging S&T fields, and large-scale equipment that can
accelerate R&D will be routinely used. And all necessary equipment
will be regularly updated to avoid decreases in research efficiency.
Technicians and funds will be secured for large or advanced equipment
in order to ensure stable operation and maintenance.
(c) Improving facilities and equipment of private universities
At private universities, in order to promote research projects highly
demanded by society, the government will provide grants for research,
long-term and low-interest loans, and aid on loans for revitalization.
For public universities as well, support will be provided for improved
education and research conditions.
(2) Enrichment of research assistance
Research assistance is an integral part of R&D and will therefore
be enriched. Because the types of needed research assistance are so
widely diversified, and the improvements to research environments are
becoming competitive, the government will not set a unified objective
for enriching research assistant activities. Rather, the government
will provide the needed money for research assistant activities to individual
research funds. To provide the required assistant activities for each
project, personnel dispatching and business outsourcing will be utilized.
And to secure assistant activities common to all researches and assistant
activities requiring high-order skills, each research organization will
employ assistants by indirect expenses attained through competitive
research funds. These assistants will be sent directly to individual
projects. Or, alternatively, public corporations that provide research
funds will send the necessary assistants to individual projects.
(3) Improvement of intellectual infrastructure
As the number of problems to be solved continues to increase and the
R&D subjects continue to become more complex, it is increasingly
clear that advanced, original and basic R&D must be promoted in
Japan, and R&D results must be smoothly utilized in economic and
social activities. Accordingly, the government will strategically and
systematically improve the intellectual infrastructure, including research
materials such as genetic data, measuring standards, testing methods,
analyzing devices, and related databases.
- The government will promote improvement of the intellectual infrastructure
relating to four prioritized areas in the public/private sectors, with
a goal to achieving world-class status in 2010. In the process, the
government and private sectors must recognize their individual roles.
While the government will maintain those portions of the intellectual
infrastructure that are considered strategically important or that are
related to publicity/neutrality, private companies will invest in those
that will be developed by the market mechanism.
- To ensure a highly diverse intellectual infrastructure that is convenient
for users, the government will establish a mechanism for fast and easy
location of all needed information, and will do so with the particular
needs of users in mind. In addition, the government will participate
in and lead international discussions, such as discussions on measurement
standardization.
- In order to provide timely additions to the intellectual infrastructure
for S&T development in the future, the government will gather the
results of all R&D projects in Japan.
- The government will also formulate basic legal rules on intellectual
property rights, and on provision for and utilization of S&T data,
in order to provide a quick response on such matters.
- Researchers and engineers will be evaluated in part on their contributions
to the intellectual infrastructure.
(4) Enrichment and standardization of intellectual property rights
To promote creative intellectual activities, it is extremely important
to protect intellectual property rights ('IPR' hereinafter). IPR issues
have been discussed internationally, and many national IPR systems have
been improved. From this point forward, however, greater efforts will
need to be made with respect to IPR in Japan.
- The government will promote professional, world-class IPR services
and improve the mechanisms for settling disputes on IPR issues.
- The government will promote cooperation for preliminary technological
investigations with the United States and European countries, and support
Asian countries on their IPR systems. The systems should be operated
transparently and harmonized internationally to protect IPR of advanced
technologies, such as biotechnology and IT.
For easy dissemination of R&D results in the market, technological
standardization will need to be improved. With the recent expansion
of cross-business fields and development of a networking society, those
who control international technological standards increasingly control
the world market. And it is also important in international competition
to have an internationally equivalent system for certifying new products
that apply new technologies. In light of the above, the government will
actively contribute to the international standardization activities
of the International Standardization Organization (ISO), the International
Electrotechnical Committee (IEC), and the International Telecommunications
Union (ITU). At the same time, the government will work to establish
international rules corresponding to economic globalization. And strategic
cooperative relationships for standardization with Asian and Pacific
countries will be established. Together with these measures, R&D
for technological standardization will be implemented, and public research
organizations will take part in this standardization activity.
(5) Maintenance of the research-informational infrastructure
In step with the rapid progress towards an IT society, R&D offices
have been leading the effort to improve the research-informational infrastructure
by deploying computers, establishing LAN, networking between laboratories,
data sharing on computer networks, and establishing electronic libraries
in universities.
To extend this improvement of the research-informational infrastructure
in response to IT innovations, the government will further advance and
streamline R&D in Japan by using the existing infrastructure to
collect and disseminate research information. Specifically, in consideration
of world trends, the government will help to improve the speed and effectiveness
of pending research computer networks and LAN in laboratories by introducing
new technologies. Ongoing efforts will also be made to digitalize research
results, academic publications, and library catalogues.
(6) Maintenance of the manufacturing infrastructure
Anxieties about Japan's manufacturing capabilities and quality control-traditionally
one of the country's strong suits-have recently been increasing. Concerns
include the loss of high quality manufacturing infrastructure due to
a lack of technological successes, an increasing tendency to undermine
manufacturing, and frequent accidents. In order to maintain and improve
manufacturing capabilities, the government will take the following systematic
measures.
Because manufacturing is conducted using human resources, it is important
to develop and secure human resources by familiarizing children with
manufacturing processes, fostering educations that cultivate creativity,
and providing practical engineering training and internship opportunities.
More generally, it will be necessary to enhance public understanding
and respect for manufacturing. To achieve these goals, the government
will promote a commendation system, such as the Prime Minister's Award,
for individuals/companies who display prominent abilities in manufacturing.
Moreover, the government will systematize its intellectual assets on
manufacturing in order to appropriately manage costs, quality, risks,
and the scope of projects. In this way, the complexities of production
and automated manufacturing can be handled without any "opacity
of technology". And the government will develop qualified engineers
for the project management system.
The advanced techniques of highly skilled engineers will be tapped for
the creation of digitalized databases/software. The government will
integrate IT and manufacturing technologies into a new manufacturing
system by improving product development and manufacturing processes
through detailed design simulations, and by providing a next-generation
infrastructure for design/manufacturing utilizing IT.
To accelerate technological innovation, it is necessary to establish
a mechanism to support the intellectual working environment for engineers.
To this end, the government will collect and provide an array of data,
including knowledge on basic techniques in the design/manufacturing
process, stories of success and failure, and technical advice from public
research organizations. It should be seriously acknowledged that artificial
materials and substances created in the last half of the 20th century
have been applied without evaluating their environmental impact, resulting
in significantly adverse effects on individual lives and the global
environment. With the goal of never overlooking these effects again,
long-term safety must be evaluated and health and environmental risks
assessed prior to the development of new materials and substances. And
these results must be continuously disclosed and repeatedly reviewed.
(7) Promotion of academic society activities
Academic societies, which have a wide range of human/knowledge resources
on a par with that of public research organizations, are expected to
disclose S&T information, to promote exchanges of researchers among
industry-academia-government sectors and with foreign countries, to
make proposals regarding S&T policies, and to play a role in R&D
system reforms. The government will support academic societies so that
they can enhance the above activities.
In addition, non-profit organizations, which are uniquely able to respond
to social/academic needs, will also be expected to expand their activities,
including their information dissemination, technology transfers, researcher
exchanges, and research support. The government will help establish
a non-profit environment that fosters these changes.
III. Internationalization of S&T activities
The government will internationalize Japan's S&T activities
by assembling world-class researchers and ensuring a flow of vital information
into Japan. This internationalization will yield excellent R&D results,
as well as solutions to global problems confronting humankind. To overcome
the recent drain of high-quality researchers and private research funds
away from Japan, it will be necessary to establish a fascinating and
open research environment in which the world's top-notch scientists
feel free to gather.
1. Initiatives in International Cooperation
To target such global-scale problems as global warming, food shortages,
energy shortages, fresh water management, infectious disease prevention
and disaster prevention/reduction, the government will propose and conduct
international cooperative projects that combine the wisdom of the world's
nations, with the understanding that any results obtained must be restored
to the global community. At this time the government must strengthen
its partnerships with Asian countries in particular. As mentioned above,
the government will also take initiatives to globally harmonize the
protection/standardization of intellectual property rights. Through
these positive international activities, excellent human resources will
be developed to perform further high-level activities.
2. Enhancement of International Information Dissemination
In order that Japan's S&T activities be widely recognized and respected,
and consequently that world-class human resources and the latest information
be gathered in Japan, it is important that information on R&D results,
researchers and research organizations be actively disseminated to the
global community. The government should support publication of research
results in English and systematic dissemination, such as the publishing
of studies of global importance in cooperation with academic societies.
3. Internationalization of Domestic Research Environments
In order to internationalize Japan's domestic research environments,
it is crucial that top-notch S&T professionals, including foreign
researchers performing on the international stage, be encouraged to
gather in Japan, compete equivalently, and play active roles. To this
end:
Public research organizations will encourage gifted foreign researchers
to continue their studies in Japan by properly evaluating their results
and treating them according to their ability.
Public research organizations will improve conditions for foreign researchers
with respect to treatment, English communication, accessibility to the
international society and livability.
As for competitive research funds, the government will accept applications
written in English from foreign researchers in Japan, and will promote
the dissemination of R&D results in English.
In particular, the government will direct newly established public research
organizations to provide such an international environment. Moreover,
the government will facilitate Tsukuba Science City and Kansai Science
City as international centers-of-excellence open to both Japan and the
world.
At the same time, the government will expand opportunities for young
Japanese researchers to study in a competitive environment of excellent
overseas research institutes, and to compete and cooperate with first-rate
researchers worldwide. Japanese researchers should also make efforts
to extend their international network.
Chapter 3 Missions of the CSTP
1. Basic steering of S&T Policies
The CSTP will steer S&T policies in Japan with foresight and mobility,
acting as a control tower under the prime minister's leadership,
eliminating administrative sectionalism, and steadily implementing the
policies described in the Basic Plan. The CSTP will continue to cooperate
with the Council on Economy and Fiscal Policy and the Strategic Headquarters
for the Promotion of an Advanced Information and Telecommunications
Network Society.
The CSTP will play an active role as a source of wisdom for integrating
natural S&T and social sciences/humanities. It will cultivate a
broad worldview and envision a better society for the 21st century.
Ever-mindful that S&T must exist for and within society, the CSTP
will consider public expectations and anxieties in regard to the positive
and negative aspects of S&T, and attach greater importance to ethics
and responsibilities in S&T.
2. Promotion of Research and Development in Prioritized Areas
Based on the Basic Plan, the CSTP will draw up promotion strategies
for prioritized areas that define important fields, as well as for R&D
targets and implementing measures, and will express its opinions to
the prime minister and the other related ministers. In especially important
fields, the CSTP will formulate strategies by establishing up expert
panels, etc.
S&T progress has become so rapid and society so changeable that
the CSTP will need to follow the latest trends in prioritized areas,
gather the advice of top experts, and continuously examine its response
to the needs of emerging fields. In some cases, the CSTP may need to
modify its promotion strategies in prioritized areas with flexibility
and mobility.
3. Policy on Resource Allocation
Based on the Basic Plan and promotion strategies in prioritized areas,
the CSTP will ascertain each ministry's policies, and then evaluate
the effects of implementing them, along with the harmful effects of
administrative sectionalism, such as unnecessary duplication of policies.
In order to realize more effective/efficient S&T activities, the
CSTP should express its conclusions to the prime minister, particularly
in regard to special priorities in the next fiscal year and budgets
for promoting S&T activities. The CSTP should also express its opinions
to related ministers about important policies and basic concepts of
resource allocation in the next fiscal year. When needed, the CSTP should
also cooperate with the financial sector in the budgeting process to
secure appropriate resource allocation following the CSTP's basic
concepts.
4. Promotion of Nationally Important Projects
In addition to the basic concepts of resource allocation described
above, the CSTP should express its opinions on nationally important
projects to be implemented under inter-ministry cooperation. CSTP evaluations
on these projects should be made with an eye to effective and efficient
implementation, such as by avoiding unnecessary duplication. Upon implementation,
the CSTP should further evaluate the progress and impact of projects.
5. Settlement of National Guidelines on Important Policies
Three years have passed since the National Guideline on Evaluation
was established. Accordingly, the Guideline will be immediately revised
with reference to the Basic Plan. Other basic guidelines on S&T
system reform, such as the mobility of researchers, should be settled
as necessary.
6. Evaluation
The CSTP will evaluate nationally important and large-scale R&D
projects, disclose the results of its evaluation, and express its opinions
to the related ministries so that they can take steps to improve the
organizations and budget allocations. The CSTP should also evaluate
the S&T policies of each ministry to help develop basic policies
and important concepts.
7. Follow-up of the Basic Plan
While conducting the activities mentioned above, the CSTP will follow
up the progress of policies in the Basic Plan in cooperation with related
ministries, and report its findings and opinions to the prime minister
and related ministers as necessary. In particular, the CSTP will request
that the related ministries submit implementation plans, as described
in the Basic Plan, as early as possible. The CSTP will conduct the follow-ups
at the end of every fiscal year, and will conduct a detailed follow-up
in the fourth fiscal year to flexibly amend policies in the Basic Plan
where needed.
In cooperation with related ministries, the CSTP will ascertain the
actual conditions of S&T activities in both Japan and the world,
including private sectors.
In addition, the CSTP will continuously examine how best to implement
R&D activities in Japan.
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The 2nd Science and Technology Basic Plan
(FY2001-FY2005)
