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Strategy and Evaluation of Research Initiatives in Waseda Univeristy. AEA Annual Meeting Nov. 4 th , 2011, Anaheim CA . Naoto KOBAYASHI Center for Research Strategy, Waseda University Emeritus Advisor, AIST E-mail; naoto.kobayashi @ waseda.jp. Contents.

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Strategy and Evaluation of Research Initiatives in Waseda Univeristy


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    1. Strategy and Evaluation of Research Initiatives in WasedaUniveristy AEA Annual Meeting Nov. 4th, 2011, Anaheim CA Naoto KOBAYASHI Center for Research Strategy, Waseda University Emeritus Advisor, AIST E-mail; naoto.kobayashi@ waseda.jp

    2. Contents • New Research Organization in Waseda • Research Initiatives at Waseda University • Strategy and Evaluation of the Research Initiatives • Strategy and Evaluation for Encouragement and Evolution to Innovation

    3. New Strategic Research System in Waseda University Research Congress Decision of strategic research policy Operating concrete plans Direction & Actions Data-based analysis for planning Center for Research Strategy Research Promotion Division Analysis & evaluation Research Council WTLO support Strategic thinking Strategic themes support Science & Engineering Participating in projects Social Science Policy and Economics Faculties

    4. Research Strategy Formulation “WasedaNext125 “ Practical Utilization of Knowledge Independence of Learning Waseda Research Breakthrough Build a system to promote strategic for whole university Research Council ・Establishment of research promotion system (for Priority Research Fields) ・ Support the research promotion University Research Initiatives ・ Human resource development and activation of research ・ Establishment of independent and sustainable research hub and platform through internal and external research funding

    5. Basic Concept of University Research Initiatives (URI) ◆Basic Concept of URI ①Based on WASEDANext125 ②Extends “Strength” and changes “Weakness” to “Strength” ③Activatesresearch and develop human resources. ④ Independence and Sustainability with Acquiring of External Funds ⑤Appeal of Research Results ◆Objective of URI ①Research with International Competitiveness ② Independent and Sustainable Research Hub and Platform ◆Research Promotion System Project Research Institutes for at least 5 years ◆Financial Support Support of 3-year-long financial support from university

    6. Special A:1year Special A(Challenge):2years Special A(Young):2yeras Special A(Challenge):2years Basic B,C Basic B,C Basic A Basic A YoungA YoungA Role of University Research Initiatives Collaboration Hub & Platform Growth Early Stage Ideas Research Phase Aiming at research collaboration and hub & platform Personal Level Support for the hub & platform with independence, sustainability and competitiveness Support to young researchers and early stage research Supporting System University Research Initiatives (Funding for 3 years) Special B:1year Special B:1year Special B:1year Special B:1year Challenge Challenge External Funding WPI、GCOE Young Start Young Start New Field, Special

    7. Strategy Formulation Process Global Issues Social Issues Top-down (Deduction) Middle-Out (Abduction) Research Program Research Project Bottom-up (Induction) Research Subject Abduction: Third type of inference advocated by C.P.Peirce(1839~1914)

    8. University Research Initiatives in Science, Engineering and Interdisciplinary Research Research Subjects Research Initaitives Global Issues Social Issues Wisdom in 21th Century 2a Sciences and Technology for the Eco-energy Society New Second Battery New Traffic System Environment and Energy Sustainability (Low carbon society) Health, Medical Care & Aging Sport Sciences and Human Sciences 2b Creation of New Trends in Health and Medical Care Tissue Engineering and Regenerative medicine Food, Water and Natural Resources Safe, Secure and Healthy Life Medical Care and Robotics Communication and Security 2c Lifestyle Design through Recycle-based infrastructures Advanced Devices International Competitiveness Active Human Life Information and Communication Flexible Social System 2d Basic Science as the Foundation for Future Development Vital Intellectual Activity Architecture and Civil & Environmental engineering New Knowledge Applied Mathematics& Physics

    9. Themes for University Research Initiatives for FY2011 “Recovery from the enormous disaster and formation of new social systems” New Social System Revival of East-Japan Formation City and Transportation Disaster Prevention system Power and Industry Reconstruction Infrastructure and Social Activities Natural Ecosystems Medical and Healthy Life Survey and Investigation

    10. Evaluation of University Research Initiatives (1) ◆Objective ○ To encourage the research activities in the university and in the research group for the direction of the various collaboration and innovation.   ○ To check the following issues along with the objective of the URI, in order to utilize the results for the improvement of the research management. ①Excellent research works with international competitiveness ②Independent and sustainable research hub & platform formation ◆Evaluation system ○ Execution of evaluation by the Evaluation Committee in the Research Council ○Sub-committees are formed depending on the research field ○Committee members are selected among RC members, peers from inside and outside of the university.

    11. Evaluation of University Research Initiatives (2) (1) Ex-ante Evaluation ○Objective: Adoption of research themes with planning along with the objective of URI  ○Index: Originality, Uniqueness for Waseda, Independent and sustainable research system, Academic and social impact  ○Result:Judgment on the suitability as URI research themes (2) Mid-term Evaluation ○Objective: Check of the progress of the research project and management.  ○Index: Originality, Uniqueness for Waseda, Independent and sustainable research system, Academic and social impact, Diverse human participation and development.  ○Result:Judgment on the continuation and promotion of the research project as URI research themes (3) Output Evaluation ○Objective: Check of the achievements of the goals and targets of the research projects.  ○Index: Research outputs, Academic and social impact, Independent and sustainable research system, Diverse human resource development.  ○Result:Judgment on the usefulness and development of the research projects in the future. (4) Ex-post Evaluation ○Objective: Check of the management and system of the URI schemes. ○Time: A few years after the end of the URI projects.

    12. Progress and Evaluation of Research (1) Period of URI Project Research Institute (5 years) Start 事前評価採択 Evaluation Evaluation Waseda Extension Support Period (3 years) Extension External Fund

    13. Progress and Evaluation of Research (2) Research Plan Input Research Output Outcome ○Originality ○Uniqueness ○Independence and Sustainability ○Academic and Social Impact ○Progress ○External Funding ○Academic Impact ○Social Impact ○Papers ○Books and Publication Mid-term and Output Evaluation Ex-ante Evaluation International Competitiveness Independent and Sustainable Platform Research Results Impact

    14. Evaluation for Encouragement and Evolution to Innovation • Strategy formulation including distinct objectives is most important even if the basic or curiosity-driven research in the university. (2) Ex-ante evaluation including the scenario and roadmap is also very important. (3) Encouragement for the direction of the various collaboration and innovation is extremely important. (4) Evaluation should be performed for the evolution of the research program and projects.

    15. Evaluation for Encouragement and Evolution to Innovation Thank you for your attention!! Naoto KOBAYASHI Center for Research Strategy, WasedaUniversity E-mail; naoto.kobayashi@waseda.jp

    16. Young Researchers Map in WasedaUniversity ●Comp. chem. ●Strong Correlation ●Soft matter ●Mechano-info Math ●Organic synthetic chem. Physics Robotics ●Electrochem. 41 ●System eng. ICT Chem 32 28 28 15 36 44 18 40 44 41 ●Electronic Material 2 Nanotech Computer science 21 44 ●Semiconductor ●Medical eng. 40 1 28 9 32 49 39 40 12 42 59 Information science Material 51 46 51 36 38 25 12 45 32 40 ●Energy sim. 51 354 56 ●Data base 3 Electronics 15 37 32 Civil eng. 51 12 28 42 6 41 59 4 ●Education eng. 40 ●Smart grid ●Education in Asia 40 Energy eng. Human science 43 9 21 41 40 46 46 ●Electric power eng. ●Molecular Cell Biology 32 45 15 41 Earth science Neuroscience 25 18 25 11 38 ●Air conditioning 51 6 56 32 18 21 Environmental science ●Neurophysiology 44 8 38 46 4 42 Medicine 45 ●Thermal process 45 Agriculture 21 56 49 ●Biological sys., water ●Cell biology Life science Biology ●Marine bio ●Marine bio

    17. Link of the Strategy Formulation, Evaluation and Innovation Follow-up Evaluation Strategy Formulation Evaluation Evaluation Economic and Social Outcomes Outcome Evaluation Ex-ante Evaluation Scenario and roadmaps Evaluation Feedback Society・Industry R T & D Generation of Innovation Output Execution of Programs/Projects Evaluation Evaluation ProcessEvaluation Output Evaluation

    18. University Research Initiatives in Humanities and Social Sciences Research Subjects Research Initaitives Global Issues Social Issues WWi Culture System Wisdom in 21th Century International Information of Japanology 1a International Network for Japanology and Japanese Culture Studies Culture and Education Sustainability (Low carbon society) Theatre and Fine Arts Communication 1b System under Globalization: Laws, Corporations and Markets Globalization Fostering of International Ability Regional Society and History Historical View for Contemporary Policy Social System Safe, Secure and Healthy Life 1c Asian Synergy in the Global Context Security Co-creation of Knowledge from Regional Point of View Legal Framework International Competitiveness Information and Communication Market and Public Policy 1d Industry, Policy and Journalism for a Sustainable Society Vital Intellectual Activity New Corporate Legal Framework Social and Natural Infrastrucuture Political Economy of Institutinal Construction New Knowledge