"JSPS External Review Report" was issued.(PDF File 1.22MB)

Japan Society forthe Promotion of ScienceExternal Review ReportDecember 2002

ContentsForewordA letter from the Chair of JSPS Advisory CouncilGuidelines for Implementing the External Review of JSPS’s ProgramsReview Procedures of JSPS ProgramsJSPS External Review ReportPrefaceRecommendationsSummaryExternal Review ReportAgendaReview Committee MembersCurriculum VitaeReview Materials and Other Documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Documents Sent to the Review Committee MembersReview Materials Review Materials Other Document 1

December 20, 2002From: Hiroo Imura, Chair, JSPS Advisory CouncilTo: Professor Hiroyuki Yoshikawa, President, Japan Society for the Promotion of ScienceSubject: External Review Report of Japan Society for the Promotion of ScienceWith regard to the review of the Japan Society for the Promotion of Science that theAdvisory Council was requested to carry out, the Council established guidelines for conductingan external review and commissioned an external review committee to execute it. The committeeconducted the review and compiled its findings in the attached “JSPS External Review Report.”Having deliberated the committee’s findings, the Advisory Council both recognizes theReport as appropriate and endorses its contents. I herewith submit the Report to you.3

Review Procedures of JSPS Programs1 Targets of ReviewThe review targets the following, focusing the (2) Research Grants:(1) Administration and Management(2) Research Grants(3) Fostering Researchers(4) International Scientific Exchange2 Members of Review CommitteeProf. Sir Michael Berridge (UK)Prof. Neal Lane (USA)Prof. Erling Norrby (Sweden)Dr. Heinrich Pfeiffer (Germany)Associate Director, Babraham Institute(Honorary Professor at the University of Cambridge,Fellow of the Royal Society)Professor, Rice University(Former Assistant to the President for Science andTechnology, Former Director of National ScienceFoundation)Secretary General, The Royal Swedish Academy ofSciencesFormer Secretary General, the Alexander vonHumboldt Stiftung-AvHProf. Akito Arima (Japan)Dr. Tsuneo Nakahara (Japan)Prof. Hiroyuki Torii (Japan)Member of the House of Councilors(Former President of the University of Tokyo,Professor Emeritus of the University of Tokyo)Advisor, Sumitomo Electric Industries, LtdEditorial writer, Nihon Keizai Shimbun, IncProfessor, Research Laboratory for Nuclear Reactors,Tokyo Institute of Technology3 Review ScheduleFebruary, 2002 Official request to serve by the chairman of JSPS Advisory CouncilEarly March, 2002 Distribute review materials to the committee membersAround April, 2002 Receive opinions from the committee membersApril-May, 2002 Create discussion materials based on the opinionsJune 17-19, 2002 Hold a review committee meetingJun - 2002 Compile a review reportComplete the review report4 Schedule of Review Committee MeetingMonday, June 17, 2002 morning : Opening, Briefing on JSPS programsafternoon : Briefing and visiting the University of Tokyoevening : Dinner with researchers supported by JSPSTuesday, June 18, 2002 morning : Roundtable discussionafternoon : Review committee meetingWednesday, June 19, 2002 all day : Review committee meeting7

Japan Society for the Promotion of ScienceExternal Review ReportDecember 2002External Review CommitteeJapan Society for the Promotion of Science9

PrefaceThe President of Japan Society for the Promotion of Science requested JSPS's Advisory Council to conducta review of JSPS's programs and operations. A review committee comprising experts from Japan andabroad was established within the Advisory Council for the purpose of carrying out that review. The followingseven external reviewers were commissioned to conduct the review:Professor Sir Michael BerridgeAssociate Director for Research Strategy at the Babraham Institute, Cambridge (HonoraryProfessor at the University of Cambridge, Fellow of the Royal Society)Professor Neal LaneUniversity Professor, Rice University (former Assistant to the President for Science andTechnology, former Director of National Science Foundation)Professor Erling NorrbySecretary General, Royal Swedish Academy of SciencesDr. Heinrich PfeifferFormer Secretary General, Alexander von Humboldt FoundationProfessor Akito ArimaMember of the House of Coucilors (Former President of the University of Tokyo,Professor Emeritus of the University of Tokyo)Dr. Tsuneo NakaharaAdvisor, Sumitomo Electric Industries, Ltd.Professor Hiroyuki ToriiEditorial Writer, Nihon Keizai Shimbun (also Professor, Research Laboratory for NuclearReactors, Tokyo Institute of Technology)As to the review process, each member of the external review committee was asked to study material onJSPS's programs and operations prepared by the JSPS secretariat based on instructions from the AdvisoryCouncil. The process began by the members preparing and submitting comments and questions based ontheir review of the materials. In March 2002, the secretariat sent out the evaluation materials to the members,who spent about a month to review them and submit their comments and questions.In response to the members' comments and inquiries, the secretariat prepared and sent back answers tothem. Adding supplemental materials when appropriate, it also used the members' responses to compiledocuments (including discussion points) to facilitate deliberations in the upcoming review meeting.On 17-19 June 2002, all of the external reviewers assembled in Tokyo to convene the external review committee.The meeting first selected me, Akito Arima as the chair and Prof. Neal Lane to be the acting chairin case of my absence. Deliberations were carried out in line with the prepared discussion points. On thelast day of the meeting, the members compiled their review findings and recommendations.13

After the meeting, the committee chair prepared a draft report on the results of the review and distributed itvia email among the committee members. Based on their comments, I finalized the report. Through theabove process, this report was prepared with the unanimous agreement of the external review committeemembers.This report contains the committee's evaluation of the entire JSPS's programs and operations and its recommendationsfor enhancing them in the future. Though there are aspects of the committee's proposals thatmay be difficult to implement, it is hoped that JSPS will act upon the content of this report, and, in sodoing, will further the advancement of science in Japan.Akito ArimaChair, JSPS External Review Committee14

RecommendationsBasic RecommendationsAs JSPS’s basic posture, it should continue to place the highest priority on supporting the bestresearchers and best ideas, and carry out its programs with a high degree of flexibility to function asa prime mover for the organization of science operating independently of the government.To facilitate this independence, JSPS should put in place a new governance based on a Directoroperating in conjunction with a Board composed of active scientists and technologists. The compositionof the Board should reflect the shared interests of JSPS with a majority of representativesnominated from the academic community together with nominations from government and industry.Recommendation 1JSPS has a pivotal responsibility in supporting scientific research in Japan. Scientific researchshould be carried out in a competitive environment as defined through project evaluation byresearchers themselves. In supporting such research, JSPS should, to the highest degree possible,allow researchers freedom, with which will come increased responsibility.Recommendation 2JSPS should further enhance its existing programs by elevating the autonomy and independenceof its operations through the strengthening of its planning and policy decision functions. This itshould do by seeking the opinions of the academic community in carrying out these functions.Recommendation 3Given the magnitude of its role, JSPS is understaffed. Along with significantly increasing itstaffing level, JSPS should hire people with research experience so as to strengthen its programselection and evaluation functions and its planning capacity.Recommendation 4In carrying out its research-grant programs, JSPS should employ a peer review process to focuson research based on the best ideas. At the same time, it should have a system in place that facilitatesthe selection of research proposals based on bold, innovative ideas.It will, furthermore, be necessary for JSPS to consider a number of operational enhancements.These include developing a system for attracting talented young people to research careers, requiringapplications to be written in English, introducing an electronic application system, publicly disclosinginformation on grant selection results, allowing rebuttal and resubmission by grant applicants,providing more flexible use of research funds, and broadening support for work in the humanitiesand social sciences, including crosscutting work involving collaboration with researchers in the15

natural sciences and engineering.The reversion of part of the Grants-in-Aid for Scientific Research Program back to MEXT(Ministry of Education, Culture, Sports, Science and Technology) is not deemed appropriate.JSPS should give consideration to improve various aspects of the Grants-in-Aid for ScientificResearch Program. These include the participation of staff with research experience in the grantselection and project evaluation processes, a revising of the screening categories, and the establishmentof multiple grant application periods during the year.Recommendation 5JSPS should work to enhance its programs for fostering researchers. It should expand itsResearch Fellowships for Young Scientists program, work to further increase the mobility of youngresearchers, strengthen its activities to foster young elites, provide for gender equality, and establishclearly defined career paths. It should provide "reintegration" support to young researchers returningfrom overseas under the Postdoctoral Fellowships for Research Abroad and other programs so asto assist them in securing an independent footing as researchers in Japan. Under its PostdoctoralFellowships for Foreign Researchers, JSPS should provide living-related support for fellows andtheir family members while in Japan.Recommendation 6Given the importance of its international exchange activities, JSPS should undertake their overallenhancement. Concurrently, it should increase the number of grants made under the JSPS Award forEminent Scientists, expand the scale of its exchanges in regions of the world with a weak record ofscientific cooperation, enhance the functions of its overseas liaison offices, and promote the organizationof alumni groups of former JSPS fellows.Recommendation 7As an independent administrative institution, JSPS should maintain a high level of autonomy andindependence, and, to that end, should establish a board that reflects the opinions of activeresearchers.16

Summary1. JSPS's Basic Stance on Science PromotionIt is the nature of scientific research, particularly basic research, that its outcomes are difficult topredict. As the value of research can also be difficult to gauge, JSPS must always strive to identifyand cultivate new research areas of potential value.In executing research, there should to the maximum extent possible be a decentralization ofauthority, giving researchers the freedom to exercise their own judgements when conducting theiractivities. At the same time, a system should be put in place to have researchers bear a burden ofresponsibility concomitant with such freedom.To advance creative research, it will be necessary to establish a competitive research environment,a cornerstone of which must be peer review conducted by researchers themselves.The research environment should be rooted in Japan's own unique cultural strengths.2. JSPS's Relation to Government Policy on Science PromotionJSPS is highly appraised for the pivotal role it plays in promoting basic research within theframework of the government's Science and Technology Basic Plan.Research and development activities should be carried out in such a way as effective coordinationis maintained between the government, science-promotion organizations, universities and otherrelated entities. In this context, JSPS plays the vital role of supporting research based on theresearchers' own ideas.It will be essential to maintain the autonomy and independence of JSPS. For that purpose, itsplanning and policy-decision functions must be strengthened.It will be imperative to cultivate a research environment, including the fostering of an elite cadreof creative researchers.3. Overview of JSPS and Its ProgramSince its establishment in 1932, JSPS has played a considerable role in promoting universityindustrycooperation, fostering young researchers, and carrying out international scientific exchangeamong other endeavors.Over recent years, responsibility for a portion of the Grants-in-Aid for Scientific Research hasbeen transferred to JSPS from MEXT. JSPS has also been tasked with carrying out grant selectionand project evaluation under the 21st Century COE (Centers of Excellence) Program. These andother new responsibilities reflect the high regard and confidence placed in JSPS by the government.In the course of carrying out its programs, it will be important for JSPS to work to foster the pub-17

lic understanding of science.The scale and makeup of JSPS's organization is of a bare minimum needed to carry out its programwith a very high degree of efficiency.Given the size and importance of its programs, however, JSPS's staffing level is too low.There are no employees with research experience, though staffing such people is essential inmaking policy decisions and conducting selections and evaluations.There is a need to establish planning and public relations divisions within JSPS.Though JSPS's budget has been significantly increased over recent years, appropriations for itsadministration and international programs are too small, particularly in light of their importance. Acertain amount is incorporated in research funding under the Grants-in-Aid for Scientific ResearchProgram to cover overhead costs. Consideration should be given to increasing that amount.4. Research GrantsIt is appropriate to use a competitive method in distributing research funding. Peer review is bestsuited for this purpose. However, it has the limitations of individual error and conservatism on thepart of reviewers. Therefore, a risk-bearing selection system is needed for allocating some resourcesto research proposals that are daring and innovative in nature.Project evaluation should take into sufficient account the possibility of research accidentallyveering half way onto a completely new course.In order to find promising young researchers, special attention should be given when conductingproject selection and evaluation.In the selection process, measures should be taken to ensure that projects whose duration willexceed the stipulated time frame are not disadvantaged.A low applicant selection ratio may discourage researchers from applying for grants. Thisshould be kept in mind when determining the number of awards to be made.Funding for Grants-in-Aid for Scientific Research has dramatically increased. Care should betaken, however, that this rapid increase does not yield a decline in the quality of the funded research.Having Japanese researchers fill out certain parts of grant applications in English would allowoverseas researchers to participate in the screening process while motivating the applicants towardplaying active international roles.Processing proposals, reviews and fund transfers and also inquiries electronically should be consideredas it can increase efficiency and promote international collaboration, e.g., with agencies likethe U.S. National Science Foundation, which has moved entirely to electronic processing of all itsprogrammatic and business activities.Under the Grants-in-Aid for Scientific Research, information disclosure on screening is alreadybeing made, however, more detailed information needs to be provided. Consideration should also begiven to allowing unsuccessful applicants opportunities for rebuttal and resubmission.In the distribution of research funds, a flexible system is desirable that to the maximum extent18

possible does not restrict their usage but allows researchers free discretion as to how funds will beapplied.That there has over recent years been an easing of restriction on how grants-in-aid are used isevaluated positively.In meeting the various challenges facing present-day society, research should be encouraged thatcrosscuts the domains of natural sciences and of the humanities and social sciences. Considerableexpectation is placed on JSPS to provide such support.The Grants-in-Aid for Scientific Research Program constitutes the core of support for scientificresearch in Japan. Operational improvements have been realized by transferring a portion of thisprogram to JSPS.Part of the Grants-in-Aid for Scientific Research Program that was being carried out by JSPS hasreverted back to MEXT. This move is not considered to be appropriate. Various problems are alsoincurred by dividing responsibility for selection and distribution between MEXT and JSPS in someprogram categories.Improvements have been made in screening categories divided by “topics” under the Grants-in-Aid for Scientific Research Program; however, further innovations are needs to ensure that creativeresearch proposals in new areas of research are properly accommodated.It is deemed appropriate that a grant category exists under the Grants-in-Aid for ScientificResearch Program to support the publication and dissemination of research results.Effort is being made to improve the selection procedure under the Grants-in-Aid for ScientificResearch Program. In the future, it will be necessary to improve the administrative system in theselection procedure including participation of staffs with research experience.It is desirable to have multiple application periods during a year for the Grants-in-Aid forScientific Research Program. At first, consideration should be given to introducing multiple applicationperiods on a phased in or ad hoc basis.Distributing grants to pre-college teachers under the "Encouragement of Young Scientists" categoryof the Grants-in-Aid for Scientific Research Program is considered to be a meaningful way ofenhancing elementary and secondary school students' education.Through its university-industry cooperation program, JSPS is acting as an interface between thetwo sectors.Research for the Future is considered to be a valuable program. If it is not possible to implementit under the capital investment, then it would be desirable to continue the program under a differentfunding mechanism.5. Fostering ResearchersThe key to advancing scientific research is fostering gifted researchers.The fostering of young researchers capable of working independently will require increasedmobility.19

To support "elite” researchers is important because an excellent research environment is createdaround them. However, when an elite researcher forms his/her group, care must be taken not toimpede the growth of young researchers in the group.Gender should be considered so as to allow equal participation of both sexes.It is necessary to establish clearly defined career paths so that young researchers can pursue theirwork without anxiety.Consideration should be given to providing a "reintegration" fellowship or some other kind ofstatus guarantee to young researchers returning from a research stint abroad.That the numerical goal of the Program to Support 10,000 Postdoctorals has been reacheddeserves high marks. JSPS played a significant role in this accomplishment.Support is also needed for graduate students who intend to become researchers.With Japan's population aging and birth rate declining, support for senior researchers also needsto be considered.Based on the recommendations in the report “Regarding the JSPS Research Fellowship forYoung Scientists” further improvements are being made to the subject program.The Postdoctoral Fellowship [SPD] deserves high marks, but the number of awardees is toosmall.Requiring fellows under the Research Fellowships for Young Scientists to select a research groupother than the one of their postgraduate affiliation is highly evaluated.The Postdoctoral Fellowships for Research Abroad deserves high marks, but the number ofawardees is too small.The JSPS Postdoctoral Fellowships for Foreign Researchers is an important program. It wouldbe desirable to increase the number of awards and to provide support to facilitate the fellows livingin Japan.6. JSPS's International Exchange ProgramsWhile international scientific exchange has merit in the role it plays in advancing the work ofindividual researchers, it at the same time offers benefits to both the sending and receiving organizationsand countries.Both JSPS's bilateral and unilateral exchange programs receive high appraisal from its counterpartscience-promotion agencies and researchers in countries around the world.JSPS should also direct its exchange programs at regions of the world such as Republic of SouthAfrica where there has been a weak record of scientific cooperation.In the future, it is envisioned that JSPS will implement such new programs as exchanges withresearch institutions of the world's highest standing, invitations to the world's most activeresearchers, "rising stars," introduction of multilateral exchange programs, and establishment oflarge-scale programs.20

In order to expand JSPS's international program base, it will be necessary to improve its operatingsystem with increased staffing levels.A significant role is played in international exchange by JSPS's overseas liaison offices. The systemneeds to be improved by manning these offices with permanent JSPS staffs.7. Envisioned Role for JSPS in FutureJSPS should spearhead improving Japan's scientific research environment.In the future, it will become necessary for JSPS to set priorities for its various programs and forresearch areas.The activities of the world's various funding agencies can provide useful reference for JSPS'sfuture role in this capacity.JSPS should be prudent in its decisions to take an active part in the construction and/or operationof international large science facility projects.It is difficult to envision JSPS taking on stronger characteristics of an academy. However, it willbe important for it to deepen its relations with academic societies.The various changes, including expanding its head’s discretionary authority and increasing operationalflexibility, envisaged in JSPS's conversion to an independent administrative institution aredesirable.It is desirable to establish a board that reflects the opinions of the academic community.8. Expectations in JSPSJSPS should work to establish an environment in which researchers can perform their work in anunencumbered manner. JSPS should assist the national universities in their conversion to nationaluniversity corporations, and should support the overall development of Japan's national, public andprivate universities.21

External Review Report1. JSPS's Basic Stance on Science PromotionNature of Basic ResearchIt is the nature of scientific research, particularly basic research, that advances are difficult topredict. Neither is it possible to measure quantitatively the value of research initiatives by suchmeans as counting the number of papers or citations. Constant effort, therefore, is needed to identifyand germinate research seeds of potential value. As basic research is not directly connected tocommercial profits, private corporations rarely invest capital in it. The government, therefore, hasthe primary responsibility to bear in promoting it. In this context, JSPS has a critical responsibilityas a major provider of basic research funding.Freedom versus responsibility in researchSo as to generate significant results from highly creative ideas, researchers need to be allowedthe maximum degree of freedom possible. However, along with such freedom must come concomitantresponsibility and accountability. JSPS should work to promote science while pursuing adherenceto these parallel principles.Decentralization of authorityGenerally speaking, decisions regarding research are most appropriately made as close to theplace where the work is being conducted as possible. It is, therefore, desirable for JSPS to as muchas possible leave decisions on research implementation to the researchers involved. Concomitantly,it will be incumbent on the researchers to accept a larger burden of responsibility.Competition and evaluationCompetition is vital to sustaining a creative research environment. Such an environment is neededto both attract and nurture excellent researchers and to motivate universities to continually maintainhigh research standards. In promoting such competition, its value must be evaluated and it isonly researchers who are capable of doing so.Uniqueness of Japanese researchHistorically, Japan has developed its scientific research in unique way. In promoting science,Japan should not copy the models of other advanced nations, but should work to create a researchenvironment rooted in its own cultural strengths. Japan has a powerful capacity for conducting collectiveresearch and has shown itself to be highly adept at interdisciplinary endeavors. Though it isa fact that a hierarchical structure does exist within Japan’s research community, there is ampleroom to cultivate individual creativity.23

2. JSPS's Relation to Government Policy on Science PromotionScience and Technology Basic Plan and JSPS’s RoleThe Japanese government enacted the Science and Technology Basic Law in 1995; then, it establishedthe Science and Technology Basic Plan in 1996. With the promotion of basic research beingone of its primary pillars, the Basic Plan calls for increased support to university and otherresearchers. The Second Science and Technology Basic Plan, launched in 2001, places addedemphasis on the promotion of basic science.Following these Basic Plans, JSPS has played a pivotal role in promoting basic research in Japan.The Review Committee appraises highly JSPS’s record of achievement in this pursuit to date.Japan’s Research and Development system and JSPS’s positionThe Review Committee has acquired an adequate understanding of JSPS’s position withinJapan’s research and development framework. As research and development systems differ accordingto each country’s backgrounds, the Committee did not attempt to evaluate the Japanese system.The members did, however, agree that (1) good coordination between the government, science-promotionagencies, universities, and other entities is vital in carrying out research and developmentactivities, and (2) within the Japanese system, JSPS’s role of supporting research based on the freeideas of researchers is both vital and should be expanded.JSPS’s autonomy and independenceUp till now, basic decisions regarding JSPS have been made by MEXT. That is, JSPS has theauthority, with the government’s permission, to merge its existing programs or to launch new ones.However, various requirements, such as acquiring related government funding and obtaining permissionto amend its bylaws, make it difficult for JSPS to take such actions on its own accord.It is incumbent upon JSPS to seek the views of researchers and to give their views concreteapplication in its various programs. JSPS must work to foster an understanding within Japan’s governmentaland legislative bodies of the importance of science and of JSPS’s policies and programs insupport of scientific promotion. In achieving these two objectives, JSPS must secure its own autonomyand independence. Concurrently, it must also strengthen its own planning and policy functions.Cultivating the research environmentIn developing its programs, JSPS must gauge and improve the prevailing research climate andenvironment. To this end, it will need to expand its research funding, while working to foster acadre of creative elite researchers who will form the nucleus of future research initiatives. As concretemeasures toward fostering such researchers, their university teaching and administrative obligationsshould be lightened, their domestic and international mobility expanded, and their independenceand freedom assured.24

3. Overview of JSPS and Its Program(1) Program Development and TransitionJSPS’s record to dateFrom its inception in 1932, JSPS has undergone a number of transitions and this evolutionaryprocess is still in progress. The latest step will be its conversion to an independent administrativeinstitution in 2003. During the course of this evolution, JSPS has continued to play a distinctive rolein promoting science, especially with regard to the standing and competitiveness of Japanese scienceon the world stage. Early in its establishment, JSPS was already involved in furthering cooperationbetween academia and industry, popularizing science among the public, and stimulating the developmentof young researchers. In the international domain as well, JSPS receives high marks fromits counterpart agencies worldwide for having built strong exchange relationships based on mutualtrust.Program expansion over recent yearsJSPS’s scope of responsibility will be expanded with its conversion to an independent administrativeinstitution in 2003. The use of competitive peer review to support research carried out on thebest ideas by the best researchers is clearly instrumental in advancing Science and Technology activitiesthroughout Japan. That this function is performed by JSPS attests to the importance of its mission.Relationship with the publicIt is important to deepen the public’s understanding of science. In its capacity, JSPS shoulddevelop linkages with the research community and work in tandem with them to foster a wideknowledge of science among the general public and to broaden their understanding of how scientificadvances impact their lives. Unless such knowledge and understanding can be fostered, public supportfor science promotion is apt to waver.(2) JSPS’s Organization and OperationOrganizational structure and decision-making systemJSPS has an extremely efficient organizational framework. Operating under the jurisdiction ofMEXT, JSPS’s size is the minimum required to carry out its programs. It’s organization is made upof executives with both research and administrative backgrounds, three program departments, and anAdvisory Council comprising experts in a wide spectrum of fields.Number of staffsJSPS currently has 78 employees. Given the increase in its workload over recent years and theimportance of its programs, JSPS needs to significantly augment the number of its staff. Though the25

Review Committee cannot recommend a specific staffing level, there is a consensus among themembers that the current level is far too low in view of the scale of JSPS’s program.Taking the transfer of the Grants-in-Aid for Scientific Research from MEXT as an example,though it caused a big increase in JSPS’s workload, it was only accompanied by a small increase instaff. In the future, it should be a rule that commensurate staffing be provided when new programsare launched or existing ones enhanced. Furthermore, there currently exists no allocation for permanentJSPS staff at its eight overseas liaison offices. Faculty and administrators of universities orresearch institutes are dispatched to man these offices, however, permanent JSPS staffs are needed toeffectively conduct the offices’ operations.Current JSPS programs are being sustained by increasing the workload of its existing employees;however, at the present staffing level it will be impossible for JSPS to add new functions, start newprograms or make program quality improvements, including those recommended in this report.The need to increase staff is also pointed out where appropriate in the Committee’s various otherprogram recommendations.Staff qualificationsOther than among its executives, JSPS does not presently have any employees with researchbackgrounds. Similar science-promotion agencies both in Japan and abroad do employ such staffs.Like them, JSPS needs to recruit staff with research experience who can (1) participate in policy formulationrelated to its overall operation and individual programs and (2) play a role in its selectionand evaluation of projects.With regard to policy formulation, when JSPS becomes an independent administrative institutionin 2003, it will need to be proactive in planning its programs. (This point is elaborated in Section 7,“Envisioned Role for JSPS in Future.”) This will require the strengthening of JSPS’s own planningcapacity, which must entail the staffing of people with research experience.Regarding grant selection and evaluation, JSPS must strive to ensure that research based on thebest and most innovative ideas of researchers is always accorded suitable support. (This is also discussedin Section 4, “Fostering Researchers.”) In so doing, JSPS must employ staffs with researchexperience to participate in the grant process, starting with the proper operation of external reviewsand selection decisions and running through to post-award evaluations.At the U.S. National Science Foundation, a personnel exchange program is carried out with variousuniversities. It allows university researchers to work at NSF for one or more years, while maintainingtheir employment status at the university and receiving their paychecks from it. NSF reimbursesthe university an amount equivalent to the researcher’s salary. This mechanism for staffingpeople with research expertise might be of use to JSPS.26

Future issues related to JSPS’s organizationTo obtain greater independence, JSPS needs to strengthen its survey and planning functions.Doing so will require increased staffing, including the employment of personnel with research experience.As cultivating a deeper understanding abroad in Japanese science will be essential to promotingscience, JSPS will need to establish a public relations section while expanding the PR functionof its overseas liaison offices.JSPS’s budgetJSPS’s budget has undergone marked augmentations over recent years. Whereas the main reasonfor this increase has been a transfer of part of the Grants-in-Aid for Scientific Research Program toJSPS, these augmentations are a clear indication of JSPS’s expanding role within Japan’s scientificresearch milieu.In 2002, however, part of the grant-in-aid categories transferred to JSPS were taken back byMEXT due to “budgetary measures.” This move is not deemed by the Committee to be consistentwith the government’s policy.As to the breakdown of FY2002 JSPS’s budget, 73.6% is allocated to grants-in-aid, 20.9% tofostering researchers, 3.7% to international exchange, and 1% to administration. Given the importanceof JSPS’s international exchange program, its budget should be increased. The administrationbudget should also be increased to allow, as stated repeatedly in this report, increased staffing and toimprove its IT-based operational system.In FY 2001, a system was established to allocate competitive funding to cover management andother necessary expenditures of research institutions. That is, some categories of the Grants-in-Aidfor Scientific Research now allow 30% of the grant made in direct support of research to be used topay indirect expenses (overhead). As Japanese universities, particularly national universities, areallocated funds for their management and their education and research infrastructures through thegovernment’s Special Account for National Education Institutions, it has not until recently been considerednecessary to make overhead allocations within competitive funding. The introduction of thisnew system, however, has brought about a change of concept with regard to research funding.Universities and other research institutions need to strengthen their research infrastructures, particularlythose for young researchers. Expanding the use of overhead would be an effective means forpromoting Japanese science, provided that funds derived from it are used to improve the researchinfrastructure of these institutions.27

4. Research GrantsState of Research Grant Programs(Concept of research project evaluation)A vital element in advancing scientific research is a well-functioning competitive system ofresearch funding. It should be based on applications initiated by researchers and reviewed by fellowscientists. Peer review is the best option among the feasible evaluation methods, and should beemployed despite its shortcomings. Its limitations include a tendency toward conservatism andorthodoxy and possible errors by individual reviewers. Improvements in the system need to bemade to overcome such limitations and ensure that innovative proposals are always funded.For example, it may be the case with an innovative, high-risk proposal that if some members ofthe review panel do not evaluate it highly, the decision of the panel may be a conservative one.Among boldly innovative proposals, which may greatly expand the research horizon, there may bethose with the potential to spawn major advances. Mechanisms, such as allocating a certain percentof available resources to daring, high-risk projects, will need to be devised to identify and supportsuch initiatives.As stated, error by reviewers is another limitation of peer review. Such errors are often causedby the reviewer not having a sufficient understanding of the proposed topic or related research field.Therefore, it is essential for JSPS to employ people with research expertise who will participate inthe evaluation process and who can properly interpret the comments of external reviewers andresolve errors and disagreements.In the US, for example, if a grant proposal is rejected by one funding agency, there are severalothers that might support it. This plurality of support mechanisms helps to protect the researcheragainst erroneous review. In contrast, there are not so many alternative places in Japan where aresearcher can go to seek funding. Though the Review Committee did not find it within its purviewto address this situation, the members stressed that it redoubles the need for JSPS to strive to keep itsreview process as free of error as possible.It is inherent to the nature of science that advances cannot be predicted. Development of a goodidea often entails half way through the pursuit accidentally noticing that the work has taken a completelynew course—one not outlined in the project plan. This possibility should be given adequateconsideration in the evaluation process. Accordingly, it is important to assess the track record of theresearchers as well as to evaluate the research plan. As young researchers may not have an adequaterecord of achievement to enable such assessment, letters of recommendation from mentors andgroup leaders will be of value, as well as interviews by people with sufficient experience in conductingthem.With regard to grant project evaluation, formats are needed for preliminary, mid-term and posteriorevaluations. It is important to establish a methodology for each.28

Finding promising young researchersFinding promising young researchers requires special effort. As participation in poster sessionsat academic meetings is an important way for young researchers to advance their careers, one way toidentify those of promise is from their poster exhibits and presentations.Projects of 5-7 years in durationUnder the Grants-in-Aid for Scientific Research Program, grants are awarded for periods rangingfrom 2 years to 4-6 years. Measures should be taken to ensure that projects of 5-7 years that exceedthis time limit are not disadvantaged.Selection rateWith regard to the selection ratio of grant applicants, the Review Committee did not recommenda specific percentage, as the success rate will differ according to a program’s objective, its amountand period of funding, and whether it is newly launched. It should, however, be kept in mind whendeciding program scale and selection quotas that too low a selection ratio can discourage researchersfrom applying. Generally speaking, a ratio of below 15-20% risks losing some of the best ideas.The selection ratio is important, but care should be taken not to compensate for a low rate by spreadinggrants too thinly.Applying in EnglishEnglish has overwhelmingly become the language used in scientific research around the world.As such, JSPS should permit those researchers who so desire to submit applications for its variousprograms in English. At the same time, it should consider requiring applications to be written inEnglish. This could be phased in by first having applicants prepare about one-page long Englishabstracts summarizing the aims of the project and scientific methodology applied.The first reason for doing this would be to enhance the selection process by making it possiblefor overseas researchers to conduct evaluations. A selection system is established for each of JSPS’sprograms. In the case of the Grants-in-Aid for Scientific Research Program, some 3,700 reviewersare used in the selection process. Whereas Japanese scientists have the competence and objectivityto review grant applications, there are, however, research fields in which few Japanese scientistsexist who can properly evaluate project proposals. In such cases, requiring English applicationswould permit JSPS to request overseas researchers with a high level of expertise in the subject fieldto participate in the evaluation process.The second reason for encouraging English applications would be to improve the English skillsof Japanese researchers. As English has become the common language in scientific research, havingJapanese researchers write their applications in English will prepare them for taking more activeroles in the international science community.29

Electronic processingProcessing of proposals, reviews and fund transfers and also of inquiries can all be done electronically,and doing so will increase efficiency and reduce processing time in making researchfundingdecisions. Such a system is also an effective means of communication with reviewers indistant places. As, however, the task of installing and operating an electronic processing system is aformidable one, it would be extremely difficult to achieve at JSPS’s current staffing level. TheReview Committee has already addressed JSPS’s need to increase staff, one reason for this being toallow the introduction of an electronic processing system for use in its operation and administration.The introduction of such a system is contingent upon having sufficient staff; but once in place, it canbe expected to effect considerable improvement in an organization’s entire operation. In JSPS’scase, the members recommend that it consider phasing in the introduction of electronic processingin its grant-making system—one that can eventually handle clerical processing from the applicationthrough the grant-distribution stage.Information disclosureIt is important to disclose information on selection processes. At an appropriate time after theprocess is completed, it is desirable to announce the names of all reviewers, but not identified asreviewing specific proposals, and to announce the results of the evaluations. Under the Grants-in-Aid for Scientific Research, a system is already in place for notifying unsuccessful applicants whoso request their approximate ranking and averaged score. Consideration should be given to providingmore detailed information to the applicants. In such case, it would be desirable to give theminformation of a kind that will be useful in improving his/her research plans.Providing opportunities for rebuttal and resubmissionIn cases when there are diverging perspectives between the applicant and reviewers on the resultsof the evaluation, the applicant can be left with the impression that the review was not carried outfairly. To obviate this, it is desirable to establish a selection system of a sort that will give the applicanta sense of fair treatment. In the case of some journals, if a paper is rejected, the submitter mayask to have another referee review it if he/she is not satisfied with the comments of the first referee.Similarly, JSPS could provide evaluation comments to applicants who request them; and to thosewho claim there to be errors in the review, offer an opportunity for a second evaluation by anotherreviewer. This said however, it would be difficult to realize such a system immediately due to attendantproblems, including the need for highly specialized staff to run the program in each grant field;the large increase in accompanying workload; selection system and budgetary system limitations;and issues concerning the public disclosure of reviewer information. Nevertheless, if such a systemis adopted, it will greatly improve the selection process and, thus, should be considered.30

Flexible use of research fundsGenerally speaking, the best decisions are made in the lab. Grant making should be based upona concept of “decentralized decision making.” Accordingly, funding agencies should allow recipientsthe freedom to make decisions as to the use of the funds, whether it be in hiring personnel,attending conferences, traveling, publishing results, or whatever. As researchers are the best judgeof how money should be spent, leaving it to their discretion will yield the most productive expenditureof research funds. At the same time, doing so will allow researchers to respond effectively inthe case of projects that take an unanticipated turn in course.This said, there is deemed to be a need for specific support mechanisms in certain cases such asto cover the cost of expensive publication or to make funds available to cover only the overseas travelexpenses of young researchers in efforts to encourage their participation in international conferences.Support for research in the humanities and social sciencesThere are very important issues to be addressed at the intersection between the humanities andsocial sciences and the natural sciences. However, it is often the case that problems arise whenresearchers in the humanities/social sciences and the natural sciences attempt to carry out joint activities.Rather than attempt to meet the tangible demands of work in the natural sciences, researchersin the humanities and social sciences are prone to immerse themselves in purely academic research.On the other hand, researchers in the natural sciences tend to be interested in interfacing with thehumanities and social sciences only to the extent that such is useful in solving a problem immediatelyat hand in their own research. Nevertheless, many of the various problems facing present-daysociety cannot be solved until these diverse research efforts are coordinated. There is a consequentneed to aggressively support that kind of research. It is JSPS’s mission to broadly support scientificresearch ranging from the humanities and social sciences to the natural sciences. As such, JSPS isthe most suitably positioned agency to support cross-disciplinary research activities.(2) Grants-in-Aid for Scientific ResearchOverall SystemGrants-in-Aid for Scientific Research are at the core of Japan’s system for supporting researchbased on researchers’ ideas across the spectrum of humanities, social sciences and natural sciences.The administration of a number of research categories under the Grants-in-Aid for ScientificResearch Program was transferred from MEXT to JSPS in FY1999. The transfer of these functionsto JSPS is highly appraised as it enabled faster selection processing and a greatly expanded numberof reviewers. Another significant step in program enhancement was taken by providing unsuccessfulapplicants with their first-stage selection results, which is done by notifying them of their ranking,based on three levels, in their subject field (research topic).31

Return of some program categories back to MEXTIn FY2002, some of the grant categories that had been transferred to JSPS to improve both theselection process and services provided to applying researchers were transferred back to MEXT.This move is not considered to be appropriate since it does not appear to be consistent with government’sbasic science policy. Various problems are also incurred by dividing responsibility for selectionand distribution between MEXT and JSPS in some program categories.Increase in flexibility over recent yearsGrants-in-Aid for Scientific Research Program used to impose considerable restrictions on theuse and inter-account transfer of funds by researchers. Over recent years, these restrictions havebeen greatly relaxed, giving researchers more flexibility in how they use the funds. This trend isevaluated positively, particularly from the perspective of decentralizing authority—that is, allowingdecision to be made in the lab as mentioned above. Efforts are expected to be made to obtain evenhigher degrees of flexibility.Research topicsApplications for Grants-in-Aid for Scientific Research are divided into about 240 research topics.Applicants select one of these research topics based on their research plan, and record it on theirapplication form. In the review process, reviewers are registered in each topic category and therespective application documents are automatically forwarded to them.When, however, research topics are divided into many finely demarcated categories with reviewersassigned to each, there will be cases of creative proposals not receiving proper evaluation. Onthe other hand, having such categorized framework prompts researchers to design their proposals insuch a way that they fit into a specific category. This has the potential of discouraging researchersfrom challenging new topics that transcend the existing framework.Being aware of this problem, JSPS continuously reviews and updates the list of research topicswith an eye to promoting new research initiatives. Whereas the Review Committee gives JSPS goodmarks for this effort, the members recommend that it take further steps to encourage creative proposalsthat are not tied to the existing framework of research topics and that, to that end, it continuesto consider ways to improve the grant selection process.Publication of research resultsIn supporting researchers, based on a principal of decentralized decision-making, it is as a ruledesirable to leave decisions on various expenditures to the discretion of the researchers themselves.Accordingly, general research support should, from the standpoint of researchers’ ability to usefunds flexibly, include funding for publication as well as for covering directly related research costs.Concurrently, it is appropriate that JSPS has established a separate grant category within the Grantsin-Aidfor Scientific Research Program to cover cases of expensive publication costs. Theseincludes such costs as printing color plates when publishing results of research in the biological sci-32

ences, or publishing books in fields of the humanities or social sciences, which is a more commonlyused means in Japan of disseminating important research results in these fields than is submittingthem to academic journal for publication.Grants for Encouragement of Young ScientistsThese are grants to support small-scale research projects carried out by elementary and secondaryschoolteachers and other individual citizens. These grants are particularly meant to provide suchpre-college teachers with opportunities to conduct leading edge research; then through the resultsand experiences they gain, to imbue in their students an interest in research both from a human aswell as an academic perspective. This is considered to have a significant impact on education,including the fostering of the next generation of researchers.Review methodJSPS’s review system is well organized. Enhancements are being made to it, including those toaccelerate the process and provide additional feedback to unsuccessful applicants. The two-stageprocess employed is also considered to be effective. As stated above, however, the council systemof review tends to be conservative with regard to truly innovative research ideas, so a mechanismneeds to be established for encouraging intensely creative, high-risk research. Consideration shouldbe given to such system reform, including the content touched upon above under “Research topics.”It goes without saying that researchers who are specialists (that is, who possess a high degree ofspecialization) should be assigned to each of the review categories. At the same time, generalists(that is, who possess a wide field of vision) also need to be included in the review process.Furthermore, in the first stage of the review, disparities may at times occur in the scores of thereviewers. For example, only one reviewer on a panel may give an applicant an extremely lowscore. This may be due to an error on the reviewer’s part caused by an incorrect understanding ofthe application content or some other reason. When discussing whether or not to select that proposalin the second stage, the reviewers’ scores should not be merely totaled or averaged, but carefulscrutiny given to each of their scores and, if the extremely low score is found to be improper, amechanism should be in place to allow its removal from total score calculation. Moreover, if bothspecialists and generalists are to be used, consideration needs to be given to the relative weight oftheir respective scores. For these various mechanisms to become operational, people with researchexpertise must be staffed and a framework established for them to engage in the improvement of theevaluation process.Over recent years, the scale of the Grants-in-Aid for Scientific Research Program has expandedsignificantly. As the government’s Second Science and Technology Basic Plan mandates a furtherincrease in competitive funding, JSPS’s operation is expected to grow in the future. At present,JSPS is just barely able to conduct its program administration and operation by maximizing theworkload of its small allocation of staff. It, therefore, goes without saying that JSPS needs to significantlyincrease its staffing. At the same time, consideration should be given to redesigning the33

eview system for the Grants-in-Aid for Scientific Research Program so that is able to accommodatea marked increase in future applicants.Multiple applicationsJSPS is lauded for the enhancements it has made to the review system and other aspects of theGrants-in-Aid for Scientific Research Program after receiving its transfer from MEXT. That said,the Committee would like to recommend that grant applications under the program be accepted anumber of times each year, rather than once a year as is the current practice. As the number ofapplication periods per year varies with culture and program characteristics between each country,the members do not wish to obligate JSPS to multiple application periods or to recommend a specificnumber of periods per year. However, by increasing the number of application periods, JSPSwould be able to respond more quickly to rapidly emerging research themes and to accelerate theimplementation of research based on the excellent ideas of researchers. Accordingly, considerationshould be given to establishing a multiple-period application system, which could be phased in insome grant categories or done on an ad hoc recruitment basis. (It should be noted that a minorityopinion held that it is not important to set multiple application periods except in the case of extremelyurgent applications, for which special arrangements could be made.) Needless to say, increasingthe number of application periods will mean a considerable increase in JSPS’s workload. Steps willneed to be taken to realize the staffing augmentation recommended above in Section 3.Increasing budget versus maintaining qualityHaving witnessed large funding augmentations over recent years, the Grants-in-Aid for ScientificResearch Program is currently budgeted at 170 billion yen. Along with this expanded funding hascome a significant increase in the number of grant applicants. Basically speaking, this is desirablefor promoting science and meeting the needs of researchers. However, there is a possibility of rapidfunding increases yielding a decline in the standard of the funded research topics. Attention must,therefore, be given to maintaining the level of research quality while augmenting grant-in-aid funding.(3) University-Industry Cooperative Research ProgramUniversity-industry cooperation comes in many forms. Looking at countries other than Japan,there are those like the US in which close and direct cooperation is expected between universitiesand industry. On the other hand, there are systems like that in Germany where corporate funds donot flow directly to universities, but a certain amount of funds are transferred from industry to donorassociations. These funds are eventually used to support university research. Under this system,therefore, no university research program is regarded as being directly linked with specific corporateresearch. Considering the situation of scientific research in Japan, it cannot be detached from societaldemands, including those of industry; rather many excellent research themes are contained withinthe needs of the industrial sector. Therefore, it is advantageous for researchers in both universities34

and corporations to exchange information. In this context, JSPS’s Program uses university-industrycooperative research committees and a university-industry advisory committee to propose from anacademic perspective important research themes that coincide with the needs of industry. Themesproposed through this process may be selected and supported with grants under the creative scientificresearch category of the Grants-in-Aid for Scientific Research Program. In the future as well,JSPS is expected to expand further its role as an interface between academia and industry.In Japan, doctoral dissertations and the results of research supported by government funding areas a rule required to be published. In the case, however, of cooperative projects carried out betweenuniversities and industry, as there is a possibility of patent applications being filed, sufficient considerationneeds to be given to protecting the rights of the participating researchers.(4) Research for the Future ProgramThis program is designed to allow Japan’s leading scientists across a spectrum of fields to selectresearch topics for funding that can improve the living standards of the Japanese people and contributeto the country’s socio-economic development. In FY2002, capital investment by the governmentfor this program was terminated and the adoption of new projects suspended. Projects startedbefore this year will be allowed to continue up to five years with funding directly from MEXT. Atpresent, JSPS conducts mid-term and posterior evaluations of the research projects still in progress.Projects carried out under this program are relatively large as they include the industrialization ofresearch based on societal needs. Accordingly, they tend to contain characteristics that would not bequalified for funding under the Grants-in-Aid for Scientific Research Program. The program is alsoone that can, in an effort to meet diverse societal needs, accommodate interdisciplinary projects thatspan wide research domains, including physical sciences, engineering, medicine, the humanities andsocial sciences. As this is a valuable program, it would be desirable to continue its implementationthrough a different system of funding.35

5. Fostering Researchers(1) State of Fostering ResearchersNeed to foster researchersTo advance science and build a splendid society, government must first and foremost vitalizeyoung researchers and pour effort into their cultivation.It takes many years to develop an independent researcher. As the fostering of researchers beginsat the elementary and secondary school levels, teachers and mentors play very important roles incultivating their students’ intellectual curiosity.An environment needs to be established to facilitate the movement of budding postdoctoralresearchers through the ranks. It is important for such researchers to conduct independent researchas a postdoc at an excellent research institution, including overseas, other than the one of their registryas a postgraduate student. It will be necessary to establish an environment for these researchersto accumulate postdoctoral experience and to go through a period (usually several years uponobtaining their Ph.D.) in which they work as an independent researcher by forming and leading theirown research group. Particularly for young researchers participating in projects conducted by largescalegroups, a need exists to provide them with opportunities to receive independent funding and tocarry out their own research.Mobility of young researchersResearcher maturation varies by country based on their graduate education systems and otherfactors. Generally speaking, however, fostering independent young researchers entails having aneffective way of enhancing their mobility. With greater mobility, researchers can broaden their perspectivesand prepare for future careers by carrying out research using new methods from thoseemployed in their previous research groups and, in so doing, deepen their research experience. Oneapproach would be for young researchers to spend 1-2 years in an excellent research group overseas.To enable this, it will be essential for them to be affiliated with a research group in a Japanese graduateschool whose leader has both international standing and interpersonal networks. Thoseresearchers who are not in a position to take advantage of such international recognition and networkingwill need to change their research environment by, for example, moving to a higher qualityresearch group in Japan.Program for elite researchersIt is a very small number of researchers who emerge as elites through a process of becomingindependent and forming their own research groups a few years after obtaining their Ph.Ds. It isimportant to provide strong support for such elite researchers as the research environment aroundthem can be greatly enhanced through their leadership. Through providing them with fellowshipsand research grants of a sufficient monetary amount, higher research results can be expected. Alsothrough the recognition attached to receiving of such fellowships, elite researchers have a goodchance of acquiring additional external funding.36

Problems associated with elite researcher supportThe fostering of elite researchers is vital. In cases, however, when elite researchers are organizersor managers of research groups, problems may arise with regard to fostering young researchersin their group. Research groups led by elite researchers hire postdocs to conduct the research efficientlyand obtain considerable amounts of funding. That said, there are cases when the eliteresearchers themselves do not directly engage in the group’s work, and other cases when for the purposeof promoting the research group, the elite researchers publish the results of the group’s work bylisting their names first among the authors, not giving proper credit to the achievements of the youngpostdocs. Sufficient care, therefore, should be taken so as not in this way to dilute the value of theyoung researchers’ individual achievements or dampen their enthusiasm for doing research.GenderThe issue of gender equality is not limited to the fostering of researchers. In the employment ofresearch personnel as a whole, an environment that allows the equal participation of the sexes isdesirable. Accordingly, steps to achieve gender parity need to be considered.It is important to create a matrix that allows all talented people to develop their abilities. Asthere is no difference in the intrinsic abilities of men and women, it is necessary to provideresearcher career paths for women that allow them opportunities for equal participation. Though itmay entail a need for spouses to share the burden of housework and child rearing, from the viewpointof societal development as well, female contribution to scientific research should be soughtand supported.Career pathsClearly defined career paths need to be created to dispel anxiety of young researchers who havecompleted a period of postdoctoral research. Having such a structure means that young scientistscan immerse themselves in their research without worrying about what the next step in their careerswill be. To facilitate the employment of such researchers in both universities and corporations, asystem design is needed that strengthens collaboration between postdoc-support agencies, such asJSPS, universities, research institutes and corporations.In the past, support for individual researchers has been conditioned upon their affiliation with auniversity or research institute. Raising researcher mobility, however, will make it necessary forsupport to be provided in a wider context—e.g., supporting researchers as individuals affiliated withacademic societies. To advance this concept, JSPS’s relationships with academic societies needs tobe strengthened and networks with them formed.In the years ahead, increasing numbers of corporate researchers are likely to seek employment atuniversities. To help familiarize them with the university research environment, considerationshould be given to creating a support system for them similar to the one provided for postdocs.37

Overseas experience for young researchersProviding opportunities for young researchers to accumulate overseas research experience is avery effective means of advancing research. In Sweden, which has a relatively small research community,it is normal for young scientists to go abroad to do research. In the US and Japan, there hasnot necessarily been over recent years a strong inclination for young researchers to go abroad.Given this situation, it will be desirable to create a clear-cut career path structure as well as establishinga reintegration fellowship system that guarantees the status of returning researchers for agiven period until they can secure employment at a university or research institute.(2) Fostering Japanese ResearchersProgram to Support 10,000 PostdoctoralsHaving placed high priority on the fostering of young researchers in its first Science andTechnology Basic Plan launched in 1996, the government established the Program to Support10,000 Postdoctorals. That the numerical goal of this program has been met one year earlier thanplanned is highly praised.Having supported approximately half of these doctoral candidates, JSPS has played a very significantrole within this program to foster young Japanese researchers. In recent years, JSPS has alsotaken over programs from the Japan Science and Technology Corporation (JST) to support youngresearchers working in Japan’s national laboratories and public research corporations. Thisincreased further the weight of JSPS’s responsibility in fostering young researchers.Support for graduate studentsIn Japan, the number of graduate students tends to be increasing, but the ratio of graduate toundergraduate students is still low compared to the US and Europe. This ratio will need to beincreased. As measures to accomplish this, the DC program of JSPS’s Research Fellowships forYoung Scientists will need to be expanded as will Japan’s research assistant and teaching assistantprograms. Mechanisms should also be considered for reducing the enrollment and tuition fees ofPh.D. candidates or exempting them from such fee payment. However, as not all graduate studentswill go on to become researchers, support for fostering young researchers should be administeredselectively.Support in an era of low birthrate and rapid agingJapanese society is aging while its birthrate declines. This creates a need to make effective useof all the nation’s human resources. To cope with the low birthrate, a system must be considered formaking effective use of the abilities of both sexes (as noted above under “Gender”). At the sametime, rapid advances in Science and Technology research necessitate measures to allow relativelyolder researchers to reorient themselves to new fields so that they can continue to work as active scientists.To this end, positive consideration should also be given, from a viewpoint of researcherdevelopment, to implementing a program that will enable older researchers to acquire new specializations.38

(3) Research Fellowship for Young ScientistsReport on future state of programJSPS’s Research Fellowship for Young Scientists is an excellent support program complete withall the necessary procedures from selection processing to funds distribution. In August 2001, a committeeorganized to review the program submitted a report titled “Regarding the JSPS ResearchFellowship for Young Scientists,” which contained valuable recommendations for program enhancements.In response to the committee’s advice that positive steps be taken in those directions, someof the recommendations have already been implemented under a new program, while adjustmentsare also being made in the way the current program is carried out.Fostering especially outstanding young researchersBased on the above-titled program report, the “Postdoctoral Fellows [SPD]” program was newlyestablished in 2002. As a program for fostering elite young researchers, it deserves high marks. It isunderstood that only a few outstanding researchers are selected each year under this program. Giventhis selectiveness, the fellows are expected to achieve a high degree of self-development as the leadersof research groups. Nevertheless, as the awardees only comprise a very small percentage ofJapan’s postdoctoral researchers, consideration should be given to increasing the number of fellowsunder the program.Conducting research at institutions other than that of registryAs noted above, increased mobility is important in fostering young researchers. From the newFY2003 program selectees, fellows (except for those recognized to have special circumstances andgiven wavers) will be required to choose a research group other than the one at their graduate schoolof record to conduct postdoctoral research under the fellowship. This requirement is highlyappraised.(4) Postdoctoral Fellowships for Research AbroadUnder this program for fostering Japanese researchers, fellowships are provided to outstandingyoung researchers who will conduct research at overseas research institutions for a period of twoyears. The fellowship covers travel expenses, a stipend and a research grant. The program ispraised for including all fields from the humanities and social sciences through the natural sciencesand for its high degree of flexibility in allowing fellows to do research in any country of their choosing.However, the number of researchers currently awarded these fellowships is far less than thosewho desire them. As overseas research is important in building their careers, the young researchersshould be awarded fellowships in greater numbers under this program.One difficult problem experienced by young researchers going abroad to conduct research isuncertainty over whether they will be able to find a desirable research position upon their return. At39

the Humbolt Foundation, for example, the grant awarded to researchers going abroad is continuedupon their return to provide reintegration support. JSPS should consider more flexible handling ofthis program’s period of support, which is currently set at two years.(5) JSPS Postdoctoral Fellowships for Foreign ResearchersThis program is open to all researchers whose countries have diplomatic relations with Japan andwho have recently obtained their Ph.Ds. A stipend and research grant are provided for a period oftwo years to conduct research at research institutions in Japan. As the program contributes to thefostering of the young foreign researchers while exerting an impact on scientific advancement inJapan, it will be desirable to significantly increase the number of fellowships awarded under it.Looking at the breakdown of fellows by country, the number coming from Asian countries isvery large. Since after returning to their countries upon completion of their fellowships many ofthese fellows contribute actively to scientific advancement at home, this program has become importantfor both Japan and the participating countries.Compared to Asia, the number of fellows under this program from the US and Europe is relativelyfew. Among JSPS’s overseas nominating authorities, there are a number that do not fill theirnomination quotas each year. The reason for this is thought to be that, depending on the country andfield, research experience gained in Japan is still not judged to be career enhancing. In response tothis, effort needs to be made to widely introduce abroad information on Japan’s top-rate researchinstitutions and groups so as to elevate the overseas appraisal of the value of doing research in Japanand to evoke potential interest in researchers to come to Japan.Their living environment in Japan is an important issue for young researchers who will comehere. For some researchers, culture is also thought to pose a barrier. Therefore, sufficient considerationshould be given to providing adequate housing and offering support to family members.Furthermore, consideration needs to be given to allowing research conducted under the fellowshipto be continued after their tenure is completed through such means as permitting fellows torevisit Japan under an invitation fellowship.40

6. JSPS's International Exchange Programs(1) State of International ExchangesInternational exchange of researchers, particularly of young researchers, constitutes first of all avaluable opportunity for them to expand the perspectives and horizons, as contact with researchassets of other countries is viewed as instrumental to their development. At the same time,researcher exchanges also form a bridge in the relationship between the sending and receiving countries,and accordingly are of diplomatic significance as well. This latter aspect should be borne inmind when implementing researcher exchange programs.The fruits of scientific endeavors and knowledge know no borders; all good science is internationalscience. Given Japan’s unique history, culture and language, it is important for Japan to takethe initiative in stimulating international contacts. As Japan’s industry and economy have ascendedupon the global stage since the end of the Second World War, Japanese science has gained elevatedstatus in the global arena through the vital role played by JSPS in promoting science and formingpartnerships around the world.Compared to the past, it has now become very easy for Japanese researchers to travel abroad.With regard to funding as well, restrictions on the use of Grants-in-Aid have been greatly relaxed,allowing researchers, including graduate students, to use them flexibly in going abroad to attend scientificmeetings or to conduct joint research.In Europe, it is considered important to provide young researchers with opportunities toexchange opinions with colleagues in other countries. Thus, opportunities are made widely availablefor graduate students to attend international conferences and visit research groups in othercountries. This is even more so in the case of postdocs. Furthermore, young researchers are encouragedto give presentations using scientific data at academic societies. To promote such opportunitiesin Japan, consideration should be given to allocating a portion of research grants for overseas travel.As international scientific cooperation should be a two-way street, it is important for Japaneseresearchers to be sent abroad and for researchers of other countries to be received in Japan. In thecase of long-term visits by foreign researchers, however, various problems of adaptation, includinglanguage, may occur. JSPS should, therefore, consider putting in place mechanisms to help resolvingsuch problems, including the use of JSPS Fellows Plaza.(2) JSPS’s International Programs(State of each program)Based on memoranda of understanding and other agreements with academies and research councils,JSPS carries out bilateral exchanges with 59 organizations in 37 countries around the world.Though the scale of each of these programs is not large, they are highly appraised for the good relationshipsthey contribute to building between JSPS and leading science-promotion organizations inthe counterpart countries. JSPS’s Invitation Fellowships for Research in Japan and other unilateralprograms play an important role as they allow Japanese researchers, who submit the applications, to41

take the initiative in researcher exchanges and invite foreign colleagues to their laboratories.Regarding the JSPS Award for Eminent Scientists, it is lauded for inviting to Japan researchers ofa Nobel laureate caliber irrespective of their field, for its flexibility in allowing the awardees to travelat their free discretion to Japan at intervals over a 2-3 year period, and for the appropriate arrangementsit makes for the visiting scientists’ care while in Japan. At present, however, only about fiveresearchers with Nobel laureate-level achievements come to Japan each year under the program.Consideration should be given to increasing this number to several dozen a year by not limiting theprogram to Nobel laureates, but inviting other world-leading researchers with preeminent records ofachievement.Regions of exchange focusThrough its international exchange programs, JSPS supports multifaceted exchanges, centeredupon joint research and seminars, with countries around the world. The main regions to/from whichresearchers are sent and received under these programs are Asia, Europe and North America. Onlya few researchers are exchanged with other regions, despite the fact that rich research assets existoutside the predominant three regions. For example, the scale of JSPS’s programs with Africancountries is very small, with only a few researchers being exchanged between Japan and the continent,in addition to the modest programs of JSPS’s liaison office in Nairobi, Kenya. There would beconsiderable value in conducting exchange with the Republic of South Africa as it ranks among thescientifically advanced countries.Proposals for new programsTo exchange researchers between Japan and other countries, JSPS currently operates the followingprograms: JSPS Postdoctoral Fellowships for Foreign Researchers, JSPS Invitation Fellowshipsfor Research in Japan, and JSPS Award for Eminent Scientists, in addition to its bilateral exchangeprograms based on MoUs with academies and research councils in other countries. It is recommendedthat consideration be given to also implementing the following programs.First, consideration should be given to establishing program for dispatching Japan’s top-rankingresearchers to overseas institutions renowned for producing Nobel laureates and conducting leadingedge research. Such exchanges should be based on MoUs concluded between JSPS and the receivingresearch institutions. By establishing exchange programs with such preeminent research institutes,Japanese researchers will be able to form enduring personal ties with the world’s most leadingresearchers.Second, also suggested is a program to identify the most active of overseas researchers; that is,the rising stars who are apt to become candidates for the Nobel Prize. Such exchange could be conductedunder JSPS’s current invitation programs. Inviting rising stars from other countries would, itis expected, greatly stimulate their young peers, the potential rising stars of Japan.42

Third, regarding JSPS’s bilateral exchanges with overseas academies and research councils, considerationshould be given to introducing multilateral exchanges into these programs by interlinkingresearch bases in each of the participating countries.Fourth, consideration should also be given to establishing a relatively large-scale program forfunding leading edge, highly creative, international joint research projects.Improvement of administrative systemTo make the above-proposed enhancements to JSPS’s international program, it will be necessaryas stated elsewhere in this report to increase JSPS staffing, as the current level is much too small toimplement a program of that scale. With the current administrative system, it is feared that anyattempt at program expansion may cause a lower evaluation of the program JSPS has built up todate. As addressed in this report, it will be necessary for JSPS to expand its international cooperationprogram in the future. To do so while maintaining its current level of program appraisal, orraising the level of that appraisal, will require improving JSPS’s administrative system mainlythrough staffing augmentations.(3) JSPS’s Overseas Liaison OfficesJSPS is lauded for the good relationships it has developed with science-promotion organizationsin other countries. Its overseas liaison offices are playing a significant role in that effort. The partthey play in helping the international scientific community to better understand Japanese scienceand Japanese researchers is also important.It has been pointed out in this report that JSPS should strengthen its survey and planning sections.In this respect, the function of JSPS’s overseas liaison offices to conduct surveys and analysesof scientific research trends in their surrounding regions is important and should be expanded.In Germany, an alumni association of German researchers who have visited Japan under JSPSprograms was established with the cooperation of JSPS’s Bonn liaison office. As the presence inother countries of such researchers who understand first-hand the nature of scientific research inJapan will be instrumental to advancing research in the future, such alumni associations should beactively fostered and supported by JSPS’s other liaison offices as well.At present, JSPS’s overseas liaison offices are staffed by either active or retired university professorsand active university administrators. No permanent JSPS staffs are dispatched to the offices, asno staffing provision is made for them in the government’s budget. Properly speaking, it should beJSPS’s staffs who operate the liaison offices; therefore, some provision needs to be devised to enablethis.43

7. Envisioned Role for JSPS in FutureCultivating a competitive environmentJSPS provides research funds to universities through the extremely efficient mechanism ofGrants-in-Aid for Scientific Research. If these grants are used widely to fund key, leading-edge scientificresearch, they can play an effective role in developing a more desirable competitive landscapewithin the university research environment. Being fully aware of the influence that projects supportedby Grants-in-Aid have on scientific research in Japan, JSPS should spearhead efforts toimprove the country’s scientific research environment.Prioritizing JSPS’s programsIn FY2003, JSPS will be converted to an independent administrative institution. (Considerationsregarding that conversion are addressed in a later paragraph.) At present, JSPS carries out manifoldactivities, among which it will be necessary for it to decide which are of high priority. As a quasigovernmentorganization, JSPS currently implements its programs in accordance with decisionsmade by the government. Once it is converted to an independent administrative institution, however,concomitant with its acquisition of autonomy, JSPS will have to exercise its own responsibility insetting program priorities. External international reviewers may be of value in evaluating the competitivenessof certain research disciplines. When such fields are supported from multiple agenciesa coordinated international review should be made.JSPS’s posture as a funding agencyAs a provider of Grants-in-Aid for Scientific Research and other forms of funding, JSPS shouldplay the role of a prime mover in advancing scientific research in Japan. For reference, the NationalScience Foundation in the US and the Research Council in England play the role of funding agencies.Range of programsJSPS operates various programs from some rather small in scale to others large in scale.Though, it has mainly developed programs that provide grants or fellowships to individualresearchers. However, as the scale of JSPS’s programs expands, a question may arise as to whetherJSPS should become involved in large projects that exceed the scope of its support for individualresearchers. Specifically, the question is whether JSPS should participate in such large facility projectsin and outside Japan as high-energy physics, nuclear fusion, and astronomy. At present, thedecision to launch such large facilities is made by MEXT. They are constructed and operated directlyby MEXT or by national research laboratories. Involvement in such large-scale projects transcendsJSPS’s conventional role. As decision-making regarding the project would also invite politicalintervention, JSPS should not give positive consideration to such participation, but JSPS couldsupport research, and perhaps some instrumentation, at such facilities, through its competitive44

process of peer-reviewed proposals. Therefore, it may be beneficial to consult JSPS when major newfacilities are being considered and planned.JSPS’s character as an academy and its relationship with academic societiesThough JSPS does not have any fellows, it does have other characteristics of an academy: It, forexample, supports scientific research using government funding and actively implements internationalexchanges. In this respect, JSPS has a number of characteristics that are similar to overseasacademies, which may offer a future model for JSPS. At present, however, there are already organizations,such as the Japan Academy and Science Council of Japan, which functions as academies. IfJSPS were to strengthen its characteristics as an academy, it would further complicate the division oflabor with these organizations. It is, therefore, difficult to think that the idea of JSPS becoming anacademy could be realized at this stage. Yet, it would be desirable for JSPS to create closer relationshipswith academic societies and to support their activities.JSPS’s conversion to an independent administrative institutionAs has already been stated repeatedly in this report, JSPS should by reflecting the opinions ofresearchers in its operation becomes an independent, autonomous organization. Scheduled to bemade an independent administrative institution in FY2003, JSPS can in line with that direction elevateits independence while strengthening its self-responsibility. As attested by the fact that JSPS’shead, who bears responsibility for the organization’s operation, will be appointed by the competentminister and its mid-term objectives will also be established by the minister, JSPS will not obtainfull autonomy through its conversion to an independent administrative institution. However, therewill be a significant increase in the discretionary authority of its head, an increase in the flexibilitywith which it executes its budget, and a greater facility to modify and abolish existing programs,among other transitions. These changes envisaged to accompany JSPS’s change in status are consideredto be desirable.As set forth in the independent administrative institution law (general law), as an independentadministrative institution, JSPS is obligated to draft a mid-term plan for achieving its administrativeand operational objectives for the first 3-5 years as set by MEXT. In composing this mid-term plan,JSPS is expected to fully reflect the policies deliberated by its board and other governing bodies.BoardThe deliberative bodies for science policy in Japan are the Council for Science and TechnologyPolicy established within the Cabinet Office and the Council for Science and Technology situatedwithin MEXT. The science committee of the latter deliberates academic matters. As these twocouncils deliberate the Science and Technology policy for all of Japan, JSPS must reflect their recommendationsand proposals in its programs. Since, as an independent administrative institution,JSPS will gain greater discretion over its budget execution and program implementation, it will needto establish an internal body as well to advise its head with regard to the organization’s proper oper-45

ation. This advisory body, or board, should, as stated previously in this section, reflect the opinionsof researchers.The Review Committee will not make specific recommendations regarding the organization orauthority of the board, but would like to offer the following example for reference.The legislation that established the U.S. National Science Foundation requires the establishmentof a National Science Board, which comprise external members (a majority being eminentresearchers with a few representatives of industry) appointed by the President and confirmed by theU.S. Senate. NSF’s Director serves, ex officio, as a member of the Board. The Board approves theFoundation’s budget, approves new programs and the abolishing of existing programs, issuesreports, e.g. the biannual ‘Science and Engineering Indicators,’ and provides consultation on themajor issues concerning the Foundation. NSF’s board is neither a board of directors nor a board oftrustees because it does not have those legal obligations. Instead, it is a very important policy-makingboard, which, first, provides a high-level, external-checking function to assure that all theFoundation’s programs are operated properly and, second, protects the Foundation from inappropriatepolitical interference, such as attempts to circumvent the competitive peer-review selectionprocess.As JSPS’s board will in the same way represent the academic community, its membership shouldalso be comprised of a majority of eminent researchers, and its function should be to provide JSPS’shead with independent advice and share, appropriately, in JSPS’s major policy decisions.ConclusionIn concluding this section, the Review Committee offered the following comments.As JSPS’s basic posture, it should continue to place the highest priority on supporting the bestresearchers and best ideas, and carry out its programs with a high degree of flexibility to function asa prime mover for the organization of science operating independently of the government.To facilitate this independence, JSPS should put in place a new governance based on a Directoroperating in conjunction with a Board composed of active scientists and technologists. The compositionof the Board should reflect the shared interests of JSPS with a majority of representativesnominated from the academic community together with nominations from government and industry.46

8. Expectations in JSPSJSPS has over long years supported research based on the ideas of the researchers themselves. Inthe future as well, JSPS should sharpen its awareness of the need to protect researchers against variousencumbrances and create an environment in which they can carry out their activities withouthindrances or anxieties.There is concern voiced over the future of Japanese universities. National universities are undergoinga significant period of transition because issues related to their conversion to national universitycorporations are being discussed as a part of the current university reform movement. JSPS isexpected to observe the reforms being made at each university and to support them in an effort toachieve their success. JSPS is, moreover, requested to support the overall development of Japan'snational, public and private universities.47

Japan Society for the Promotion of ScienceExternal Review Committee MeetingAGENDAJune 17 (Monday)10:00 a.m. Opening and Greetings~10:25 a.m. Introduction of participantsWelcoming remarks by member of JSPS Advisory CommitteeGreetings by President of JSPSBriefing on schedule10:30 a.m. Presentation and Q/A on Japan’s scientific research environment~11:15 a.m. and overview of JSPS’s program and operation11:15 a.m. Presentation and Q/A on Research Grant Program~12:00 p.m.1:10 p.m. Presentation and Q/A on Programs for Fostering Researchers~1:50 p.m.2:00 p.m. Presentation and Q/A on International Scientific Exchange Programs~2:45 p.m.2:45 p.m. Additional Q/A and other business~3:20 p.m.4:00 p.m. Meeting with Ms. Atsuko Toyama, Minister of Education, Culture,~4:20 p.m. Sports, Science and Technology5:00 p.m. Site visit to the University of Tokyo (Professor Tadatsugu Taniguchi,~5:30 p.m. Graduate School of Medicine6:00 p.m. Confabulation with researchers in Tokyo metropolitan area~8:00 p.m.June 18 (Tuesday)9:30 a.m. Roundtable discussion on Japanese science policy and state of~12:00 p.m. scientific support2:00 p.m. Closed meeting of Review Committee~6:00 p.m.June 19 (Wednesday)9:30 a.m. Closed meeting of Review Committee~12:00 p.m.1:15 p.m. Closed meeting of Review Committee~4:30 p.m.4:40 p.m. Summary Report by committee members on review results~5:30 p.m. Closing49

Review Committee MembersProfessor Sir Michael John BerridgeAssociate Director for Research Strategy at the Babraham Institute(Honorary Professor at the University of Cambridge, Fellow of The Royal Society)Professor Neal LaneUniversity Professor, with appointment in the Department of Physics and Astronomy and as Senior Fellowof the James A. Baker III Institute for Public Policy, Rice University(Former Assistant to the President for Science and Technology, Former Director of National ScienceFoundation)Professor Erling NorrbySecretary General, Royal Swedish Academy of SciencesDr. Heinrich PfeifferFormer Secretary General, Alexander von Humboldt FoundationFormer Vice President of Human Frontier Science Program (HFSP)Professor Akito ArimaMember of the House of Councilors(Former President of the University of Tokyo, Professor Emeritus of the University of Tokyo)Dr. Tsuneo NakaharaAdvisor, Sumitomo Electric Industries, Ltd.Professor Hiroyuki ToriiEditorial Writer, Nihon Keizai Shimbun (Nikkei)Professor, Research Laboratory for Nuclear Reactors, Tokyo Institute of Technology51

Curriculum Vitae53

Professor Sir Michael John BerridgeAssociate Director for Research Strategy at the Babraham InstituteEducation:1960 BSc, University College of Rhodesia and Nyasaland1965 Ph.D., the University of Cambridge1965-1966 Postdoctoral fellow, the University of Virginia1966-1969 Postdoctoral fellow, Case Western Reserve UniversityAcademic/Professional Appointments:1969-1994 Senior Scientific Officer, Department of Zoology, the University ofCambridge1972 Fellow of Trinity College, Cambridge1984 Fellow of The Royal Society1987- Laboratory of Molecular Signalling, Babraham Institute1994 Honorary Professor, the University of Cambridge1999 National Academy of Sciences (U.S.A.)1999 American Academy of Arts and SciencesSelected Honors and Awards:1986 King Faisal International Prize in Science1988 Gairdner Foundation International Award1989 Albert Lasker Basic Medical Research Award1991 Royal Medal, Royal Society1994 H.P. Heineken Prize for Biochemistry and Biophysics1995 The Wolf Prize in Medicine54

Professor Neal LaneUniversity Professor, with appointment in the Department of Physics and Astronomy,and as Senior Fellow of the James A. Baker III Institute for Public Policy,Rice UniversityEducation:1960 BS in Physics, The University of Oklahoma1962 MS in Physics, The University of Oklahoma1964 Ph.D. in Physics, The University of OklahomaAcademic/Professional Appointments:1966-1972 Assistant Professor, Department of Physics, Rice University1972-1984 Professor of Physics and Space Physics and Astronomy,Rice University1979-1980 Director, Division of Physics, National Science Foundation1984-1986 Chancellor, The University of Colorado at Colorado Springs1986-1993 Provost and Professor of Physics, Rice University1993-1998 Director, National Science Foundation1998-2001 Assistant to the President for Science and Technology, and Director ofthe White House Office of Science and Technology Policy2001- Edward A., and Hermena Hancock Kelly University Professor, andSenior Fellow of the James A. Baker III Institute for Public Policy,Rice UniversitySelected Honors and Awards:2000 AAAS Philip Hauge Abelson Awardthe AAAS William D. Carey Award,the American Society of Mechanical Engineers President's Award,the American Chemical Society Public Service Award,the American Astronomical Society /American Mathematical Society/American PhysicalSociety Public Service Award, and several honorary degrees55

Professor Erling NorrbySecretary General, Royal Swedish Academy of SciencesEducation:1963 MD, Karolinska Institute1964 Dissertation (equivalent to PhD) at Karolinska InstituteAcademic/Professional Appointments:1959-1966 Temporary lecturer positions in the Department of Virus Research atKarolinska Institute1966-1972 Career Award from the Swedish Cancer Society1972-1997 Professor of Virology, Karolinska Institute1972-1990 Chairman of the Department of Virology, Karolinska Institute1990-1997 Dean of the Medical Faculty, Karolinska Institute1997- Secretary General, Royal Swedish Academy of SciencesSelected Honors and Awards:1972 Master of Lecturing, Karolinska Institute1981 Fernström’s price for young promising scientists56

Dr. Heinrich PfeifferFormer Secretary General, Alexander von Humboldt FoundationFormer Vice President of Human Frontier Science Program (HFSP)Education:1946-1951 Teacher’s College in Weiburg and the Universities in Mainz and Bonn(Germany)1956 PhD in Philosophy from Johannes-Gutenberg-University in MainzAcademic/Professional Appointments:1953-1956 Head of the German Department of the Fulbright Commission1956-1994 Secretary General, Alexander von Humboldt Foundation1994- Managing Member of the Board of Trustee, Alexander von HumboldtFoundation1989-1998 Member of the Board of Trustees of the Human Frontier ScienceProgram (HFSP)1993-1998 Vice President of HFSPSelected Honors and Awards:1972 Chevalier dans l’Ordre des Palmes Academiques (France)1992 The Order of the Sacred Treasure, Gold and Silver Star (Japan)57

Dr. Akito ArimaMember of the House of CouncilorsFormer President of the University of TokyoProfessor Emeritus of the University of TokyoEducation:1953 BSc, Faculty of Science, the University of Tokyo1958 Ph.D. Graduate School of Science, the University of TokyoAcademic/Professional Appointments:1956 Research Associate, Institute for Nuclear Studies, the University ofTokyo1960 Lecturer, Department of Physics, the University of Tokyo1964 Associate Professor, Department of Physics, the University of Tokyo1971 Professor, State University of New York at Stony Brook1975 Professor, Department of Physics, the University of Tokyo1985 Dean, Faculty of Science, the University of Tokyo1989 President, the University of Tokyo1993 President, the Institute of Physical and Chemical Research (-1998)1985 Chairman, Central Education Council (-1998)1998 Member of the House of Councilors1998 Minister of Education, Science, Sports and Culture (-1999)1999 Minister of State for Science and Technology (-1999)Selected Honors and Awards:1978 Nishina Prize1987 the Humboldt Award (Germany)1990 Order Das Grosse Verdienstkreuz, Bonn, Germany1991 Kanselarij der Netherlandse. Orden's Gravenhage, Amersterdam1993 Bonner Prize, American Physical Society1993 Japan Academy Prize1998 Légion d'Honeur (France)2002 Honorable Knight (Commander) of the British Empire-K.B.E.58

Dr. Tsuneo NakaharaAdvisor, Sumitomo Electric Industries, Ltd.Education:1953 BSc, Department of Electrical Engineering, the University of Tokyo1961 Ph.D. Engineering, the University of TokyoAcademic/Professional Appointments:1953 Sumitomo Electric Industries, Ltd (SEI)1978 Director and General Manager, R&D Group, SEI1981 Managing Director, General Manager, R&D Group, SEI1982 Senior Managing Director and General Manager, R&D Group, SEI1985 Executive Vice President, SEI1991 Vice Chairman and Deputy CEO, SEI1996 Executive Advisor to CEO, SEI2002 Advisor, SEI1996 Secretary, The Institute of Electrical and Electronics Engineers, Inc.(IEEE)1999 Foreign Associate, National Academy of Engineering (U.S.A)Selected Honors and Awards:1994 Medal with Blue Ribbon1999 MITI Minister's Award2000 The Third Millennium Medal2002 Takayanagi Memorial Award2002 IEEE Alexander Graham Bell Medal2002 IEEE Eric E. Sumner Award59

Professor Hiroyuki ToriiEditorial Writer, Nihon Keizai Shimbun (Nikkei)Professor, Research Laboratory for Nuclear Reactors, Tokyo Institute of TechnologyEducation:1967 Graduated from the University of Tokyo1969 Master of Engineering, the University of TokyoAcademic/Professional Appointments:1969 Scientific News Correspondent to Nihon Keizai Shimbun (Nikkei)1976 Industrial News Correspondent to Nikkei1982 Scientific News Correspondent to Nikkei1984 Senior Fellow, Nikkei Industry Research Institute, Editor-in-Chief ofNIKKEI HITECH REPORT1987- Editorial Writer, Nihon Keizai Shimbun (Nikkei)2002- Professor, Research Laboratory for Nuclear Reactors, Tokyo Instituteof Technology60

Review Materials and Other DocumentsDocuments Sent to the Review Committee MembersReview Materials (Compiled by JSPS) ----------------------------------------------------- 63Review Materials (Compiled by JSPS)--------------------------- 207References (not included in this volume)Japan Society for the Promotion of Science LawLaw No.123, August 1, 1967Science and Technology Basic LawLaw No.130, November 15, 1995Regarding Grants-in-Aid for Scientific ResearchReport of Science Council, February 9, 1999A Comprehensive Proposal for Promoting University Research Aimed at MakingJapan a Nation Founded upon Highly Creative Science and Technology –Buildingan Intellectually Affluent Nation within Global SocietyReport of Science Council, June 1999The Science and Technology Basic PlanGovernment of Japan, March 30, 2001Petition Concerning Fiscal 2002 Budget RequestsJapan Society for the Promotion of Science, July 2001Regarding Important Items for the Present Promotion of Science and Technologyand Academic EndeavorsProposal by Council of Science and Technology, August 9, 2001Regarding JSPS Research Fellowship for Young ScientistsCommittee on Fellowship Systems, JSPS, August 16, 2001Regarding Competitive Research FundsOpinion Report by Council for Science and Technology, October 12, 2001Regarding Reform of the Competitive Research Funding SystemsCouncil for Science and Technology Policy, December 25, 2001Publications (not included in this volume)JSPS (brochure) (2001, 2002)Ministry of Education, Culture, Sports, Science and TechnologyStatistical Abstract (Ministry of Education, Culture, Sports, Science and Technology)Other DocumentBudget and Number of Staffs of Funding Agencies in Major Countries---- 21761

External Review of JSPS ProgramsReview MaterialsMarch 2002Japan Society for the Promotion of Science63

ContentsChapter I. Japan’s Scientific Research System(1) Japan’s R&D activities -------------------------------------------------------------------------------- 69R&D spending ------------------------------------------------------------------------------------- 69R&D human resources -------------------------------------------------------------------------- 73(2) University research activities ----------------------------------------------------------------------- 74The Importance of Universities for Research --------------------------------------------- 74University Administration and Its Establishment and Operation ----------------- 75Scope of Higher Education --------------------------------------------------------------------- 76Research System at Universities ------------------------------------------------------------- 78University research funds ---------------------------------------------------------------------- 79Research performance --------------------------------------------------------------------------- 82Recent policies to promote research --------------------------------------------------------- 85Transforming universities into independent administrative institutions ------- 86(3) Government R&D measures ------------------------------------------------------------------------ 87Science and Technology Basic Law and Science and Technology Basic Plan---- 87Science and technology and scientific administration systems --------------------- 92Council for Science and Technology Policy ------------------------------------------------ 93Ministry of Education, Culture, Sports, Science and Technology (MEXT) ------ 93R&D measures by other ministries ---------------------------------------------------------- 95Competitive funding ----------------------------------------------------------------------------- 97R&D evaluation ----------------------------------------------------------------------------------- 98(4) Administrative reform --------------------------------------------------------------------------------- 99Reform of central government institutions ------------------------------------------------ 99Reform of special public institutions ------------------------------------------------------ 100Chapter II. Overview of the Japan Society for the Promotion of Science(1) Purpose --------------------------------------------------------------------------------------------------- 103(2) Legal status of the JSPS ---------------------------------------------------------------------------- 103(3) History of the JSPS ----------------------------------------------------------------------------------- 103Establishment as a non-profit foundation ----------------------------------------------- 103Postwar reorganization ------------------------------------------------------------------------ 105JSPS fellowship program for young Japanese scientists (Shorei Kenkyuin)and US-Japan Cooperative Science Program inaugurated ---------------------------- 105Establishment of JSPS as a special public institution ------------------------------- 10765

Development of International exchange programs ------------------------------------ 108Expansion of researcher fostering programs -------------------------------------------- 113Inauguration of Grants-in-Aid for Scientific Research ------------------------------- 114(4) Supervision, etc ---------------------------------------------------------------------------------------- 116(5) Advisory Council --------------------------------------------------------------------------------------- 117(6) Board of Directors ------------------------------------------------------------------------------------- 117(7) Secretariat organization ----------------------------------------------------------------------------- 119(8) JSPS Overseas Liaison Offices -------------------------------------------------------------------- 121(9) Staff ------------------------------------------------------------------------------------------------------- 121(10) Budget and finances -------------------------------------------------------------------------------- 122(11) Medium- and long-term program plans ------------------------------------------------------- 124(12) Audits and inspections ----------------------------------------------------------------------------- 125(13) JSPS evaluations ------------------------------------------------------------------------------------ 125(14) Public relations activities ------------------------------------------------------------------------- 127(15) New status as an independent administrative institution ------------------------------ 127Chapter III. Research Grants(1) Grants-in-Aid for Scientific Research ----------------------------------------------------------- 131Overview of Grants-in-Aid for Scientific Research ------------------------------------ 131JSPS and the Grants-in-Aid system ------------------------------------------------------- 132Research categories and JSPS responsibilities ----------------------------------------- 133Distribution process for Grants-in-Aid for Scientific Research -------------------- 142Disclosure of Grants-in-Aid research results ------------------------------------------- 145(2) Screening for Grants-in-Aid for Scientific Research ---------------------------------------- 146Committee on Grants-in-Aid for Scientific Research and the selection ofcommittee members ------------------------------------------------------------------------------ 146Screening ------------------------------------------------------------------------------------------ 148Disclosure of screening results -------------------------------------------------------------- 149Midterm and Posterior Evaluations ------------------------------------------------------- 150(3) University-Industry Research Cooperation Program -------------------------------------- 150Advisory Committee on University-Industry Cooperation ------------------------- 151University-Industry Cooperative Research Committees ---------------------------- 152Chapter IV. Fostering Researchers(1) Fostering researchers in universities ----------------------------------------------------------- 155Higher education systems (overview of university systems from the perspectiveof fostering researchers) -------------------------------------------------------------------------- 15566

Career paths taken by postdoctorals and researchers ------------------------------- 157Role of foreign students and researchers ------------------------------------------------- 158Promoting understanding of science ------------------------------------------------------- 160(2) Research fellowship programs --------------------------------------------------------------------- 161Program to Support 10,000 Postdoctorals ----------------------------------------------- 161Philosophy behind JSPS fellowship programs ----------------------------------------- 162(3) Research Fellowships for Young Scientists ---------------------------------------------------- 164Research Fellowships for Young Scientists ---------------------------------------------- 164Postdoctoral Fellowships for Research Abroad ----------------------------------------- 165Postdoctoral Fellowships for Foreign Researchers ------------------------------------ 166(4) Review of research fellowship applications ---------------------------------------------------- 169JSPS Research Fellowships for Young Scientists -------------------------------------- 169Postdoctoral Fellowships for Research Abroad ----------------------------------------- 170Postdoctoral Fellowships for Foreign Researchers ------------------------------------ 171(5) Evaluation ----------------------------------------------------------------------------------------------- 174Career paths following fellowship completion ------------------------------------------ 174Other evaluations ------------------------------------------------------------------------------- 174Chapter V. International Scientific Exchange(1) Overview of Japan’s international scientific exchange ------------------------------------ 177(2) Idea and overview of international exchange projects ------------------------------------- 177(3) Invitation programs (unilateral programs) ---------------------------------------------------- 178(4) Bilateral programs ------------------------------------------------------------------------------------ 180Typical forms of exchange -------------------------------------------------------------------- 180Other forms of exchange ---------------------------------------------------------------------- 181(5) Multilateral international exchange and other international exchange programs-183(6) Reviews and evaluations of international exchange programs -------------------------- 185StatisticsChapter III. Research grants --------------------------------------------------------------------------- 189Chapter IV. Fostering researchers -------------------------------------------------------------------- 193Chapter V. International scientific exchange ------------------------------------------------------ 20067

List of AcronymsCOECRESTDCFYIAIIRCPISIJSPSMETIMEXTMonbushoMOUNISTEPOECDPDR&DSTACenter Of ExcellenceCore Research for Evolutional Science and Technology(Research Fellow) Doctor CourseFiscal YearIndependent Administrative InstitutionsInter-Research Centers Cooperative ProgramInstitute for Scientific InformationJapan Society for the Promotion of ScienceMinistry of Economy, Trade and IndustryMinistry of Education, Culture, Sports, Science and TechnologyMinistry of Education, Science, Sports and CultureMemorandum of UnderstandingNational Institute of Science and Technology PolicyOrganisation for Economic Co-operation and Development(Research Fellow) PostdoctoralResearch & DevelopmentScience and Technology Agency68

Chapter I. Japan’s Scientific Research System(1) Japan’s R&D activitiesR &D spending1) Total domestic R&D spendingJapan’s total R&D spending in FY1999 amounted to 16,010,588,000,000 yen,or 3.12 percent of GDP, a comparatively high ratio among the developednations. By sector, universities, etc., absorbed 3.2091 trillion yen (approx.20.0 percent of the total), companies, etc., 10.6302 trillion yen (approx. 66.4percent), and research institutes 2.1713 trillion yen (approx. 13.6 percent).Japan’s spending is marked by the low 21.9 percent of total researchspending on the part of the government, with industry actively engaged inR&D, as well as the limited 14.1 percent of funds spent on basic researchcompared to applied research and development.The following table compares the R&D expenses of selected nations.R&D spending of developed nations (total/ratio of govt. spending)Total R&D Ratio of Governmentspending GDP spendingName ofcountryFrance1999Million FFGermany1999Million DMJapan1999Million yenUK1999Million Stg US1999Million US$191,050(28,860)92,015(46,472)16,010,588(101,333)16,664(25,480)2.17% 74,000(11,178)2.37% 31,224(15,770)3.12% 3,503,749(22,176)1.87% 4,655(7,118)Govt.spending asa ratio oftotal R&Dspending38.7Govt.spendingas a ratioof GDP0.8433.9 0.81%21.9% 0.68%27.90.52244,828 2.63% 71,637 29.3% 0.77%(According to the Annual Report on the Promotion of Science and Technology 2001,which was compiled based on various national statistics.)Note: Figures within brackets are values derived through conversion on the basis ofOECD purchasing power parity (converted by JSPS).69

R&D expenditure by sector (amount used by type of organization)Universities Industry Govt.researchPrivateresearchTotalFrance(FY1996)Million FFGermany(FY1998)Million DMJapan(FY1996)Trillion yenUK(FY1996)Million StgUS(FY1996)Million US$30,747(4,680)16.8%15,440(7,682)17.1%2,089(12,584)14.8%2,792(4,335)19.5%23,72112.1%112,373(17,104)61.5%62,500(31,095)69.1%10,058(60,590)71.1%9,301(14,443)64.9%142,37172.4%institutions37,008(5,633)20.3%12,500(6,219)13.8%1,329(8,006)9.4%2,069(3,213)14.4%25,10512.8%institutions2,460(374)1.3%679(4,090)4.8%177(275)1.2%5,3432.7%(Science and Engineering Indicators 2000, National Science Board, U.S.A.)182,588(27,791)100.0%- 90,440(44,995)100.0%14,155(85,271)100.0%14,339(22,266)100.0%196,540100.0%Note: Figures within brackets are values derived through conversion on the basis ofOECD purchasing power parity (converted by JSPS).R&D expenditure by typeBasic research Applied DevelopmentresearchFrance (FY1996) 22.0% 28.5% 49.5%Germany (FY1993) 21.2% 78.8%Japan (FY1999) 14.1% 23.6% 62.3%US (FY1999) 16.3% 22.9% 60.9%Created based on OECD materials.The Japanese government determined in the Basic Law on Science andTechnology, formulated in 1995, that a greater role should be played by theR&D, and particularly the basic research, undertaken by national and localpublic bodies. As a concrete measure, the Science and Technology Basic Planwhich was laid out the same year strengthened government assistance forscience and technology by, for example, boosting total government spendingon science and technology to around 17 trillion yen between FY1996 andFY2000. The Second Basic Plan, created in 2001, expands the scale stillfurther, aiming to lift total government spending on R&D to around 24trillion yen between FY2001 and FY2005.70

2) Government investment and policiesThe Japanese government earmarked 3.467 trillion yen for science andtechnology in its FY2001 budget, while the same budget for municipalbodies was 499.2 billion yen, creating a total of 3.9662 trillion yen. Thegovernment’s science and technology budget draws on “science andtechnology” and “other research expenses” from the general account budget,and “special account budget for national educational institutions” and “otherresearch expenses” from the special account budget. (The general andspecial account budgets are explained in this chapter under “(3) Universityresearch funds” in “2. University research activities”.)Science and technology budgetInitial FY2001 budget Unit: million yenBudget BreakdownamountGeneralaccountScience andtechnology1,112,400 Space development costs, marinedevelopment costs, costs related toindustrial technology foundations,ministerial experimental researchinstitution costs, specialcoordination funds for promotingscience and technology, science andtechnology research subsidies andcommissions (includingGrants-in-Aid for ScientificSpecialaccountOther science andtechnologyexpensesResearch budgetwithin SpecialAccount Budget forNationalUniversitiesOther researchResearch from JSPS and MEXT)724,000 Research costs as a part ofenergy-related costs and otherexpenses1,035,100595,500expensesTotal 3,467,000(“Science and Technology Expenditure in FY2002 Budget Request,” November 28, 2001,Director of Planning, Research and Coordination Division, Science and TechnologyPolicy Bureau, MEXT)Looking at table figures, the main budget items and budget amounts under“science and technology” are as follows. The university-related budget isexplained under “(2) University research funds” in “University researchactivities.”• Science and technology research subsidies and commissions (531.5billion71

yen)- Grants-in-Aid for Scientific Research: Subsidies for leading research in arange of areas from the humanities through social science in order topromote science in Japan (158.0 billion yen)- JSPS Research for the Future Program (18.7 billion yen)- Others• Special Coordination Funds for Promoting Science and Technology- Costs incurred in the strategic and focused promotion of R&D based onindustry-academia-government cooperation and in line with keyguidelines in science and technology promotion (34.3 billion yen)• Space development costs- Costs primarily incurred by the National Space Development Agency ofJapan (164.6 billion yen)• Marine development costs- Costs primarily incurred by the Japan Marine Science and TechnologyCenter (38.0 billion yen)• Ministerial experimental research institution costs (excluding space andmarine development costs) (45.2 billion yen)• Independent Administrative Research Institutions costs (excluding spaceand marine development costs) (270.5 billion yen)Ministry and agency science and technology budgetsFY2001Ministry/Agency Budget RatioMEXT 2,212,100 million yen 63.8Ministry of Economy, Trade 561,300 million yen 16.2and IndustryDefense Agency 149,000 million yen 4.3Ministry of Health, Labour 123,600 million yen 3.6and WelfareMinistry of Agriculture,122,500 million yen 3.5Forestry and FisheriesOther ministries and298,500 million yen 8.6agenciesTotal 3,467,000 million yen 100.0From materials released by MEXT72

R &D human resourcesJapan has 653,000 researchers (FY1999, full-time equivalent), of which429,000 work for companies, 177,000 in universities, etc., 31,000 ingovernment research institutions, and 16,000 in private researchinstitutions. As countries use different methods to calculate researchernumbers, it is difficult to make a comparison with the same indices.However, the FY2000 White Paper on Science and Technology gives thefollowing figures for other countries: 988,000 in the US (1995), 238,000 inGermany (1998), 155,000 in France (1997), and 159,000 in the UK (1998).The National Institute of Science and Technology Policy (NISTP) hasamended these statistics in regard to university researchers in the US andJapan. The amendment excludes graduate students, which differ widely inboth countries’ statistics. In addition, Japanese statistics look at the totalnumber of researchers including those whose main occupation is education,which includes university staff. US statistics, on the other hand, includeonly those persons whose main occupation is research. The Institute hastherefore considered university staff and medical staff as fulltimeresearchers, while for the US, the number of researchers whose secondaryoccupation is research, such as persons whose main occupation is education,has multiplied by a half. This brings the estimated number of Japaneseuniversity researchers to 92,000 and US university researchers to 130,000.CountryFrance(1997)Germany(1998)Japan (fulltimeequivalent,1999)Japan (NISTEPestimate, 1999)UK(1998)US(1995)US (NISTEPestimates 1995)No. ofresearchersR&D human resourcesNo. ofresearchers per10,000employedpersonsNo. ofresearchers per10,000employedpersons155,000 26.5 60.4 26,000(17.0%)238,000 29.0 59.6 38,000(16.1%)653,000 50.4 94.2 31,000(4.7%)568,000 43.8 81.9 31,000(4.7%)159,000 26.8 54.8 15,000(9.1%)988,000 28.7 73.9 54,000(5.5%)984,000 28.6 73.6 54,000(5.5%)Breakdown by work force organizationGovt. Universi Industryresearch tiesinstitutions54,000(35.2%)66,000(27.8%)177,000(27.1%)92,000(16.2%))49,000(30.9%)134,000(13.6%)130,000(13.2%))71,000(45.5%)134,000(56.1%)429,000(65.7%)429,000(65.7%)92,000(58.2%)790,000(79.9%)790,000(80.3%)Annual Report on the Promotion of Science and Technology, 2000, 2001.Privateresearchinstitutions4,000(2.3%)--16,000(2.5%)16,000(2.5%)3,000(1.9%)10,000(1.0%)10,000(1.0%)73

(2) University research activitiesThe Importance of Universities for ResearchUniversities are institutions that are defined in the School Education Lawas to organizations that take on the responsibility of Japan’s “centers ofadvanced learning,” both through higher education and research. In theirpractical effect also, both qualitatively and quantitatively, they play a keyrole with the research activities that take place in Japan as a whole.The main structural element of universities is in their organization ofeducation and research which relate to the 4-year undergraduate education,which starts when students enter universities in the 13 th year after the startcompulsory education and leads to a Bachelor’s degree; and continues withgraduate education (either a Master ’s degree, normally attained 2 yearsafter graduation, or a Doctorate, normally attained 5 years after graduation).(see Note 1 below.) Because of this, it is a distinctive feature of universitiesthat general, continuous and diversified development can take place there todo with various facets of research including the fostering of high-levelprofessional experts and up and coming researchers in all fields from thestart of general and specialized education after middle-school, and basic andapplied research in a wide range of fields, in ways not seen in any otherkind of research institution.In addition, within each universities there exist various organizationsincluding research institutes and centers for the promotion of researchcooperation with industry. In particular, in tandem with changes occurringin general society, recent years have seen the marked emergence ofuniversities as composite and complex management bodies.Further, as research organizations unique to Japan, with a similar sort ofcharacter as universities, there are national inter-university researchinstitutes, in which researchers from universities all over the countryparticipate, and make joint use of large -scale research facilities andequipment and systematically organized collections of materials. As well aspromoting academic research through, for example, joint implementation ofinternational cooperative projects, they also cooperate in education at74

graduate schools. (See Note 2 below)Note 1: As an institution of higher education, besides universities andinter-university research institutes, there are colleges, which offer a shortercourse of education than the 4-year university education, and colleges oftechnology, which offer a 5-year course of education that students can enterafter 10 years after start of compulsory education.Note 2: As of January 2002, in fields that cover the humanities and socialsciences, there were 15 such institutions: the High Energy AcceleratorResearch Organization, the Okazaki National Research Institute, theNational Astronomical Observatory, the Institute of Space and AstronomicalScience, the National Institute of Genetics, the National Institute of PolarResearch, the National Institute for Fusion Science, the National Instituteof Japanese Literature, the Institute of Statistical Mathematics, theInternational Research Center for Japanese Studies, the National Instituteof Informatics, the Research Institute for Humanity and Nature, theNational Museum of Ethnology, the National Museum of Japanese History,and the National Institute of Multimedia Education.University Administration and Its Establishment and OperationUniversities are run under the jurisdiction of the MEXT, and MEXT sets,through deliberation of experts, the basic standards for personnelorganization, the particular composition of academic programs, andfacilities and equipment, etc. for university establishment, and publicizesthese matters. There are three types of foundational bodies: the government,regional public organizations, and non-government organizations (whichbase themselves on public benefit-motivated school corporations), anduniversities established by all three are opened once they are recognized ashaving fulfilled the above basic standards, after examination by a nationaldeliberative council made of experts. Accordingly, all universities share thecommon point of having fulfilled the above -mentioned basic standards, butthey are distinguished by being different from each other in other features.Further, in tandem with the diversification of needs in greater societywitnessed in recent years, and with the formulation of guidelines for theabove-mentioned basic standards, the individual characters and distinctivefeatures of universities are developing apace.The mechanisms for the decision-making to do with the operation of theuniversities, are constituted by a combination of two organs: representative75

councils (faculty meetings, senate, etc.) and individual offices (the dean,president of the university etc.). How much power each of the two hasrelative to the other differs widely from university to university, but hitherto,there has been criticism that faculty meetings have tended to be able towield far too much influence, and in the report on the university reformbeing led by the government council, the need for clarifying the functions ofuniversities as organizations and their accountability, and particularly theneed for strengthening the leadership of the university president, have beenstressed. Because of this, the government is taking measures in recent yearsaiming towards the revitalization of the operation of the organization ofuniversities, through the enrichment of the support systems around theoffice of president in the area of personnel organization, and by allocatingbudget to the office of university president in the area of resources andfunding.Note 3: At present, besides these institutions, there is also a University ofthe Air, established under special legislation.S cope of Higher EducationThe numbers of students in higher education in Japan, and the proportionof students who go on to higher education is as shown in the tables below.The total number of undergraduate and postgraduate students is 2.703million, and the proportion of students who go on to higher education is40.5%. Of these, the number of students enrolled in graduate education isapproximately 216,000, and the proportion of graduates who go on aftergraduation to graduate school is 10.8%. As a result, the proportion ofpostgraduate students to undergraduate students is 8.7%, while the numberof postgraduate students per 1,000 members of the general population is 1.7people. Statistics have been drawn up to show the numbers of studentsenrolled in institutions of higher learning, but the scope from which suchstatistics are drawn varies from country to country, so that the ratio showncannot be seen as necessarily exact. Nevertheless, if one compares Japanwith the statistics of France, UK and the United States, as shown in thefigure below, while showing a relatively high number as the total populationin higher education, Japan shows low figures in comparison with thesecountries for the population in graduate education.76

Further, with regard to the numbers of teaching staff in higher education,and the proportion with regard to the numbers of researchers as a whole,please see Research System at Universities in this Chapter.Breakdown of students entering university education in Japan (Fiscal Year 2001)Undergraduate Graduate(Master ’sCourse)Graduate(DoctoralCourse)Numbers of entrants 604,000 73,000 17,000Rate of students who go on tofurther education (having eithergraduated or completedpreceding course of study)40.5% 10.8% 15.2%(School Basic Survey)Breakdown of students at university (Fiscal Year 2001)Undergraduate Masters students Doctoral students TotalNumbers enrolled 2,487,000 151,000 66,000 2,703,000(School Basic Survey)Breakdown of Students by Country, Number of Students Per 1,000 Members of thePopulation, Ratio of Postgraduate Students to Total Student PopulationCountry No. ofundergraduatestudentsNumber ofpostgraduatestudentsNumber ofundergraduatestudentsper 1,000membersofpopulationNumber ofpostgraduatestudentsper 1,000membersofpopulationRatio ofpostgraduatestudents tototal student(undergraduate andpostgraduatestudents)populationFrance1998 1,086,000 18.5 205,000 3.5 18.9%Germany(1998) 1,265,000 16.7 - - -Japan2001 2,487,000 19.6 216,000 1.7 8.7%UK (1999) 920,000 15.4 153,000 2.6 16.6%US1998 7,556,000 27.9 1,025,000 3.8 13.6%(deduced from the International Comparison of Educational Indicators 2002)Note: The scope for the numbers of undergraduate students is as follows:France: national universities (private universities do not possess the right to accorddegrees);Germany: universitiesJapan: 4-year universities;UK: universities that award the Bachelor ’s degree;US: total taken from numbers of undergraduate degrees obtained and numbers of studentsenrolled in non-degree programs.77

Research System at UniversitiesThe most basic organizations for education and research at universitiesinvolve undergraduate departments, and graduate school departments. Ingeneral, both students and teaching staff and researchers belong to these.From the standpoint of the system for research, graduate schools can besaid to play a particularly important role as nexuses of high level educationand research, including such aspects as the fostering of independentresearchers, and the development and maintenance of successors toresearch projects.With regard to the actual state of establishment of graduate schools, andtheir scale, distinctive features are discernible according to each and everyestablishing groups. For example, the rate of establishment is 100% fornational universities, 76% for public universities, approximately 68 % forprivate universities (looking at graduate schools that have programs up tothe doctoral courses, the proportion is 81% for national universities, 47% forpublic universities, and approximately 50% for private universities). Further,with regard to the total number of students, private universities hold 77% ofundergraduate students, and national universities hold 62% of postgraduatestudents (roughly 71% of postgraduate students enrolled in the doctoralprogram). The proportion of postgraduate students with regard to number ofundergraduate students is, in national universities, 28.7%, in publicuniversities 11.0%, and in private universities 8.7%.No.ofunivsNo. of universities and studentsUniversitieswithgraduateschoolsUniversitieswithdoctoralcoursesUndergraduatestudentnumbersMastersstudentnumbersDoctoralstudentnumbersRatio ofpostgraduatetoundergraduatestudentsNational 99 99 80 466,341 87,687 46,406 28.7%universitiesPublic74 56 35 97,453 7,215 3,540 11.0%universitiesPrivate 496 339 247 1,923,339 55,895 15,579 3.7%universitiesUniversity 1 0 0 n.a. 0 0of the AirTotal 670 494 362 2,487,133 150,797 65,525 8.7%(As at May 1, 2001. “Statistical Abstract 2002 edition,”)78

A closer look at the structural organization for research activities inuniversities shows that undergraduate and graduate schools are dividedinto about 3 to 4 different strata. For the minimum unit, especially inuniversities that have traditionally had graduate schools, a system ofresearch groups (koza) in which each specialized field is systematized indetail holds pride of place. In the past, this koza system at most universitieswas uniformly comprised of one professor and two to three other teachingstaff (associate professor, research associate, etc.), but at present there istendency for the composition and scale of such koza systems to become muchmore diverse, and the fields dealt with to be much more interdisciplinaryand flexible. The actual state of activities within each of these programsvaries according to the field and the university, but one typical way in whicheducation and research is carried out is for several postgraduate studentsand doctoral students to be regularly participating in the koza programs,and for each education and research activity to be pursued in an integralmanner.Further, in university research institutes (a designation that includes manyvarieties, including institutions that belong to undergraduate and graduateschools, and shared facilities used by researchers inside the university andthose open to all university researchers) and the above -mentionedinter-university research institutes as well, koza systems and comparableorganizational systems exist. Through collaboration with graduate schools,many of them carry out research activity with students as well.University research fundsOf the 16.010588 trillion yen Japan spends on R&D (FY1999), 3.2091trillion yen (or 20 percent) comprises university spending funded by thegovernment (1.6653 trillion yen, or 51.9 percent; national government,municipal bodies, special public institutions, national universitiesthemselves), private universities (1.4661 trillion yen, or 45.7 percent), andindustry (71.6 billion yen, or 2.2 percent).Compared to other major counties, the government burden in terms ofuniversity research in Japan is light, while funding by universities79

themselves (private universities) is more substantial. Industry shouldersrelatively little of the burden. Research funding from abroad is also limitedcompared to European countries for which there are statistics.France(FY1996)Million FFGermany(FY1998)Million DMJapan(FY1996)100 million yenUK(FY1996)Million Stg US(FY1996)Breakdown of university R&D funding by sectorGovernment Industry UniversitiesPrivateresearchinstitu-Foreign27,668(4,211)90.0%14,090(7,010)91.3%1,026(6,181)49.1%1,856(2,882)66.5%16,01967.5%980(149)3.2%1,200(597)7.8%49(295)2.3%188(292)6.7%1,6557.0%1,180(179)3.8%1,010(6,084)48.3%116(180)4.2%4,37518.4%tions162(25)0.5%757(115)2.5%- - 150(75)1.0%3(18)0.1%406(630)14.5%1,6727.0%0.37(2)0.0%226(351)8.1%Total30,747(4,680)100.0%15,440(7,682)100.0%2,089(12,584)100.0%2,792(4,335)100.0%- 23,721100.0%Million US$(National Science and Engineering Indicators 2000 National Science Board, U.S.A.)Note: Figures within brackets are values derived through conversion on thebasis of OECD purchasing power parity (converted by JSPS).The Japanese government’s spending is divided between the general andspecial accounts. The general account is the income and expenditurehandled as part of national finances, while the special account comprisesincome and expenditure deriving from special income sources and thereforehandled separately. Government assistance for private universities drawsfrom the general account only, but in the case of national universities,income from university hospitals and tuition fees paid to the government,etc., provide income to allow expenditure not only from the general ac countbut also from the special account. (However, because tuition fees, incomefrom university hospitals and other sources of income are not sufficient tocover all spending, more than half the university expenditure budget comesfrom the general account.)The FY2000 special account budget for national educational institutions was2.7028 trillion yen, of which 989.1 billion yen was allocated for science and80

technology costs and used to fund personnel, facility and other researchcosts.Research assistance for universities from the government’s general accountis paid out by the various ministries and agencies. No detailed figures areavailable, but more than 500 billion yen is allocated to national, public andprivate universities.In terms of spending on university research, a breakdown by type ofuniversity reveals that national universities receive 1.3952 trillion yen(around 43 percent), public universities 184.1 billion yen (around sixpercent), and private universities 1.6298 trillion yen (around 51 percent)(FY1999 actual spending; FY2000 Science and Technology ResearchSurvey).As noted earlier, research funding supplied by the government to nationaluniversities is drawn from the Special Account Budget for NationalEducational Institutions and the general account. The major categorieswithin the general account are personnel and property costs. Of the latter,education and research foundation school costs, which make up the bulk ofeducation and research costs, are those foundation costs allocated based onfactors such as university scale, including the number of teaching staff,students and university credits.The research funding from general account is expected to be more than 500billion yen. Main part of it is Science and Technology account, whichincludes competitive research funding like Grants-in-Aid for ScientificResearch and other subsidies.In the FY2001 budget, 326.5 billion yen was allocated for competitivefunding (including funds allocated to institutions other than universities).Main channels for competitive funding for scientific research were theGrants-in-Aid for Scientific Research administered by MEXT and the JSPS(158 billion yen), Core Research for Evolutional Science and Technology(CREST) operated by the Japan Science and Technology Corporation (40.4billion yen), MEXT special coordination funds for promoting science and81

technology (34.3 billion yen drawn from this funding), and Ministry ofHealth, Labour and Welfare scientific research subsidies (32.9 billion yen).These are generally funds which are allocated based on researcher requests.(Competitive funding is explained in more detail further on.)Grants-in-Aid for Scientific Research and other forms of competitive fundingwere originally limited to costs incurred in implementing research, but as ofFY2001, it will become possible to allocate a certain ratio of researchfunding (currently 30 percent) for indirect costs to the research institutionswith which researchers are affiliated. This channeling of funding intoresearch institute management and other expenses incurred throughresearch implementation is designed to ensure the more efficient andeffective use of competitive funding.Research assistance for private universities comes out of the government’sgeneral account, with some funding going through Promotion and MutualAid Corporation for Private Schools of Japan and some through the scienceand technology budgets of the various ministries and agencies, such as theMEXT science and technology budget described above.Funds are allocated to universities through Promotion and Mutual AidCorporation for Private Schools of Japan in the form of general subsidiescalculated based on teaching staff and student numbers and specialsubsidies focused on upgrading education functions, promotinginformatization, implementing international exchange, promoting lifelongeducation, and promoting university reform, etc. General subsidies drew225.6 billion yen from the FY2000 budget, while special subsidies absorbed81.5 billion, making up a total of 307.1 billion yen.R esearch performanceIt is difficult to demonstrate research performance through statistics, butthe number of Nobel prizes and Fields Medal laureates, research reportsand thesis citations are produced here as a reference. A total of 527 Nobelprizes have been presented for physics, chemistry, physiology and medicine,and economics, of which there have been three Japanese laureates inphysics, three in chemistry, and one in physiology and medicine, making a82

total of seven. This brings Japan to 12 th below the US, the UK, Germany,France, Sweden, Switzerland, the Netherlands, the former Soviet Union,Denmark, Austria, and Canada.Nobel PrizesPhysics Chemistry PhysiologyandmedicineEconomicsSubtotalFieldsMedalUS 71 49 81 32 233 11UK 20 24 24 6 74 6Germany 21 27 15 1 64 3France 11 7 8 1 27 7Sweden 4 4 8 2 18 1Japan 3 3 1 0 7 3The Japanese laureates and the institutions in which research that wasawarded prizes was principally carried out, are as follows:Prize Year Name Research InstitutionNobel Prizein Physics1949 Hideki Yukawa Kyoto Imperial University OsakaUniversity1965 ShinichiroInstitute for Physical and ChemicalTomonagaResearch Tokyo University ofEducation1973 Leo Esaki Sony CorpIBM Thomas J. WatsonNobel PrizeinChemistryNobel PrizeinPhysiologyandMedicineNobel PrizeinChemistryFieldsMedalResearch Center1981 Kenichi Fukui Kyoto University1987 Susumu Tonegawa Basel Institute for Immunology2000 Hideki Shirakawa Tokyo Institute of Technology2001 Ryoji Noyori Kyoto UniversityNagoya University1954 Kunihiko Kodaira Institute for Advanced Study atPrinceton1970 Heisuke Hironaka Harvard University1990 Shigefumi Mori Kyoto University · Nagoya UniversityIn terms of research papers, the ISI (Institute for Scientific Information)suggest that of the theses, which appeared in the world’s major scientificjournals in 1998, around 10.3 percent, or 66,095, were Japanese,83

establishing Japan in second place to the United States, which boasted210,595 such papers. However, looking at the 1994-1998 relative citationrate, which expresses the frequency of citation as a share of number ofpapers, where the US stood at 1.50, the UK at 1.22 and Germany at 1.06,Japan came in at a comparatively low 0.82.Exact measurement by uniform methods of university research performanceis difficult. But, for example, with regard to the number of papers includedin international science magazines and the number of times papers havebeen cited, according to the National Citation Report (NCR) put out by theISI, from January 1981 to June 1997, over a period of 16 years, Japaneseresearchers published a total of 737,039 papers. Of this figure, paperspublished at universities amounted to 80.0%, while papers published atnational research institutes amounted 18.2%, and papers published atprivate corporations amounted to 16.6 %. With regard to the number oftimes papers was cited, those published at universities hold 7.5 % of thetotal figure while national research institutes etc. hold 7.3 %, and privatecorporations hold 6.3%.In October 2000, the ISI published the results of a survey into “high impactpapers”, those with a very high rate of citation, focusing for their study onthe years 1981-1988. According to this survey, the number of high impactpapers published worldwide amounted to 76,998, and the number of suchpapers published in Japanese institutions amounted to 2,992. The followingtable shows the top 20 institutions in Japan where such high impact paperswere published.Name of InstitutionNo. of high Number of Average rate ofimpact papers times cited citation University of Tokyo 441 86,348 195.80 Kyoto University 347 88,405 254.77 Osaka University 247 63,729 258.01 Tohoku University 160 21,545 134.66 Nagoya University 150 23,317 155.45 Tokyo Institute of Technology 105 13,118 124.93 Kyushu University 96 16,963 176.7084

NTT Corporation 97 10,681 110.11 Hokkaido University 81 17,859 220.48 University of Tsukuba 81 27,328 337.38Inst. of Physical andChemical ResearchInstitute of Space andAstronomical Science95 11,749 123.6751 5,439 106.65 Hiroshima University 49 8,821 180.02 Kobe University 47 37,607 800.15National Cancer Center 42 15,192 361.71 Keio University 33 9,797 296.88 Chiba University 30 5,082 169.40Okazaki National ResearchInstitute29 20,652 712.14NICHIA Corporation 29 4,629 159.62Osaka Bioscience Institute 29 15,489 534.10Note: denotes University and Inter-University Research Institute)R ecent Policies to Promote ResearchPolicies to promote research at universities are being followed in a variety ofdirections: revitalization, sophistication and diversification of universitiesboth in their organization and their activities. At the same time, a closerelationship is being pursued by the government as a whole with the Scienceand Technology Basic Plan.Within such developments, recent policy movements include: 1) in the areaof promotion of research activity, an increase in competitive fund ing,enlargement of research evaluation; 2) in the area of qualitativeimprovement of researchers, the enrichment of university graduate schools,an emphasis on the importance of fostering young researchers, an increasein the mobility of researchers; and 3), in the area of improvement of theresearch system, the strengthening of organizational function, and animportance put on the formation of Centers of Excellence (COE).The idea of promotion of the future formation of COE on a level with mostdistinguished educational institutions in the world was broached in 2001 bythe MEXT. This idea involves the selection of leading institutions, takinginto account their research and education performance, across a wide85

variety of fields, as central strongholds of education and research, and moreparticularly beefing up their funding. Under the policy of implementationchiefly by the Japan Society for the Promotion of Science, the project will bepushed forward with a view to its materialization from the fiscal year 2002.Further, with regard to the legal position of national universities, a shift intheir status as institutions that belong directly to the government toindependent administrative institutions is planned. The reason behind thisinclude the fact that numerous other government research institutions havealready made such a shift, as well as the fact that it is in line with theGuidelines for Central Government Reform being pursued by thegovernment as a whole. For this to come about, the establishment ofsuitable configurations for the promotion of university reform as it has beenpursued up to now with the objective of enriching education and research isseen as vital. At present the idea is to achieve policy decisions by 2003, anddiscussions are being held amongst parties concerned.Transforming universities into independent administrative institutionsIn January 1999, the government created the Guidelines for CentralGovernment Reform and decided that some national institutions would betransformed into independent administrative institutions as part of thisprocess. This entails granting government organizations corporate statusand having them operate on the basis of self-responsibility andprivate-sector management practices such as corporate accounting andperformance-based wages, thus ensuring more flexible and efficientgovernment. When the Guidelines were determined, shifting nationaluniversities to independent administrative institution status was an issueleft pending, but in the fall of 1999, the government decided to institutespecial measures to take national universities in that direction.It has also been decided by Cabinet Resolution that the issue of transfer ofstatus should be considered as part of university reform, and deliberationsare underway, incorporating debates on university reform that had beengoing on before the administrative reform issues arose. These include thecreation of internationally competitive universities, more dynamicuniversity operation, the development of more individual universities, and86

the upgrading of education and research, all of which go beyond theadministrative reform perspective.(3) Government R&D measuresScience and Technology Basic Law and Science and Technology BasicPlan(a) Science and Technology Basic LawThe law underpinning Japan’s R&D measures is the Science and TechnologyBasic Law, formulated on November 15, 1995. This law identifies thepromotion of science and technology as a key policy theme and was createdto address the various issues involved in making Japan a nation foundedupon highly creative science and technology. It therefore aims to improveJapan’s science and technology situation in terms of backward basicresearch, the poor research environment in universities and nationalexperimental research institutions, and young people’s drift away fromscience, and instead encourage the domestic development of leading scienceand technology, the creation of new industries, and the resolution ofproblems confronting humanity as a whole, such as the environment, food,energy and medical care. The government is directed to take a number ofmeasures, including the following: (1) the balanced promotion of diverseR&D; (2) the fostering and securing of researchers, etc.; (3) the developmentof research facilities and equipment; (4) the promotion of R&D-relatedinformatization; and (5) the promotion of research exchange.(b) Science and Technology Basic PlanThe first Science and Technology Basic Plan was adopted as a CabinetResolution in August 1996 based on the above Basic Law. It stipulated basicmeasures and guidelines related to science and technology for the five yearsfrom 1996, identifying as its basic direction the vigorous advance of R&D inline with socioeconomic needs and the active promotion of basic researchcreating intellectual property able to be shared by the human race. Toachieve these ends, the formulation of a number of policies was suggested,including the construction of a new R&D system, the laying of better R&Dfoundations, the promotion of science and technology study, and theformation of broad public consensus. In regard to government R&D87

investment, around 17 trillion yen was to be allocated for science andtechnology spending over the five -year period, in relation to which thegovernment was to take the necessary fiscal measures.Many of the measures indicated in the plan, including the quantitative goalof 17 trillion yen, were realized over the five years from 1996. However,because new issues requiring resolution also became apparent, thegovernment decided in March 2001 on a second Science and TechnologyBasic Plan designed to continue the reforms included in the first Basic Planand respond appropriately to the new issues emerging over the five -yearperiod. The new plan lays out a basic approach to science and technologypolicy as of FY2001.The second Basic Plan presents a three-plank basic vision for Japan. Japanis to aim to become “a nation creating and utilizing new knowledge andwisdom to contribute to the world (creation of wisdom),” “a nation advancingwith international competitiveness and sustainable progress (vitality fromwisdom),” and “a nation securing a safe, and high-quality lifestyle for itscitizens (affluent society achieved through wisdom).” The basic approach topromoting science and technology would be: (1) prioritized resourceallocation aiming for effective R&D investment; (2) the pursuit ofmechanisms which will produce excellent achievements on a global standardand greater infrastructure investment to this end; (3) ensuring the flowback of science and technology achievements to society; and (4) theinternationalization of science and technology activities. The plan alsoindicated that in order to promote greater and more efficient governmentinvestment, 24 trillion yen would need to be allocated to government R&Dinvestment (one percent of GDP) over the five years from 2001.Priority policies were identified as the strategic prioritization of science andtechnology, science and technology systemic reform toward the creation andutilization of excellent achievements, and promotion of theinternationalization of science and technology. These are explained in detailbelow.88

(i) Strategic priority setting in science and technologyPromotion of basic research- Stress high-quality basic research which explores new knowledge andopens the way to the futurePrioritization of R&D on national/social subjects- Focus placed on the following four areas in particular, prioritizing theallocation of research funds into these(1) Life sciences (contribution to disease prevention and cure, as well asresolution of the food problem)(2) Information and telecommunications (research directly linked withexpansion of information and high tech industry and creation of anadvanced information communications society)(3) Environmental sciences (research vital to human health, conservation ofthe living environment, and maintenance of the foundations for humanexistence)(4) Nanotechnology and material science/technology (foundations withmajor repercussions for a wide range of areas)In addition to these four areas, energy, manufacturing technology, socialinfrastructure, and frontier science and technology are also consideredfundamental to Japan’s existence, and in pushing forward with these,priority will be placed on those areas where government efforts are critical.Focus on emerging fields- In recent years, the fusion of different areas and the development of newscience and technology have created many new fields. Where a field,while small, is expected to experience substantial growth in the future,the flexibility will be built in to make an appropriate response.Recent examples: Nanotechnology, bioinformatics, system biology, andnanobiology(ii) Science and technology system reforms to create and utilize excellentresultsR&D system reforms- Doubling of competitive funding and introduction of indirect cost funding(30 percent)- Expansion of personnel mobility: Improvement of fixed-tenure system forfostering young researchers (extension of term from three to five years),89

expansion of recruitment system based on inviting public application andfixed-tenure system- Promotion of independence of young researchers: Prioritized expansion ofcompetitive funding for young researchers, establishment of conditionsenabling associate professors and research associate to researchindependently- Reform of evaluation system: Amendment of National Guideline on theMethod of Evaluation for Government R&D, reflection of assessmentresults in resource allocation, etc.- Flexibility introduced into budget allocation for R&D, modes ofemployment made more flexible- Diverse career paths opened out, expansion of research opportunities foroutstanding foreign researchers, improvement of conditions for womenresearchers, etc.Enhancement of industrial technology capacity and improvement ofmechanisms for industry-academia-government collaboration- Fostering and securing human resources to promoteindustry-academia-government collaboration, improvement of databaseson research and human resource information- Promotion of business applications for research results from publicresearch institutions: establishment of proprietary licenses forgovernment patents, creation of transfer rules, expanded utilizationthrough transfer to technology licensing organizations- Formation of “intellectual clusters” in local areas, development ofconditions for science and technology promotion in local areasFostering of outstanding science and technology human resources andreform of science and technology education- Seek to create international-standard universities and graduate schools,improve the quality of education and research to foster original andcreative researchers and engineers with a broad outlook and practicalskills. Promote self-monitoring and assessment by universities,third-party evaluations and announcement of results.Open channels to society in regard to science and technology activities- Foster interest in science and technology through elementary andsecondary school education. Improve science education in universities.Promote hands-on learning, internships at industrial sites, etc., and the90

use of lecturers from out in the field.Science and technology ethics and social responsibility- The development of life science has led to the emergence of science andtechnology deeply related to the question of human dignity, such asorgan transfers after brain death and human cloning technology,creating major problems in terms of bioethics. The further developmentof life science, information technology and other science and technologyis expected to impact heavily on society and the individual, and it will bevital to build social consensus and create ethical rules and internationalcollaboration.- Researchers and engineers must be strongly aware of their responsibilityto society and the public good, as well as the relation of the relevantscience and technology to society as a whole, working to instill a strongsense of morality.- Academic societies, etc., should create guidelines on ethics, and anethical perspective should be built into engineer qualification recognition.Educational content at higher educational institutions should beimproved.- Research institutes and researchers should regard explanations tosociety concerning research content and results as a basic responsibility,and research institutes should engage in public disclosure, hold publiclectures, transmit and receive information via the Internet, etc.,enhancing two-way communication.- Organizations involved with science and technology should evaluate theimpact of potential accidents and problems, and engage in managementwhich minimizes such risks. They should also work to foster the ethics ofresearchers and engineers.Development of foundations for science and technology promotion- Systematic and prioritized development of facilities and equipment:Prioritize the development of facilities and equipment at universities,etc., form facility development plans, and implement themsystematically.- Research facility assistance: Provide support by employing the necessaryassistants for individual research projects within research laboratories.Secure common assistance and particularly advanced assistance byconcentrating this within research institutes.91

- Development of intellectual foundations: Strategic and systemicdevelopment of researchers’ R&D activities and intellectual foundations(research materials, measurements and standards, measurement andanalysis, experiment and evaluation methods, related advancedequipment, related databases, etc.)- Development of research information infrastructure: Installation ofLANs, network upgrading and other upgrading work to the forefront ofsophisticated informatization- Improvement and standardization of intellectual property rights systems- Development of manufacturing infrastructure: Creation of databases onthe high-level skills of trained workers and case studies on pastsuccesses and failures- Promotion of the activities of academic societies and associations(iii) Promotion of internationalization of science and technology activitiesProposal to international community and implementation ofinternational cooperation projects (resolution of global-scale issues andbasic research for which international efforts are necessary)Strengthening international information communication capacityInternationalization of domestic research environmentScience and technology and scientific administration systemsThe January 2001 reorganization of central government ministries andagencies was accompanied by change in science and technologyadministration. A new Council for Science and Technology Policy wasestablished within the Cabinet Office to handle overall policy planning,drafting and coordination for science and technology for the government as awhole. The Ministry of Education, Science, Sports and Culture (Monbusho),which was responsible for scientific research administration, and theScience and Technology Agency, which dealt with other science andtechnology administration, were merged to create the Ministry of Education,Culture, Sports, Science and Technology (MEXT). MEXT is the mainministry in terms of Japan’s R&D activities, dispersing around two-thirds ofthe government’s R&D budget.92

Council for Science and Technology PolicyThe Council for Science and Technology Policy was established within theCabinet Office in January 2001 based on the Law for Establishing CabinetOffice (Law No. 89, 1999) to study and deliberate on key policies for thecomprehensive and planned development of science and technology, to studyand debate on the allocation of the science and technology budget, humanresources and other resources necessary for science and technologydevelopment, and to evaluate large-scale and other nationally importantR&D projects.The Council is headed by the Prime Minister, and as at January 2002comprised the Chief Cabinet Secretary, the Minister of State for Science andTechnology Policy, the Minister of Public Management, Home Affairs, Postsand Telecommunications, the Minister of Finance, the MEXT Minister, theMETI Minister, the President of Science Council of Japan, and seven otherkey figures. It meets around once a month.Ministry of Education, Culture, Sports, Science and Technology (MEXT)(a) Establishment and dutiesThe MEXT Establishment Law describes MEXT’s mission as to fostercreative human resources with a rich humanity through the promotion ofeducation and lifelong learning; the promotion of science, sports and culture;the comprehensive promotion of science and technology; and the appropriateconduct of administrative affairs in regard to religion.The same law lays down the duties necessary for MEXT to fulfill theseresponsibilities. Key science-related duties are as follows:• Those related to science promotion• Those related to fostering researchers and improving quality• Those relating to the dissemination of science and technology knowledgeand promotion of public interest and understanding.MEXT is also in charge of higher education measures, with the dutiesnecessary to fulfill this responsibility including planning, drafting,assistance and advice in regard to the promotion of university education,financial assistance for university education, and the establishment and93

closure of universities.(b) OrganizationMEXT comprises the Minister ’s Secretariat, the Director-General forInternational Affairs, the Lifelong Learning Policy Bureau, the Elementaryand Secondary Education Bureau, the Higher Education Bureau, theScience and Technology Policy Bureau, the Research Promotion Bureau, theResearch and Development Bureau, the Sports and Youth Bureau and theAgency for Cultural Affairs. The three main bureaus involved in executingduties related to science and technology and academia are as follows.Science and Technology Policy BureauThe Science and Technology Policy Bureau is responsible for the planningand drafting of basic science and technology policies. The Bureau is alsoresponsible for the formulation of research and development programs andpromotion of research evaluation, training of researchers and technicians,regional science and technology promotion, increasing understanding ofscience and techno logy, the promotion of a comprehensive policy oninternational research exchange, and duties related to safety systems fornuclear reactors for experimental research and radioactive isotopes, etc.Research Promotion BureauThe Research Promotion Bureau is responsible for the formulation ofpolicies to promote cross-field research such as encouraging inventions,promoting the application of research results and cooperation amongindustries, academia and government, improving the research environmentand R&D infrastructure by, for example, enhancing research informationinfrastructure, and performing work related to fundamental research. TheBureau also formulates policies to promote scientific research, including theestablishment of scientific institutions and the provision of assistance forscientific research, and performs work related to basic and fundamentalresearch and development in such areas as IT, life sciences, material scienceand quantum and radiation research.Research and Development BureauThe Research and Development Bureau is responsible for promoting94

esearch and development centered on large -scale projects, such as researchand development on disaster prevention, earthquakes and volcanoes, andthe ocean and the earth, the promotion of South Pole observation, theInternational Space Station Program and other research, development andutilization of space, research on nuclear fusion and research anddevelopment on nuclear power, including the development of nuclear fuelcycles. The Bureau is also responsible for areas related to nuclear energypolicy, including the peaceful use of nuclear energy.(c) BudgetPlease refer to “(3) University research funds” in “2. University researchactivities” in this chapter.(d) Council for Science and Te chnologyThe Council for Science and Technology has been established within MEXTto carry out research and deliberations on important matters related to theoverall promotion of science and technology in response to requests from theMEXT Minister. As at January 2002, the following subcommittees had beenestablished under the Council to engage in research and discussion onparticular themes.Research Planning and Evaluation SubcommitteeResources SubcommitteeScience SubcommitteeOcean Development SubcommitteeGeodesy SubcommitteeEngineer SubcommitteeTechnology and Research Infrastructure SubcommitteeBioethics and Safety SubcommitteeSubcommittee for the Promotion of InternationalizationHuman Resources SubcommitteeR &D measures by other ministriesThe total science and technology funding requested in the FY2002 budgetwas 3.5387 trillion yen, of which MEXT’s portion accounts for 2.2644 trillionyen, or around 64 percent. Other ministries making substantial science and95

technology funding requests were the Ministry of Economy, Trade andIndustry (597.2 billion yen), the Defense Agency (143.5 billion yen), theMinistry of Health, Labour and Welfare (128.1 billion yen) and the Ministryof Agriculture, Forestry and Fisheries (122.4 billion yen). The R&D-relatedprograms operated by these ministries are as follows (Defense Agencyprograms are not included).• Ministry of Economy, Trade and Industry (METI)METI’s mandate is to pursue economic and industrial development byboosting private-sector vitality and smoothly promoting external economicrelations, as well as securing stable and efficient supplies of mineralresources and energy (METI Establishment Law). In terms of science andtechnology, METI handles comprehensive policies for mining andmanufacturing science and technology, R&D technical guidance, advice andthe dissemination of results, and the development of facilities andequipment for R&D and commercialization. Specific duties includeassistance for the R&D at the National Institute of Advanced IndustrialScience and Technology, as well as university research undertaken as, forexample, industry-academia-government cooperation and the transfer ofresearch results.• Ministry of Health, Labour and WelfareThe mission of the Ministry of Health, Labour and Welfare is to safeguardand improve national standards of living, and to boost and promote socialwelfare, social security and public hygiene, improve labor conditions andother aspects of the environment in which workers are employed, and securejobs as a means of contributing to economic development. The Ministry’sR&D duties include research on the prevention and cure of disease, andpharmaceutical and medical equipment R&D. The Ministry assistsuniversities and other research institutes through specific disease researchfunding and health science research grants drawn from the science andtechnology account.• Ministry of Agriculture, Forestry and FisheriesThe mission of the Ministry of Agriculture, Forestry and Fisheries is tosecure a stable food supply, develop agriculture, forestry and fisheries,96

promote the welfare of those involved in said industries, develop rural andfishing villages and remote regions, exploit the diverse functions ofagriculture, sustain and cultivate forests, boost forest productivity, andappropriately conserve and manage marine resources. In terms of R&D, theMinistry engages in basic research and technological development related toagriculture, forestry and fisheries.Competitive fundingA total of around 326.5 billion yen is allocated for competitive fundingprovided based on researcher applications, and around 80 percent of thesefunds are under MEXT jurisdiction.Expansion of competitive funding has been given priority among thegovernment’s science and technology measures. Based on the first Scienceand Technology Basic Plan, which began in FY1996, competitive fundingvirtually doubled over the plan’s five-year duration. The second Basic Plantoo calls for fair and highly transparent evaluations to boost researchstandards, ensuring that research is conducted in a competitive R&Denvironment, and stipulates the doubling of funding and the introduction ofindirect cost funding (30 percent).Main programs supported by competitive funds (Budgets over 10 billion yen)ProjectGrants-in-Aidfor ScientificResearchStrategicCreativeResearchPromotionProject(tentativetranslation)Institution(Ministry withjurisdiction)MEXT, JSPS(MEXT)Japan ScienceandTechnologyCorporation(MEXT)Program outlineResearch subsidies for the substantialadvance of creative and pioneeringresearch in all areas from the humanitiesand social sciences through naturalscience.Promotion of basic research in fourpriority areas by industrial, academia andgovernment researchers based onstrategic objectives laid down by thegovernment in line with economic andnational living needs as well as on scienceand technology policy, with the ultimateaim of forming intellectual assets whichwill lead to the creation of new industries.(Unit: Million yen)FY2001budget157,96540,42097

SpecialCoordinationFunds forPromotingScience andTechnologyHealthScienceResearchGrantsResearch forthe FutureProgramFundamentalResearchPromotionServiceMEXTMinistry ofHealth,Labour andWelfareJSPS (MEXT)TheOrganizationforPharmaceutical Safety andResearchReform of science and technology systemsand strategic responses to promisingareas and fields toward the creation andutilization of outstanding results in linewith Council of Science and TechnologyPolicy guidelines.Subsidies for researchers attached tonational and private experimentalresearch institutes and universitiesconducting health science research.Research is divided into four fields and 25research areas.With universities taking the initiative,prioritized promotion of creative scientificresearch contributing to the future ofJapan, aiming to resolve global-scaleissues, promote socioeconomicdevelopment, and realize an affluentlifestyle for the people of Japan. (No newthemes accepted as of the end of FY2001.)Basic research program providing fundingto promote the development of technologyrelated to the production ofpharmaceuticals contributing tomaintaining and promoting public health,recognizing the importance of basicresearch in line with advances in scienceand technology in recent years in healthand medical care.34,31032,88518,70211,286R&D evaluationThe Council for Science and Technology Policy created the NationalGuideline on the Method of Evaluation for Government R&D in November2001.The second Science and Technology Basic Plan, formed in March 2001, notedthat to realize sustained domestic development and ensure that Japanbecomes a country commensurate with its international status by, forexample, resolving social and economic issues and contributing to the worldthrough the creation and use of wisdom and knowledge, it was vital toreform science and technology systems. Reform of evaluation systems was akey pillar in realizing the kind of R&D systems which will createoutstanding results. To these ends, the Basic Plan notes that instituting98

appropriate R&D evaluation is of critical importance, that evaluation isconsidered an integral part of R&D activities, and that evaluations need tobe made standard practice. Accordingly, the National Guidelines on theMethod of Evaluation for Government R&D, which were formed in 1997based on the First Science and Technology Basic Plan, were revised. Thenew guidelines added R&D policies and researcher performance to theformer R&D themes and institutions, and also included the followingimportant improvements: securing the fairness and transparency ofevaluations, appropriately reflecting evaluation results in the allocation offunds and personnel, etc., securing the necessary evaluation resources, andimproving evaluation mechanisms.MEXT policy evaluationsIn June 2001, MEXT created the MEXT Guidelines for Policy EvaluationImplementation, using FY2001 as an experimental stage in conductingevaluations. MEXT’s aim in this project was to clarify goals and evaluateresults in order to change the mindset of MEXT staff and boostadministrative transparency by providing the public with accurateinformation.Evaluations were conducted in three areas: research on priority themes,new programs, and extended programs. In 2001, basic study abilityimprovement and the strengthening of international competitiveness ingenome science were addressed in the first, promotion of student exchangein cutting-edge fields, strategic nanotechnology efforts and 25 other newthemes in the second, and JSPS Fellowships, Grants-in-Aid for ScientificResearch and 48 other programs in the third.(4) Administrative reformReform of central government institutionsBased on the final report submitted by the Administrative Reform Councilin December 1997, the Basic Law on the Administrative Reform of CentralGovernment was passed in June 1998. The main pillars of the law were asfollows: (1) institution of political guidance; (2) elimination of the damagecaused by sectionalist administration; (3) improvement of administrative99

transparency and introduction of self-accountability; and (4) institution of aslimmer government. Specific measures for improvement includedclarification of the Prime Minister ’s authority to propose basic policies,establishment of a Cabinet Office, measures for overall coordination by theCabinet Office and policy coordination among the ministries, reorganizationof administrative bodies based on their duties, implementation of policyevaluation, introduction of independent administrative institutions, and a25 percent cut in the number of civil servants.In January 2001, central government institutions were reorganized basedon the above law, merging the Monbusho and Science and TechnologyAgency as part of a move which reduced the 22 ministries and one Office toone Cabinet Office and 12 ministries. In April 2001, the National ScienceMuseum, the National Institute of Advanced Industrial Science andTechnology, the National Institute for Environmental Studies and 56 othergovernment institutions were given independent administrative institutionstatus. National universities will also be given this status as part of thesame measure.Independent administrative institutions (IAIs) engage in those duties andprograms which must be steadily implemented for the sake of the public,such as maintaining standards of living and a stable socioeconomy, butwhich do not need to be directly handled by the government. The IAIs wereestablished to ensure the efficient and effective conduct of such duties andprograms where these would not necessarily be conducted if left to theprivate sector, or where one key actor needs to implement said measures orprograms exclusively. IAIs can allocate their own budgets, execute theirduties as they see fit and engage in their own planning. At the same time,performance evaluations and information disclosure are also obligatory.Reform of special public institutionsIn December 2000, new Administrative Reform Guideline were formulated,stipulating (1) reform of special public institutions, (2) fundamental reformof national and local civil servant systems, (3) introduction of anadministrative evaluation system, and (4) review and improvement of publicaccounting.100

In regard to the first of these reforms, programs and organizationalstructures were revised for all special public institutions. As a result, theReorganization and Rationalization Plan for Special Public Institutions wasadopted by the Cabinet in December 2001, with 163 special publicinstitutions reorganized. The 45 mutual aid associations will be made intocorporations separate from government policy implementation institutions,but of the remaining 118 special public institutions, the government decidedto close 17 down, privatize 45 and convert 38 into 36 independentadministrative institutions.It was decided to turn the JSPS into an independent administrativeinstitution, and issues requiring review were identified in regard toresearcher training and exchange and research assistance (Grants-in-Aidfor Scientific Research). (For details, please see Chapter II. Overview of theJSPS.)101

Government Science and Technology System102

Chapter II. Overview of the Japan Society for the Promotion of Science(1) PurposeThe Japan Society for the Promotion of Science (JSPS) Law defines thepurpose of the society as to subsidize scientific research, assist researchers,promote international scientific cooperation, and engage in other programsrelated to scientific development, thus contributing to scientificadvancement (Article 1).( 2) Legal status of the JSPSThe JSPS has been granted the status of a special public institution basedon Law No. 123, which was promulgated on August 1, 1967. In other words,it is an organ established under separate legislation to undertake specificpublic programs under government supervision.In FY2003, the JSPS will be reorganized into an independentadministrative institution based on the Reorganization and RationalizationPlan for Special Public Institutions adopted by the Cabinet in December2001. (Details are explained in the last pages of this chapter.)( 3) History of the JSPSThe JSPS was originally founded in 1932 as a non-profit foundation throughan endowment granted by Emperor Showa, conducting research based ondonations from private companies and government subsidies. After WWII,the temporary suspension of subsidies forced the JSPS to trim back itsprograms, but programs were subsequently launched in line with Japan’sbasic science policies. In 1967, the society was reorganized into a specialpublic institution stipulated by law-- a status which it has maintainedthrough to the present day.Establishment as a non- profit foundationThe Great Depression which began in 1929 spread as far as Japan, where ittook the form of the so-called Showa Depression. Momentum gathered to103

promote scientific research as a way of lifting the country out of its slump,and various recommendations were made. In 1931, the Imperial Academysubmitted to the government an establishment prospectus and guidelinesregarding the establishment of a scientific advancement organization,seeking the foundation of such an organization in Japan. Recommendationsconcerning assistance for scientific research were passed unanimously byboth the House of Peers and the House of Representatives, the two bodiesthat formed the Imperial Diet. The Scientific Research Council under theauspices of the Minister of Education, Science and Culture (Monbusho) alsosubmitted the recommendation on the promotion of scientific research to thePrime Minister, the Minister of Finance and the Monbusho’s Minister.Concrete consideration of the establishment of a new institution based onthese recommendations was immediately launched by the relevantorganizations. The Imperial Academy created a proposal for a “TheFoundation for the Promotion of Scientific and Industrial Research” whichwould use subsidies from government and interest from industry donationsto conduct scientific assistance programs. Drawing on this concept, theMinistry of Education began establishment preparations, including arequest for the foundation of a “Japan Society for the Promotion of ScientificResearch” in its FY1932 budget submission.In August 1932, the Minister of Education was notified by the ImperialHousehold Minister of the endowment of 1.5 million yen granted by theEmperor to subsidize a fund for the promotion of scientific research. Thenext year, the government decided to provide a scientific promotion fund of20,000 yen. In December 1932, with these funds as its basic assets, theJapan Society for the Promotion of Science was established with HisImperial Highness Prince Yasuhito Chichibu as president.The main duties of the JSPS at the time of its establishment were (1)assistance for individual researchers; (2) implementation of syntheticresearch (industry-university cooperative research projects); (3) studies,proposals, and publishing; and (4) research institute establishment andcommissioned research.104

Postwar reorganizationUnder government by the Allied Occupation, scientific research systems toowere reformed, with the The Scientific Advisory Group discussing thereorganization of the Imperial Academy, the The National Research Councilof Japan and the JSPS. In the case of the JSPS, the result was amemorandum to the Ministry of Education which suggested that: (1) theJSPS be positioned as a scientific promotion group of a private-sectornature; (2) the JSPS be placed in charge of those programs from among theduties of the Science Council of Japan which would be appropriately carriedout by a private group; and (3) that the structure and executive leadershipof the JSPS be reorganized to meet these objectives.Accordingly, JSPS organization and programs were completely reorganizedand government subsidies reduced, placing a greater weight onindustry-university cooperative research committees and commissionedresearch funded through donations.JSPS fellowship program for young Japanese scientists (ShoreiKenkyuin) and US- Japan Cooperative Science Program inaugurated.(a) JSPS fellowship program for young Japanese scientistsIn 1957, the JSPS submitted to Prime Minister Tanzan Ishibashi a list ofdemands entitled “Establishment of a Basis Scientific Research System” asone policy for promoting basic science in Japan. In the report, the JSPSrequested that to establish research mechanisms for Japanese basic scienceand promote this, the government should immediately begin studies andconsiderations on five key points, and work with the Science Council ofJapan to design appropriate solutions. One of the five key points was theintroduction of grants for research visit.In response, the Ministry of Education included in its 1959 budgetsubmission funding for research visit and research fellowships for youngJapanese scientists as new JSPS programs, and this funding was dulygranted. As a result, the JSPS again took up a role in promoting Japanesescience, with more than half its income deriving from government subsidies.The Grants for Research Visit Program defrayed the travel costs and wage105

losses of researchers participating in joint research which required anumber of researchers to gather long-term in a particular research instituteto engage in research. The research fellowship program provided grants tostudents/researchers for their doctoral and postdoctoral works so that theycould concentrate on their research without worrying about living costs atthat point in time when their research activities were the most vigorous,and equated with the post-doctoral fellowships offered by other countries.The JSPS grants for foreign researchers to visit Japan also commenced in1959 (reorganized in 1973 as Invitation of Foreign Scientists Program).Recognizing the urgency of international research ties and cooperation,government subsidies were provided to foreign researchers to allow them toparticipate and cooperate in joint research in Japan as a means ofpromoting research progress in respective areas, as well as of effectivelypromoting international scientific exchange.(b) US-Japan Cooperative Science Program and US-Japan CooperativeEducation and Culture ProgramOn June 26, 1961, a joint communiqué was issued based on talks betweenJapanese Prime Minister Hayato Ikeda and US President JF Kennedy. Thecommuniqué noted that leaders had agreed to establish a committee toconsider culture- and education-related cooperation between the US andJapan, as well as a committee to study means of promoting scientificcooperation. Based on this agreement, consultations were held between thetwo governments (in the case of the latter, between Ministry of ForeignAffairs and the Ministry of Education from the Japanese side, and theDepartment of State and the National Science Foundation from the US side),with modes and methods of program implementation gradually emerging.As a result, the US-Japan Committee on Scientific Cooperation wasestablished, meeting for the first time in Tokyo in December 1961, and thenin Washington DC in May 1962. Seven joint panels were set up throughthese meetings, with the Ministry of Education given jurisdiction over fiveand the JSPS designated as the primary agent for implementation. Thiskind of international cooperation was a first for both the JSPS and the USNational Science Foundation, and became a model for subsequent bilateralscience exchange.106

Establishment of JSPS as a special public institutionThe JSPS was originally established as a non-profit foundation, butdistanced from government scientific promotion policies after the war with,for example, a reduction in government subsidies. However, as of the late1950s, the inauguration of the JSPS fellowship program for young Japanesescientists and the US-Japan Cooperative Science Program saw the JSPStaking on a more substantial role in government scientific promotion policy.Consequently, the Japan Society for the Promotion of Science Bill wasadopted by Cabinet resolution on March 28, 1967, positioning the JSPSunder its own legislation. The bill was introduced to the Diet on April 21.Reasons for presenting the bill were summarized as follows:(…) Academia and many other quarters of society are pressingstrongly for the country to respond swiftly to these changes anddevelopments in research activities by designing effective andappropriate measures in the various areas, such as support forscientific research, development of the research environment,promotion of international scientific cooperation, and the fosteringand securing of researchers, thus setting in place the necessarymechanisms to promote scientific development programs.Some of the scientific development programs in question requireflexible operation, and there are in fact many cases where, given thisnature, it is more appropriate to entrust implementation toorganizations and groups rather than pursue direct implementationby the government. These type of projects have traditionally beencarried out by the Japan Society for the Promotion of Science.However, to maintain close linkage with the government’s sciencemeasures while further expanding and developing these programs,as well as to boost international credibility, their implementationwould seem most appropriately carried out by a special publicinstitution. Accordingly, this bill has been submitted for theestablishment of the Japan Society for the Promotion of Science as aspecial public institution …107

The bill was passed by both the House of Representatives and the House ofCouncillors and issued and brought into force as Law No. 123 on August 1,1967. The JSPS was consequently registered with the Regional Legal AffairsBureau on September 21 the same year, formally establishing the JSPS as aspecial public institution. Initially, the board of directors comprised onepresident, one director general, no more than three directors, and no morethan two supervisors, while the clerical organization comprised anadministration department with two divisions (general affairs andaccounting), and a program department with two divisions (internationalscience and programs), with a payroll of 36. The initial budget was 330million yen (40 million for management, 290 million for program costs).D evelopment of International exchange programs(a) General Programs for International CooperationThe invitation of foreign researchers began in 1959 when two researchers,one from the US and one from the UK, were asked to Japan. As of 1960,funding for the Visiting Professor or Visiting Research Associate programwas built into the annual budget, gradually increasing the number ofinvitations. The program was implemented on the basis of governmentsubsidies as one means of opening the way for the participation andcooperation of foreign researchers in joint research in Japan and developingresearch in that area, as well as of effectively promoting internationalscientific exchange. Under the program, the JSPS pays the necessary travelfunds and a per diem to foreign researchers for either a comparatively shortperiod (for example, around two months) or a comparatively long period (forexample, around six months).In addition, the Postdoctoral Fellowships for Foreign Researchers programwas launched as of FY1964. Postdoctorals aged up to 35 were hosted byJapanese research institutions for one year (with a possible extension of oneyear), with their travel costs, a research grant, a settling in allowance andother funds paid. Like the above -mentioned foreign researcher invitationprogram, this was a very new departure for Japan at the time.The Visiting Professor or Visiting Research Associate and PostdoctoralFellowships for Foreign Researchers programs were integrated in 1975 into108

the Invitation of Foreign Scientists Program, which has short-term andlong-term components. The age limit was removed for the long-termprogram, and the postdoctoral fellowship nature of the program wasabandoned. (The Postdoctoral Fellowships for Foreign Researchers programwas subsequently revived in FY1979 as the Invitation Program forPostdoctoral Researchers from the UK, West Germany and France, whichbecame the Postdoctoral Fellowships for Foreign Researchers program inFY1988, and currently extends invitations to many young researchers fromall over the world.)Currently, the short-term Invitation of Foreign Scientists program bringsaround 310 leading foreign researchers with exceptional research records toJapan every year for 14 to 60 days to engage in discussion and exchanges ofopinions with Japanese researchers and to give lectures. The long-termcomponent invites to Japan annually around 80 foreign researchers withoutstanding research records to engage in joint research with Japaneseresearchers on designated themes for six to ten months.In addition, in FY2000, the JSPS Award for Eminent Scientists waslaunched as a means of inviting to Japan foreign researchers withexceptionally fine research records. Five such researchers were invited inFY2000, three of whom were Nobel laureates.As part of general programs for international cooperation, as of FY1973, theJSPS has subsidized the travel costs of Japanese researchers who have beenselected for the fellowship program of the Alexander von HumboldtFoundation and accordingly have to travel to Germany for research. InFY2000, 33 trips (22 outward trip and 11 return trip) were subsidized forHumboldt research fellows.(b) Bilateral scientific exchangeBilateral programs are conducted with particular countries based onmemorandums of understanding (MOUs) or agreements concluded by theJSPS with other countries’ academies, scientific research councils and otherinstitutions, or on agreements concluded between the Japanese governmentand other governments. The first example was the US-Japan Cooperative109

Science Program launched in 1963, but it was after the Japan Society forthe Promotion of Science was reorganized as a special public institution thatexchange began with numerous foreign institutions.Exchange between Japan and the US began in 1961 with agreement at theIkeda-Kennedy talks on the establishment of a joint committee on science,as well as a committee to study expanded cultural and educationalcooperation between the two countries. As a result, the US-JapanConference on Cultural and Educational Interchange was established thenext year. At the conference held in 1968, the JSPS and the US SocialScience Research Council established a committee and decided to implementJapan-US culture and education cooperation programs.Subsequently, in 1971, the JSPS concluded an MOU with the UK RoyalSociety, with which it initiated an exchange program. The programcomprised two types of exchange of scientists, short-term visits for eminentresearchers and long-term visits for yo ung researchers, a form of exchangeof scientists, which became the model for subsequent JSPS MOUs onexchange of scientists.In 1973, an MOU was exchanged with France’s Center National de laRecherche Scientifique, and exchange between Japan and France began thenext year in the form of scientific seminars, joint research projects andexchange of scientists. Researcher exchange was initiated with Germanybased on an MOU exchange with the German Academic Exchange Services(DAAD).In the wake of the first MOU, new MOUs or agreements were concludedwith the Soviet Union, Hungary, Italy, Switzerland and Israel in 1974, withthe Poland and Netherlands in 1975 and Belgium, India, Australia, Canada,and Brazil in 1976. Programs were accordingly launched based on theprinciple of reciprocality and primarily in the form of exchange of scientists.Going into the 1990s, in addition to further exchange of scientists with keycountries, agreements were reached on the implementation of joint researchprojects and seminars, and MOUs and other documents were signed. The110

institutions included the Korean Science and Engineering Foundation, theDeutsche Forschungsgemeinschaft, the UK Royal Society and the BritishCouncil, the Indian National Science Academy, the Australian Academy ofScience and the Australian Research Council. As of 1997, MOUs withAustria, Belgium, Finland, Hungary, Italy, the Netherlands, Poland,Slovakia, Slovenia and Switzerland led to the implementation of cooperativeprograms of joint research projects and scientific seminars as theJapan-Europe Research Cooperative Program.The above joint research and seminars were assistance for comparativelysmall-scale cooperation, but in FY1994, the Inter-Research CentersCooperative Program (IRCP) was launched. The aim of the program was toenable the research institutions chiefly involved in prioritized research inJapan to work with foreign research institutions to further research in theirrespective areas, with the JSPS adopting research plans based onconsultation and agreement with scientific promotion agencies in othercountries and cooperating in assisting joint research.As at March 31, 2001, the JSPS had concluded MOU’s and agreements forexchange of scientists, joint research projects, seminars, and Inter-ResearchCenters Cooperative Programs with 57 institutions in 37 countries.In addition to these programs, to foster researchers, the JSPS also acceptsnominations for Postdoctoral Fellowships for Foreign Researchers programfrom 38 institutions in 26 countries and funds successful candidates.(c) Scientific exchanges with Asian nationsIn 1977, the Monbusho’s Science Council deliberated on the promotion ofscientific exchanges with developing countries, and presented arecommendation to the Monbusho’s Minister. The recommendation notedthat to further promote Japan’s scientific research and actively contribute tothe development of world science, scientific research needed to be opened upand advanced from a global perspective, to which end Japan had reachedthe stage where it should further promote scientific exchange withdeveloping countries. It was also stated that developing countries in Asia inparticular were interested in the experiences and characteristics of Japan as111

a nation which had gone from underdevelopment to a world standard inbarely a century, and that these countries were becoming very enthusiastictoward scientific exchange with Japan. To respond to these expectations,Japan urgently needed to actively promote scientific exchange.The JSPS submitted a budget request in line with this recommendation,and the FY1978 budget included providence for core university exchange,assistance for students wishing to obtain their doctorates in Japan, andscientific information exchange. A funding increase was also allowed for theexisting researcher exchange programs.The JSPS consequently exchanged MOUs with the National ResearchCouncil of Thailand, the Directorate General of Higher Education,Department of Education and Culture, Indonesia, and the National ScienceDevelopment Board, Philippines.These MOUs comprised core university exchange centered around bilateraluniversity cooperation and general exchange based on individualresearchers. Core university exchange was divided into the four categoriesof exchange of scientists, joint research projects, seminars and scientificinformation exchange.Core university exchange programs were gradually expanded, and are nowin place with a total of 10 institutions in Thailand, Indonesia, thePhilippines, China, Korea, Malaysia, Singapore and Vietnam.Further, as it is possible to obtain a doctorate at a Japanese university bysubmitting a thesis based on degree regulations without matriculating froma Japanese doctoral course, in 1978, as part of its cooperation withdeveloping countries, the JSPS launched a program of assistance in theform of research supervision, etc., for promising young Asian researcherswishing to obtain their doctorates through this system (“Ronpaku”(Dissertation Ph.D) Program). Currently included in the program areBangladesh, China, India, Indonesia, Korea, Malaysia, the Philippines,Thailand and Vietnam.112

Expansion of researcher fostering programsThe JSPS fellowship program for young Japanese scientists, inaugurated inFY1959, had adopted 100 scientists by 1967, but after the JSPS wasreorganized in 1968, numbers were boosted until in 1984, around 400fellowships were being awarded every year.However, recognition was widening of the need for further assistance foryoung researchers as a means of fostering and securing researchers, and theScience Council report entitled “Basic Measures to Improve Japan’sScientific Research Regime ” also noted that the current fellowship systemwas inadequate as a measure for fostering and securing outstanding youngresearchers. The system should be reviewed and consolidated as necessary,with comprehensive considerations undertaken to ensure that the aims ofthe fellowship system were sufficiently achieved and appropriate measuresdesigned accordingly. Further, the paper recommended, thought needed tobe given to widening the scope of the fellowship system to includeparticularly outstanding doctoral students.Based on the Science Council recommendations, in FY1985, the JSPSestablished a new JSPS Research Fellowship program in place of the JSPSfellowship program for young Japanese scientists. The new program wasdesigned to supply monthly fellowship and Grants-in-Aid for ScientificResearch over a two-year period to postdoctorals and doctoral students.In addition, to foster and secure the talented and internationally-orientedresearchers who will bear the future of Japanese science, in 1982, the JSPSalso set up the Postdoctoral Fellowships for Research Abroad program,providing a certain level of funding for outstanding young researchers toenable these to focus on long-term research at foreign universities and otherscientific research institutions. The program pays for round-trip air tickets,living expenses and a research grant to young postdoctoral researchers for atwo-year research abroad.The Postdoctoral Fellowships for Foreign Researchers program began inFY1959 as the Visiting Research Associate program, and was suspended in1975 when this program was integrated with the Invitation Fellowship113

program. In FY1979, however, a program was established for the invitationof young German and British researchers who had recently completed theirdoctorates, based on nominations from the Royal Society in the UnitedKingdom and the West German Humboldt Foundation, modeled onfellowship programs such as that of the Humboldt Foundation. Recognizingthe valuable experience which young Japanese researchers had gainedthrough the goodwill of the UK, the US, France and other developedcountries in the postwar period, the program was intended to contribute tointernational scientific exchange at Japan’s expense, starting with theextension of invitations to young British and West German researchers.The title of the program has since been changed to Postdoctoral Fellowshipsfor Foreign Researchers and the content expanded to include all countriesand a greater number of places.Inauguration of Grants- in- Aid for Scientific ResearchMonbusho’s support for scientific research stretches back to the scientificresearch grants launched in 1939, but the current Grants-in-Aid forScientific Research represent the 1965 integration of scientific research,scientific experimental research, and research results publication funding.Grants-in-Aid for Scientific Research comprise research assistance intendedto significantly promote exceptional, original and pioneering research in allareas from the humanities and social sciences through natural science as ameans of promoting Japanese science. Research costs are subsidized forfundamental research planned by university and other researchers orresearcher groups which has been determined through peer review to be inline with scientific research trends and of particular importance.Grants-in-Aid represent the Japanese government’s main avenue ofresearch funding as a means of forming the country’s research foundations,and are indispensable for a country seeking to build itself on scientific andtechnological creativity. Recognizing this, MEXT decided to institutesweeping reforms in regard to the administrative processing ofGrants-in-Aid for Scientific Research, improving the screening process andservices to researchers. To this end, the Japan Society for the Promotion of114

Science Law was amended in FY1999, with screening and allocation workfor some of the Grants-in-Aid categories shifted from the Ministry ofEducation to the JSPS.Appendix: Research for the Future ProgramThe Research for the Future program (RFTF) was established in 1996. Withthe exception of donations and publishing revenues, JSPS program fundinghas been government subsidies paid out through MEXT. This program,however, is funded through capital investment made by the Japanesegovernment, which understood that such a capital investment secures rightof claim on profit-sharing, right of claim on distribution of surplus assets,and other related rights. Such rights effectively comprise national assets,and in this sense, the government’s capital investment will produce tangibleand intangible assets, the profits from which can be enjoyed by the public.The program can be characterized by the following objectives:• To promote highly creative, future-oriented research that will producethe intellectual assets which will form the scientific bases for Japan’ssocioeconomic development and the realization of an affluent lifestyleinto the 21st century.• To carry out research aimed at meeting society's diversifying needs atuniversities and other research institutions, with universities as theprimary agent but with cooperation extended by industrial and othersectors when expedient.• To contribute to the fostering of young postdoctoral researchers byengaging them in research in joint research projects, simultaneouslyadvancing research in project areas.• To advance research with an international perspective, including theimplementation of research based on international collaboration.In implementing the program, the RFTF Program Committee, whichcomprises predominantly senior Japanese researchers, designates thespecific research fields to be pursued and sets up Research PromotionCommittees. These Committees determine guidelines for the systematicpromotion of their respective fields, and engage in research project planningand drafting based on the guidelines. Research Promotion Committees also115

provide advice and/or academic expertise to the project teams, and conductevaluations, maintaining ongoing responsibility for their respective researchareas.The research period of a RFTF project is set as a rule at five years, and theannual funding for each project is provided within a range of 50 to 300million yen, with an average funding of about 100 million yen.Research Evaluation Committees are established under the ResearchPromotion Committees to assess research projects implemented by outsideresearchers. The committees conducting an interim evaluation two yearsinto the project and a final evaluation on completion of the project.According to the results of the interim evaluation two years into the project,a research project may be suspended, or changes made to project content ormethodology.As at April 2001, 182 projects were underway.With the reorganization of central government institutions in 2001, theadministrative reform secretariat of the cabinet office directed that similarprograms being conducted by quasi-governmental institutions be merged orlinked. As R&D funding through capital investment is provided not only tothe JSPS but also to the Japan Science and Technology Corporation and theNew Energy and Industrial Technology Development Organization, it wasdecided to suspend new projects as of FY2001, and the program will beprogressively phased out as the various research projects draw to a close.(4) Supervision, etc.The JSPS is a special public institution, and the Japan Society for thePromotion of Science Law, which established the society stipulatessupervision by the MEXT Minister, who can ‘give orders with respect to theactivities of JSPS if such orders are deemed necessary for the execution ofthis law.’ (JSPS Law, Article 32). The Law also stipulates that thegovernment shall ‘give the necessary consideration to JSPS that the purposeset forth in this Law may be accomplished.’ (JSPS Law, Article 34).116

The Law further stipulates that the MEXT Minister shall ‘keep close contactwith the Science Council of Japan with regard to the organization and thebusiness operation of JSPS.’ (JSPS Law, Article 35).(5) Advisory CouncilIn line with a request from the President, the JSPS has established anAdvisory Council of no more than 15 eminent figures to deliberate onimportant issues in regard to JSPS steering. Advisory Council members areappointed by the MEXT Minister from those persons with academic/professional experience necessary for the appropriate steering of JSPSactivities. The President convenes the Council, which meets twice a year inMarch and June. The names of current Advisory Council members are asfollows.Shigeru AoeIchiro Agari17 th Advisory Council membersJuly 1, 2000- June 30, 2002NameYoshihisa AkiyamaHiroyuki AbeTakashi ImaiHiroo ImuraReona EsakiTakayasu OkushimaMotoyuki OnoKiyoshi KurokawaAkira NishigakiTakeshi SasakiTsuyoshi MasumotoAkio YamamotoMEXT Deputy MinisterCurrent positionVice-President, Hiroshima International UniversityPresident, Kansai Economic FederationPresident, Tohoku UniversityPresident, Japan Federation of EconomicOrganizationsMember, Council for Science and Technology PolicyPresident, Shibaura Institute of TechnologyPresident, Waseda UniversityMEXT Vice Minister = Chairman; = Acting ChairDean, School of Medicine, Tokai UniversityAdviser, Tokio Marine & Fire Insurance Co., Ltd.President, University of TokyoDirector, Research Institute for Electric and MagneticMaterialsAdvisory Fellow, Advanced Research Institute forScience and Engineering, Waseda University(6) Board of DirectorsUnder the JSPS Law, the JSPS Board of Directors comprises one president,117

one director general, up to three directors and up to two supervisors, all ofwhom serve for a term of two years. The president represents the JSPS andoversees its activities. The director general also represents the JSPS andmanages JSPS activities as the president’s assistant in those areasdetermined by the president, as well as acting as the president’s proxy inthe event of an accident befalling the president and taking over thepresident’s duties when the president is absent. The directors similarlymanage JSPS activities as assistants to the president and director generalin those areas determined by the president, while the supervisors superviseJSPS activities. The president, director general and supervisors are allappointed by the MEXT Minister, with directors appointed by the presidentwith the permission of the MEXT Minister.At present, the presidency is a part-time position, and has been filled to dateby distinguished researchers. The director general and one supervisorserves fulltime. These posts are given alternately to persons with researchbackgrounds and persons with administrative backgrounds in the MEXT.A board of directors comprising the president, director general, directors andsupervisors is set up within the JSPS to ensure the smooth and appropriateconduct of duties, and this generally deliberates twice a month on thefollowing issues.1) Issues concerning formulation, revision or deletion of provisions andregulations in the business operations manual and elsewhere2) Issues concerning program planning, budgets, settlement, and loans, etc.3) Issues concerning payment criteria for executive and staff salaries andretirement benefits4) Issues concerning plans for research on scientific applications orimplementation plans5) Issues concerning plans for fostering researcher programs, internationalscientific exchange programs or other programs.6) Issues concerning agreements or MOUs on international scientificcooperation7) Issues concerning implementation plans for the Grants-in-Aid forScientific Research program118

8) Issues concerning key contracts and suits9) Other issues concerning management and operationMembers of the board of directors (as at January 1, 2002)Post Name AffiliationPresident (part-time) Hiroyuki Yoshikawa University of TokyoDirector general Teiichi Sato MonbushoDirector Kenichi Iga Tokyo Institute of TechnologyDirector Koji Nakanishi MonbushoDirector (part-time) Shiro Miwa University of TokyoSupervisor Atsuhiro Nishida Institute of Space andAstronautical ScienceSupervisor (part-time) Keizo Yamaji Cannon Inc.(7) Secretariat organizationThe JSPS has a secretariat comprising an administration department,international programme department and research programme department.The Administration Department contains the General Affairs Division, theBudget Division, the Accounting Division, and the Research FellowshipDivision. The International Programme Department contains the ResearchCooperation Division, the Foreign Fellowship Division, the AsianProgramme Division, the Information and Fellow Services Division, and theJSPS Fellows Plaza. Within the Research Programme Department are theUniversity-Industry Cooperation and Publication Support Division, theResearch Promotion Division, and the Research Aid Division.The duties of the above are shown in next page.119

Advisory Council Senior Academic AdvisorsAcademic AdvisorsAdministrationDepartment General Affairs Division Custody of the official seal. Receipt and transmission of documents. Formulation, revision and elimination ofregulations. Drafting of program plans. Executive staff matters. General affairs of the Advisory Council. Appointment, wages, duties and trainingof staff. Staff welfare. Selection of International Prize for Biology laureates. Creation of studies, statistics necessaryfor administration, as well as PR materials. Liaison and coordination with other divisions. Other duties not und er the mandate of otherdivisions.Budget Division Budget and settlement issues Formulation, revision and elimination ofaccounting regulations. Account auditing. Acceptance of donations. Handling of UNESCO coupons. Collection of donations for internationalscientific conferences. Other financial and accounting matters. Accounting Division Debt management. Income and expenditure. Operation of funds. Payment of wages, etc. Proof of accounting. Procurement of goods, duties (excludingthose related to research on scientificapplications). Management of goods(excluding thoserelated to research on scientificapplications). Facility and equipment management(excluding those related to research onscientific applications). Other clerical issues on accounting.Overview of Duties by DivisionPresidentDirector GeneralDirectorsInternationalProgrammeDepartmentSupervisorsResearch CooperationDivision Joint research and seminars basedon agreements with related foreigninstitutions (Excluding those underthe jurisdicti on of the divisions; samebelow.) Exchange of scientists based onagreements with related foreigninstitutions and or ganizations. Other international scientificcooperation with related foreigninstitutions and groups. Foreign Fellowship Division Researchers invited from abroad(short-term and long -term) Recipients of PostdoctoralFellowships for Foreign Researchers. International scientific meetings Other matters related to internationalresearcher exchange which are notunder the jurisdiction of otherdivisions.Asian Programme Division Scientific exchange with Asian nationsthrough the Core University Program. Cooperation in the fostering of Asianresearchers, including assistance forstudents wishing to obtain their Ph.Dsin Japanese universities. Scientific cooperation with Asian nations,such as the Asian Science Seminar. Joint research, seminars and researcherexchange based on agreements withrelated institutions and organizations inAsia and Africa. ResearchProgrammeDepartmentInformation and Fellow Services Division Compilation, creation and provision of information oninternational scientific exchange. Planning and drafting in regard to JSPS Fellows Plazaand JSPS Liaison Offices. Publication of scientific information, including theGakujutsu Geppo (Japanese Scientific Monthly).JSPS LiaisonOffices Washington DCBonnLondonBangkokCairoNairobiSão PauloUniversity-Industry Cooperationand Publication Support Division Disclosure and dissemination of scientificresearch support. Granting of results publication promotionfunds within Grants-in-Aid for Scientific Research. Science dissemination and educationprograms. University-industry cooperative research. Liaison and coordination in regard toResearch Programme Department duties,as well as matters not under thejurisdiction of other divisions in thedepartment.Research Promotion Division Research on application of science.Research Aid Division Allocation of Grants-in-Aid forScientific Research (excludingmatters under the jurisdiction of theUniversity-Industry Cooperation andPublication Support Division.Research Fellowship Division JSPS Fellows. Recipients of Postdoctoral Fellowshipsfor Research Abroad. Selection Committee for Fellowships. Information Systems Division Management of computer system Computerizing JSPS’s information and itsmanagement Development of information processing system Management of computer related goods Other matters related to computer system JSPS Fellows Plaza Orientations for foreign research fellows andother assistance for researchers invited fromabroad. Implementation of various types ofconferences contributing to exchangebetween Japanese and foreign researchers. 120

( 8) JSPS Overseas Liaison OfficesJSPS has established overseas liaison offices as bases for carrying outacademic exchange and cooperation between Japan and the countries intheir surrounding regions. These liaison offices assume the followingfunctions.1) Disseminating and gathering information and materials needed inpursuing scientific research and exchange activities with localresearchers.2) Exchanging information and conducting consultations related toscientific exchange programs carried out between JSPS and itscounterpart institutions.3) Providing assistance to visiting Japanese researchers4) Offering information and assistance to researchers interested inapplying for JSPS fellowships, and carrying out exchanges andcooperation with local researchers who have completed JSPS fellowships.5) Performing other functions related to the above activities.JSPS Liaison Offices are located in Washington, DC, Bonn; London;Stockholm; Bangkok; Nairobi; and Cairo.JSPS Liaison Offices usually comprise two staff dispatched from Japan anda few local staffs. As there are no measures in the JSPS Law or in the JSPSpayroll for dispatching JSPS staff overseas, administrative staff and facultymembers from national universities are dispatched to handle the prescribedduties.(9) StaffThere were 74 staff on the JSPS payroll in FY2001. Total staff numbers, thenumber of staff allocated to each department and division, and the numberof department and division heads and other executive posts are alldetermined under the government’s subsidy budget, and cannot in principlebe changed. There are 25 staffs in the Administration Department, 25 in theInternational Programme Department, and 22 in the Research ProgrammeDepartment. As noted above, these staff members are not posted to JSPS121

Liaison Offices.In reflection of the history of the JSPS and its aim of promoting scientificresearch, JSPS staff are drawn in a balanced manner from JSPS staffproper, staff seconded from MEXT and other ministries, and staff secondedfrom national university secretariats. Generally, staff from centralgovernment ministries and national university secretariats return to theirministries or universities after a term of around three years, where they areinvolved in the government’s education administration or universityadministration. All personnel are appointed as administrative staff. Nonehave academic or research careers, and none are researchers dispatchedfrom universities or other research institutions.In terms of scientific evaluation committees for the various programs, theSelection Committee for Po stdoctoral and Other Fellowships, the JSPSCommittee on Grants-in-Aid for Scientific Research and other programcommittees are asked to screen and evaluate applicants, and expert adviceis also sought where necessary from six senior academic advisors and 15academic advisors.(10) Budget and financesThe JSPS's budget for FY2001 totaled ¥146.7 billion. Of this amount, ¥24.5billion was subsidies from the government in support of JSPS programs,¥102.9 billion was designated for Grants-in-Aid for Scientific Research, and¥18.7 billion was received as capital investment from the government.Altogether some 99.6% of JSPS's budget comes in the form of funding fromthe Japanese government.122

JSPS Budget Allocation 1997-2001Budget Allocation 2001Budget request processTreasury subsidies and government capital investment for JSPS programsare allocated as part of the national budget through the passing of relatedlegislation by the Diet. The Japanese fiscal year begins in April and ends123

the following March, with the budget request submission process beginningaround March to May the previous year. Budget consultations are heldbetween the JSPS and the related divisions of MEXT as the ministry withjurisdiction over the JSPS, and then around June, the JSPS AdvisoryCouncil meets to determine basic guidelines for the JSPS budget requestsubmission with reference to the results of JSPS-MEXT consultations.Around July, views are exchanged at a JSPS liaison meeting comprisingrepresentatives from the JSPS, MEXT and the Science Council of Japan,based on which the JSPS provides an explanation of the above -mentionedbasic guidelines to MEXT.The basic guidelines for the FY2002 budget request are compiled in adocument entitled “Petition Concerning Fiscal 2002 budget Request.”Subsequent work related to budget requests is conducted within thegovernment, and in August, Cabinet Ministers meet to discuss budgetrequests for the following fiscal year, determining the government’s basicapproach in this regard. Based on this approach, the Ministry of Financereceives explanations from the various ministries based on their budgetrequest materials, with the Ministry drawing up a draft by December. Afterfinal negotiations among ministries concerning the Ministry of Financedraft, the budget is adopted by the Cabinet as the official governmentbudget and subjected to Diet deliberation. The related legislation is passedbefore the beginning of the fiscal year.(11) Medium- and long- term program plansJSPS activities must be implemented on a single fiscal year basis on thebasis of permission for annual program plans. Because subsidy allocation isnot determined beforehand for a number of years even the national budget,multi-year program plans cannot be created.However, medium- and long-term policies, JSPS programs included, areindicated in the Science and Technology Basic Plan, and MEXT’s Council forScience and Technology reports and recommendations, and JSPS programsare planned and implemented based on these.124

The JSPS is scheduled to become an independent administrative institutionas of FY2003, after which it will be obligated to create a medium-term planbased on medium-term goals of three to five years as directed by the MEXTMinister.(12) Audits and inspectionsJSPS audits are undertaken by its supervisors. Where necessary, MEXT canask the JSPS for a report on its activities or conduct an on-site inspection ofits offices.Because the JSPS receives government subsidies, it is also subject toinspections by the Board of Audit.(13) JSPS evaluationsThe JSPS Review Committee submitted an evaluation report on the JSPS inJuly 1995. The main task of the 12-person committee, which comprisedeminent researchers, industrial representatives and journalists, was toevaluate those points indicated in the Council for Administrative Reformreview approach in regard to the reform of special public institutions, and todiscuss future directions for the JSPS. The points evaluated and evaluationresults were as follows.Need for programsJSPS programs are vital in actively responding to social andinternational demands and therefore, they need further development.The programs should not be eliminated, scaled down or privatized.Appropriateness of special public institution formatThe JSPS has performed its functions quite adequately to date as aspecial public institution, and this format therefore does not requirealteration.Relations with other special public institutionsThe JSPS should be positioned within framework for scientific researchas a key implementation organization in terms of Japan’s scientificadvancement.Organization125

JSPS organization and mechanisms need to be further improved.Individual programsIndividual programs should be operated on an open application basis,while building in the room for a flexible response to international andother needs. Application procedures and research terms should be mademore flexible, working to implement programs in line with researcherdemands. Work should be rationalized and made more efficient through,for example, greater use of computers. University-industry cooperativeresearch programs should be expanded and improved. Activities at JSPSliaison offices should be actively developed and greater efforts made atinformation provision.In November 2001, the Cabinet adopted the National Guidelines on theMethod of Evaluation for Government R&D. Evaluations based on theseguidelines will be implemented to promote the efficiency and effectiveness ofoutstanding R&D, including R&D of a high international standard, R&Dcontributing to the socioeconomy, and R&D breaking open new academicfields. Evaluations shall have the following significance.(a) To engage in appropriate and fair evaluations to create a flexible,competitive and open R&D environment in which the creativity ofresearchers will be given maximum play.(b) To actively announce evaluation results and inform society ofoutstanding R&D to fulfill the obligation of accountability to the public inrecognition of the national funds being injected into R&D, earning theunderstanding and support of the wider public.(c) To conduct rigorous evaluations and reflect results in the focused andefficient distribution of funds, personnel and other resources.The National Guidelines on the Method of Evaluation for Government R&Dare applied to all aspects of R&D conducted using national funds, including(1) Enforcement of R&D Policy, (2) R&D projects, (3) R&D institutions, and(4) results of individual researchers. The guidelines apply to the programs ofJSPS, which are implemented by government R&D funding.126

(14) Public relations activitiesThe JSPS introduces its programs, etc., on its Web page(http://www.jsps.go.jp/). Japanese scientific research is also introducedthrough its printed publication, the Gakujutsu Geppo (Japanese ScientificMonthly), which is written in Japanese.Many JSPS Liaison Offices use their own Web sites for PR, as well engagingin such PR activities as the ad-hoc provision of Japanese scientific news tolocal researchers and persons involved with science administration.The JSPS Tokyo headquarters also holds ad-hoc lectures by eminentscientists, and in key JSPS Liaison Offices too, fora are held around once ayear as a means of deepening the understanding of foreign researchers andadministrators concerning Japan’s scientific circumstances.In addition to the introductions to individual programs which appear on theabove-mentioned Web site, posters, pamphlets and other printed materialsare also created for certain programs for distribution to Japaneseuniversities, etc. For Grants-in-Aid for Scientific Research, MEXT and theJSPS held seven briefings around Japan in FY2001 on applications, etc., aswell as holding around 30 briefings on research funding in response torequests from universities around the country.(15) New status as an independent administrative institutionThe JSPS is currently one of 77 special public institutions, which, based onthe legislation for their respective organizations, operate specific publicprograms under the supervision of the government but, asquasi-administrative bodies, at one remove from the central governmentand municipal bodies. Many different kinds of bodies come within thiscategory, including the Japan Highway Public Corporation and othe rcorporations, the National Space Development Agency of Japan, the JapanInternational Cooperation Agency and other agencies, and the People’sFinance Corporation and other finance corporations. Prime MinisterKoizumi chose to reorganize and rationalize special public institutions as127

part of his administrative reform course, launching considerations onprogram reviews, and institution reorganization and dissolution based onthe Basic Law on the Reform of Special Public Institutions, which waspassed in June 2001. As a result of these considerations, the Reorganizationand Rationalization Plan for Special Public Institutions was adopted by theCabinet on December 19, 2001, dissolving or privatizing many special publicinstitutions and converting others into independent administrativeinstitutions. The JSPS was marked to become an independentadministrative institution as of FY2003, while its fostering researchers andexchange programs, and Grants-in-Aid for Scientific Research programs arescheduled to be improved and considerations undertaken as follows.[Fostering researchers and exchange program]• To ensure efficient program implementation, the JSPS Fellowshipprogram and other fostering researchers and exchange programs whichare similar to those of the Japan Science and Technology Corporationwill be merged.[Grants-in-Aid for Scientific Research]• Competitive funding provision will be implemented based on overallcoordination of requests from various ministries made by the Council forScience and Technology Policy, and on evaluation of implementationstatus and announcements of it to the public. Operation will beimproved so as to eliminate unnecessary duplication and theconcentration of research funding on specific researchers.• A mechanism will be developed for competitive funding provisionwhereby persons with research experience engage in screening andevaluation with a sense of responsibility.• Research results will be rigorously evaluated based on clear definition ofthe government’s program objectives, with results and evaluationscommunicated plainly to the public. Consideration will also be given todisclosing where possible to rejected applicants the reasons for theirrejection.• Except where JSPS processing is the most rational and efficient means o fdistributing Grants-in-Aid for Scientific Research, the government shalldisburse these directly to recipients.128

Of the above, the transfer of Science and Technology Agency fosteringresearcher and international exchange programs to the JSPS began inFY2001 and will be completed in FY2002. The JSPS is alreadyimplementing some of the matters identified in regard to Grants-in-Aid forScientific Research, such as disclosure of screening results, and isconsidering how to institute the remaining changes. As for the conditionthat except where JSPS processing is the most rational and efficient meansof distributing Grants-in-Aid for Scientific Research, the government shalldisburse these directly to recipients, the 1999 transfer from the Ministry ofEducation of some categories of Grants-in-Aid has greatly increased thenumber of reviewers and shortened screening times, clearly enabling moreefficient and rational grant allocation than directly from the government(MEXT). The JSPS will therefore continue to allocate some categories ofGrants-in-Aid for Scientific Research.129

Chapter III. Research Grants(1) Grants- in- Aid for Scientific ResearchO verview of Grants- in- Aid for Scientific Researchi) Aims and role of Grants-in-Aid for Scientific ResearchThe Grants-in-Aid for Scientific Research (below, “Grants-in-Aid”) systemaims to substantially advance first-class, creative and pioneering researchin a wide spectrum of areas from the humanities and social science throughnatural science so as to promote scientific research in Japan. Peer reviewsare undertaken of basic research planned by individual researchers orresearcher groups at universities and other research institutes, selectingresearch in critical fields attuned to scientific trends and helping to defraythe research costs incurred.Tracing back to the Science Grants established in 1918 as Japan’s firstresearch grant system, today’s system has been refined and expanded by theMonbusho over many years amidst the changes of history into a keyJapanese institution. The current Grants-in-Aid refers to the system inplace since 1965.Grants-in-Aid are designed for research environments such as universities.Fulltime researchers (e.g., professors, assistant professors, lecturers andresearch associate) at Japanese universities, etc. (universities,inter-university research institutions, technical institutes, and scientificresearch institutions designated by the Minister of MEXT; below,“universities, etc.”) submit research plans as “principal investigator.” Wherethey need to engage in their research together with other scientists in Japan,a research organization can be formed which includes “researchparticipants.” In addition to principal investigator and participants, thoseinvolved in some aspect of the research plan or cooperating in its executionare designated as “cooperative parties,” allowing organic linkages to bepursued in the course of research. University researchers from outsideJapan can also participate in research plans as “cooperative parties.”The Grants-in-Aid system provides the competitive funds essential in131

propelling forward research which scientists at Japanese universities, etc.,have designed themselves, including exploratory research with the potentialto open doors to the future, research based on outstanding ideas producedby young researchers, and research at the forefront of internationalcompetition. A bottom-up system designed to consolidate Japan’s researchfoundations, it is recognized as Japan’s leading research grant schemes.Every year, around 21,000 grants are given for new research projectsplanned by researchers themselves, not only ensuring diverse scientificresearch but also contributing to the development of new, next-generationdisciplines.JSPS and the Grants- in- Aid systemThe Science and Technology Basic Law, formulated in 1995, led to thecreation of the first Science and Technology Basic Plan, which directed thatcompetitive research funds be expanded as one of the government’s scienceand technology policies. Given the importance of the Grants-in-Aid systemin providing competitive research funds for the promotion of basic research,the budget was significantly bolstered to 117.9 billion yen in FY1998, whilemore requests from researchers from universities, etc., for Grants-in-Aidsaw the number of submitted research proposals rapid increase to around100,000 by the same year.Trends in budget and application figures (FY1988-98)Budget: 48.9 billion yen à 117.9 billion yenNo. of applications: 59,000 à 103,000In 1997, the Prime Minister laid out the National Guideline on the Methodof Evaluation for Research and Development, while researchers atuniversities, etc., were always calling for more detailed screening, earliergrant distribution timed to coincide with the beginning of the fiscal year,and better service. To continue responding to these demands, dramaticimprovements were needed in the screening and evaluation procedures usedfor the Grants-in-Aid system.To contribute to the advance of science, which was one of the aims of itsestablishment, the JSPS engages in research concerning scientific132

applications, and has also conducted grant programs for scientific researchand researchers, as well as promoting international scientific cooperationand otherwise stimulating science.Recognizing the strong track record of the JSPS in promoting science andthe deep trust it had earned from researchers, the MEXT amended theJapan Society for the Promotion of Science Act to include the provision ofGrants-in-Aid for Scientific Research as a JSPS responsibility, thus openingthe way for the transfer of the screening and distribution work for someparts of the Grants-in-Aid process to the JSPS (FY1999). The transfercomprised those research areas which were systemically well-established,and whose screening and distribution procedures were comparativelystandardized and presented little likelihood of operational confusion. TheGrants-in-Aid system has since been administered by the MEXT and theJSPS.Since the transfer, the JSPS has worked to improve and enhance screeningprocedures by greatly boosting the number of Screening Committeemembers (now approximately 2.5 times the number when the scheme wasoperated solely by the MEXT), allowing much more detailed screening.A Research Aid Division has been set up within the JSPS for the schemeand other organizational adjustments made to facilitate the earlier deliveryof grants. To improve the level of service provided for researchers, etc., awebsite has been set up and other measures taken to ensure swifterinformation access.Research categories and JSPS responsibilitiesTo ensure that the Grants-in-Aid system responds to the diverse researchneeds of researchers and promotes Japan’s scientific researchcomprehensively and effectively, it has been designed with a particularemphasis on appropriate screening, establishing various research categoriessuch as purpose, nature, and grant scale.Researchers from universities, etc., submit applications reflecting theseresearch categories, detailing their research organizations, goals, research133

plans and achievements to date. The purpose and nature of researchcategories in the Grants-in-Aid system are as follows.The Grants-in-Aid system provides funds in two broad areas: grantscovering the necessary research costs incurred by individual researchers orresearcher groups; and grants covering the cost of publicizing anddisseminating the results of research activities undertaken by researchersor groups of academic societies. The various categories for research grantsare Specially Promoted Research, Priority Areas Research, COE FormationBasic Research, Priority Areas Subsidies, Collaboration Between Universityand Society, Scientific Research, Exploratory Research, Encouragement ofYoung Scientists (A), Encouragement of Young Scientists (B), JSPS Fellowsand Creative Scientific Research.Publicizing and disseminating the results of research activities falls underthe category of Promotion of Publication of Scientific Research Results, withsub-categories including scientific periodicals, scientific literature,databases other release of scientific research results.JSPS provides research grants for the following categories: ScientificResearch, Exploratory Research, Encouragement of Young Scientists (A),Encouragement of Young Scientists (B), JSPS Fellows and CreativeScientific Research, and Promotion of Publication of Scientific Results (inscientific periodicals, scientific literature and databases only).The special features and nature of the research categories for which theJSPS provides grants are as follows.(a) Scientific ResearchScientific Research is the most fundamental research category in terms ofGrants-in-Aid, with grants provided for basic research planned byresearchers at universities, etc., and undertaken for between two and fouryears (five years in the case of Scientific Research (S) only). ScientificResearch is divided into a number of categories in recognition of theparticular characteristics of different types of scientific research, which alsoallows efficient screening. Firstly, there are categories in terms of the value134

of total research costs which can be applied for. Secondly, the purpose ortarget of the research is gauged in categorizing it as “general,” “foreignscientific study,” “planning study,” or “advanced research.” The “general”category focuses on research plans designed to significantly promote adistinctive research area, and most research falls under this category.“Foreign scientific study” addresses research plans where the main purposeof the research or the research means is to conduct field studies orobservations or gather materials overseas. “Planning study” refers tostudies of research plans in regard to joint research or international jointresearch for which there is a strong need in terms of science promotion.“Advanced research” addresses research plans whose results have thepotential for being put into practical use for society by drawing on researchresults accumulated to date as a foundation in developing research further.No new research proposals were invited for the FY2002 intake in terms ofthe advanced research category.Thirdly, screening categories are further divided and presented in table formto ensure efficient peer-review screening attuned to scientific researchtrends. Researchers can select the appropriate category for themselvesaccording to the research plans they intend to pursue. There are eight majordomains in the table: literature, law, economics, science, engineering,agriculture, medicine, and interdisciplinary areas. Each of these is dividedfurther, with the smallest unit comprising topics. As at FY2002, there are242 topics. The table, which is created by the MEXT Council for Science andTechnology, is currently under review and will be revised as of FY2003.(b) Exploratory ResearchExploratory Research comprises that research in an early stage ofdevelopment, which is based on original thinking (particularly thinkingoutside the square). Such research is expected to produce results which willopen up new research areas, for example, or provide the catalyst for this.The research period is between one and three years, and the amountgranted per research projects for FY2002 applications has been set at up tofive million yen.135

(c) Encouragement of Young Scientists (A) (Encouragement of YoungScientists)Encouragement of Young Scientists (A) grants are open to researchers up to37 years old who are engaged in individual research exhibiting the kind ofoutstanding thinking with the potential for future development. Thiscategory was created with a view to fostering researchers. As of FY2002, thecategory title has been changed to Encouragement of Young Scientists ((A)has been omitted).Researchers note on their application forms which of the above threecategories they wish to be considered in, taking into consideration the goals,content and cost of their research.(d) JSPS FellowsGrants are provided for research undertaken through the JSPS ResearchFellowships for Young Scientists and Postdoctoral Fellowships for ForeignResearchers programs.(e) Creative Scientific ResearchThis new category was established in FY2001, selecting particularly crucialresearch projects from the following research areas among those eligible forGrants-in-Aid as a means of further promoting research results from theGrants-in-Aid program, etc.(a) Creative and pioneering research creating new interdisciplinary areas(b) Farsighted and original research laying the ground for social andeconomic development(c) Research for which there is a strong international requirementRather than accepting applications from universities, etc., screenings arebased on research projects recommended by eminent persons such asmembers of the JSPS Committee on Grants-in-Aid for Scientific Researchand the Subcommittee for Screening Grants-in-Aid for Scientific Research(Science Committee), Council for Science and Technology, MEXT), etc.(f) Encouragement of Young Scientists (B) (Encouragement of YoungScientists)136

The major difference between this category and the categories describedabove is that where Scientific Research, for example, targets fulltimeresearchers at universities and other research institutions, Encouragementof Young Scientists (B) reaches out to teachers at elementary, junior highand senior high school, secondary school, schools for the blind, deaf, andphysically/mentally handicapped, kindergartens and technical institutes,staff at educational and research institutes affiliated with the Board ofEducation, and other persons engaged in scientific research.The goal of this category is to support the kind of research with educationalor social significance that is not conducted in research institutes atuniversities, etc. To encourage such scientific research, research grants ofbetween 100,000 and 300,000 yen are available for each selected researchproject.As of FY2002, the title of the category has been changed to Encouragementof Scientists ((B) has been omitted).Turning next to the Promotion of Publication of Scientific Research Results,grants are given to defray the cost of publicizing and disseminating researchactivities. Scientific research is only meaningful when the results arerecognized in domestic and foreign scientific circles and are registered in aform which will allow them to be used as intellectual property for all thepeople in the world, and the announcement of research results is a criticalstep in bringing scientific research to fruition. Modes of communicatingthese research results include scientific periodicals which are published on aregular basis by academic societies, etc., scientific literature written byresearchers, databases created by researchers, and symposia for the releaseof research results.To promote the publication of scientific research results, support is providedfor the publication of key scientific research results, database creation, andthe announcement of research results, thus contributing to the advance anddissemination of Japanese science and international scientific exchange.This type of grant has four subcategories: (1) scientific periodicals; (2)scientific literature; (3) databases; and (4) other release of research results.137

The JSPS handles grants for the first three subcategories. Individualsresident in Japan or representatives of scientific groups (academic societies,researcher groups, etc.) located in Japan which are the primary entitiesengaged in translation, proofreading, publication or database creation areeligible to apply for these grants.(a) Scientific periodicalsPublishing costs and European-language proofreading costs are defrayed forscientific journals published regularly as a contribution to internationalscientific exchange by leading Japanese academic societies or groups ofcooperating academic societies. The August 1999 report from theMonbusho’s Science Council on “Promotion of Publication of ScientificResearch Results as a Part of the Grants-in-Aid for Scientific ResearchProgram” pointed to the importance and necessity of communicatingresearch results to the world, and directed that the quality of scientificperiodicals be improved. Based on this report, evaluations are now beingconducted of scientific periodicals with a view to boosting their capacity interms of the international dissemination of information.(b) Scientific literatureGrants in this area are given to individual researchers or researcher groupsengaged in (1) the publication of scientific literature as a means ofpublicizing scientific results, or (2) the foreign language translation,proofreading or publication of Japanese-language scientific literature ordissertations as a means of disseminating outstanding Japanese scientificresearch widely abroad. Scientific literature which should be translated,proofread or published as part of the work of universities, researchlaboratories or other research institutions, as well as publications which willnot be made commercially available, will not receive grants.(c) DatabasesApplications are considered for databases in areas where, given trends inJapan’s scientific research, databases are strongly necessary but lacking,areas where Japan has made particular progress, and areas where Japanhas become the world center for that particular type of research andinformation. Such databases must be created by individuals or research138

groups and have already proved practical. They must also have the purposeof openly disseminating information through academic information systems,etc. Applications can be made to cover the cost of outsourcing input workdirectly necessary for database creation, cooperation compensation, and thecost of copyright use, etc.Next, we shall look briefly at Specially Promoted Research, Priority AreasResearch and COE Formation Basic Research, which are all Grants-in-Aidfor Scientific Research handled by MEXT.(a) Specially Promoted ResearchEstablished in FY1982, research grants in this area are focused on researchplans for areas which have gained a particularly strong reputationinternationally to encourage further progress and top research results. Theduration of research is three to five years, while grants are up to 500 millionyen.(b) Priority Areas ResearchThe purpose of these grants is to select areas of research which willcontribute to raising standards in and strengthening Japan’s scientificresearch, areas where efforts need to be made on a global scale, and areaswhere there is a particularly strong social need, promoting these flexibly fora certain period of time in line with the progress of research in order tosignificantly advance research in the area in question.(c) COE Formation Basic ResearchIn 1995, the Monbusho established the Centers of Excellence program basedon recommendations from its Science Council on the formation of suchcenters. The COE program gives Grants-in-Aid for Scientific Research (COEFormation Basic Research), etc., to research organizations spearheaded byoutstanding researchers which are engaged in research activities of aninternational standard and which have the potential to become centers ofexcellence in certain research areas. The goal is to promote the formation ofcenters of excellence which will advance highly original, world-leadingscientific research. Research grants for this program are provided within theCOE Formation Basic Research component of the Grants-in-Aid system. The139

program is not accepting applications in FY2002.The allocation of responsibility for Grants-in-Aid allocation between MEXTand the JSPS as at FY2001 is depicted in the following table.CategoryDescriptionScientific ResearchSpeciallyPromotedResearchPriority AreasResearchSpecial ResearchPromotionAid for researchResearch with a strong international reputation and the potentialfor producing particularly outstanding research resultsDuration: 3-5 yearsGrant: Approx. 50-500 million yen per projectActively and effectively promoting research, specifying areas thatare connected to improving and strengthening basic scientificfields, and areas for which there is especially strong socialdemand so as to contribute to the development of economics,society and culture in Japan in the 21 st century.Duration: 3-6 yearsGrant: 20-600 million yen yearly per areaUrgent and important research projectsPromotion ofPublication ofResearch ResultsPublication ofScientificResearch ResultsPriorityEncouragementSubsidiesPublication of results with high scientific valueDuration: 1 yearAcademic research projects with outstanding characteristics forwhich there is academic and social demand, undertaken byacademic research groupsDuration: 1 yearCOE FormationBasic ResearchForming Centers of ExcellenceDuration: 5 yearsCollaborationBetweenUniversities andSocietyResearch with strong practical applications that is promotedthrough organic ties with local research development projects, etc.Duration: Up to 3 years140

CategoriesScientific Research(S)Aid for researchDescriptionCreative and pioneering work by individual researchers or smallgroups of researchersDuration: 5 yearsGrant: 50-100 million yen per projectScientificResearchExploratoryResearch(A)(B)(C)(Divided into A, B or C by application amount)Creative and pioneering work by individual or multipleresearchersDuration: 2-4 years, or 1 year for research planningCategory A: 20-50 million yen per projectCategory B: 5-20 million yen per projectCategory C: Up to 5 million yenOriginal research, especially using unexpected ideas, in an earlystageDuration: Up to 3 yearsGrant: Up to 3 million yen per projectEncouragementofYoungScientists(A)(B)Promotion ofPublication ofScientific ResearchResultsScientificPeriodicalsResearch carried out by individual researchers of up to age 37Duration: 2 yearsGrant: Up to 3 million yen per projectResearch carried out by individual pre-school, elementary orsecondary school teachers and individual citizensDuration: 1 yearGrant: Up to 300,000 yen per projectPeriodic publication of academic journals by academic societies orgroups of cooperating academic societies to promote internationalexchangeScientificLiteraturePublication of academic literature to disseminate research resultsproduced by individuals or groups of researchersDatabasesCompilation of databases by individuals or groups of researchersthat have already proved practical and have the purpose of openlydisseminating information through academic informationsystems, etc.141

JSPS FellowsResearch conducted by JSPS fellows (including foreign fellows)Duration: Up to 3 yearsCreative ScientificResearchScientificResearch themes particularly important in advancing research inparticularly outstanding areas of research selected for grants inorder to further advance highly original scientific researchDuration: 5 yearsDistribution process for Grants- in- Aid for Scientific Research(a) Subsidy systemGrants-in-Aid are government subsidies, and are subject to various systemicrestrictions, such as observance of national fiscal laws and regulations. Forexample, even in the case of a grant for a research plan requiring afour-year research period, the complete grant is in fact broken down on anannual basis, with the JSPS having to grant a new subsidy every fiscal yearand researchers tackling their plans on a year-by-year basis.The budget for government subsidies is planned and settled on a singlefiscal year basis (the period between April 1 and March 31 every year).Further, details of the government subsidy system such as the nature of thesubsidy, grant procedures and penalties are all prescribed in the Law onRedressing Budget Execution in Regard to Subsidies, Etc (Law No. 179,1955), and subsidy spending performance and content are subject to auditby the Board of Audit. In addition, Grants-in-Aid for Scientific Researchhave to conform with regulations such as “Rules Concerning the Handling ofGrants-in-Aid for Scientific Research,” which stipulate the purpose andcontent of the assistance which can be given.Consequently, the JSPS conducts its screening activities over the very shortperiod of four months from the receipt of applications in November of theyear prior to research implementation, aiming to expedite the processthrough from opening applications, screening, sending out notification ofresults and distributing subsidies so that the money will reach theresearchers as quickly as possible.In addition, the system for Grants-in-Aid (Scientific Research, etc.), isdesigned around a research environment such as at universities, etc., which142

means that only researchers at research institutions with the basic researchconditions in place (a research organization of a certain size, researchfacilities, and a working research budget, etc.) are eligible to submitapplications. The system aims to subsidize the costs directly necessary forresearchers at host institutions meeting these basic conditions to addressthe research projects they have selected, and MEXT endeavors to allow themost flexible possible handling in terms of grant distribution and deadlinesfor subsidy use in order to facilitate researchers’ activities.For example, to secure as much time for research as possible under Japan’scurrent accounting system, and to allow researchers to begin work as earlyas possible, the Grants-in-Aid system allows researchers to launch into theirprojects as soon as they have been unofficially informed of grant notification(where it has been agreed that research will be ongoing, as of April 1 of theyear in which that agreement was reached).Another restriction placed on the Grants-in-Aid system is that funds cannotgenerally be provided for buildings and other facilities or for equipment thatshould be put in place by the research institution. Expenses which initiallycould not be covered included foreign travel costs and the employment ofresearch assistants, but MEXT’s improvement of the system now allowsgrants to be used for such expenses based on certain rules.(b) Grant distributionOnce screening of Grants-in-Aid for Scientific Research has been completed,a plan is submitted to the Minister of MEXT which summarizes theresearch projects of research for which grants are to be given. After theMinister of MEXT has approved the plan, notification is given throughresearch institutions (around 900 as at the beginning of FY2001) of theselected research projects (around 34,000 as at the beginning of FY2001).Principal Investigators for the selected themes draw up the grantapplications necessary to receive funding, and submit these to the JSPS.The JSPS reviews the applications in detail, sends out official grantdistribution notifications, and remits the funds. The notifications informsuccessful applicants of details such as approval procedures in the case ofchanges to the conditions of grant use or grant content, etc. Where approval143

is needed for conditions of grant use, the Principal Investigator must gothrough approval application procedures with the JSPS.After the initial distribution, the JSPS handles approval work such as thegrant redistribution procedures accompanying the movement of a principalinvestigator to another research institution, and resear ch organizationchange procedures, and also undertakes a detailed review at the end ofevery fiscal year of performance reports concerning the use of grants andresearch results, etc. The JSPS is always ready to respond to inquiriesconcerning grant execution from research organizations or researchersreceiving grants.The grant distribution process generally takes the following course.(Early Sept. in prior fiscal year)Application forms and conditions sent out to research institutions.(Late Nov. in prior fiscal year)Research proposals received based on application conditions.(Early Dec. in prior fiscal year through late March)Allocation screening (screening of research proposals)(Mid-April)Unofficial notification (success or failure) sent out to researchers through researchinstitutions(Mid-May)Receipt of grant application forms à Screening of applications(Mid-June)Distribution of grants decided, notification provided à Remittance of grants (researchbegun)(Early April the following year)Performance reports received à Review of reports à Decision on grant valueApplication conditions for Grants-in-Aid include research categories inwhich applications are being received, aims, research duration, applicationamount, and research proposal submission deadlines. Details are alsoattached concerning the screening guidelines for the previous fiscal year,screening organization, and the “Rules Concerning the Handling of144

Grants-in-Aid for Scientific Research.” Researchers develop their researchplans based on this information, and must provide details such as the nameof the principal investigator, research theme, the funds sought, researchorganization, research goals, research plans and methods, the course ofresearch to date and results achieved or the state of preparation, andresearch achievements (dissertations and publications, etc., from the lastfive years).Application conditions are drawn up in line with the budget request placedby MEXT every summer for the next fiscal year, ensuring that conditionsare consistent with the content of the budget request.Disclosure of Grants- in- Aid research resultsAs the announcement by researchers of research results achieved throughthe Grants-in-Aid scheme at academic meetings, etc., as well as thedissemination of these results to the wider public, are considered to bevaluable means of feeding back scientific research into society, overviews ofresearch results and reports on research results are made public throughthe following means.* Overview of research results (Grants-in-Aid for Scientific Researchdatabase)Annual reports of approximately 800 characters concerning research resultsand overviews of research result reports, also of approximately 800characters and summarizing research results once the research period hasended, are provided as an electronic database held by the National Instituteof Informatics.* Reports on research resultsFor some Grants-in-Aid research categories (such as Scientific Research),principal investigators create and submit a report on summarizing researchresults from the chosen theme, and copies of these are presented by theJSPS to the National Diet Library where they are available for publicperusal. Further, the universities, etc., to which researchers belong are alsoasked to make copies available for viewing where possible in their ownlibraries.145

(2) Screening for Grants- in- Aid for Scientific ResearchWithin the JSPS, the Research Aid Division in the Research ProgrammeDepartment handles grant distribution, while a certain part of the ResearchPromotion Division in the same department deals with the distribution ofgrants for the promotion of publication of scientific research. These twodivisions, described hereunder as the “Research Aid Division, etc.,” arestaffed by clerical staff, whose primary tasks relate to the operation ofscreening committees for Grants-in-Aid and grant distribution procedures.Committee screenings of the various research proposals are conducted byuniversity faculty members and other personnel registered with the JSPS ascommittee members.Committee on Grants-in-Aid for Scientific Research and the selection ofcommittee membersTo ensure appropriate and efficient screening of Scientific Research andother categories of Grants-in-Aid for Scientific Research, the variousdomains are broken down in table form by academic area, fields, and topics(categorization table), and applicant researchers from universities, etc.,select their category from the table and submit research plans accordingly.JSPS grant distribution screening is handled by the JSPS Committee onGrants-in-Aid for Scientific Research, with committee members allocated foreach section of the above table to ensure that screening is geared to theresearch characteristics of each category. Committee members accordinglycomprise some 3,800 researchers from various academic disciplines.146

Grants-in-Aid Organizational ChartJSPS PresidentCommittee on Grants-in-aid for Scientific ResearchScreening Subcommittee 1Scientific Research (S)Scientific Research (A)Scientific Research (B)JSPS FellowsSteering SubcommitteesScientific Research (S) Coordination SubcommitteeGeneral Coordination SubcommitteeDevelopment Coordination SubcommitteeForeign Scientific Study Coordination SubcommitteeScreening Subcommittee 2Scientific Research (S) Humanities and Social Science SubcommitteeScientific Research (S) Physics SubcommitteeScientific Research (S) Chemistry SubcommitteeScientific Research (S) Biology SubcommitteePhilosophy SubcommitteePsychology, Sociology, Education, and Cultural Anthropology SubcommitteeHistory SubcommitteeLiterature SubcommitteeLaw SubcommitteeEconomics SubcommitteeScience SubcommitteeEngineering SubcommitteeAgriculture SubcommitteeMedicine SubcommitteeSubcommittee 1 for Interdisciplinary AreasSubcommittee 2 for Interdisciplinary AreasAdvanced Humanities and Social Science SubcommitteeAdvanced Science SubcommitteeSubcommittee 1 on Advanced EngineeringSubcommittee 2 on Advanced EngineeringAdvanced Agriculture SubcommitteeAdvanced Medicine SubcommitteeSubcommittee on Foreign Scientific Studies in Humanities and Social ScienceSubcommittee on Foreign Scientific Studies in EngineeringSubcommittee on Foreign Scientific Studies in BiologyScientific Research (C)Exploratory ResearchEncouragement of Young Scientists (A)Steering SubcommitteeCoordination SubcommitteePhilosophy SubcommitteePsychology, Sociology, Education, and Cultural Anthropology SubcommitteeHistory SubcommitteeLiterature SubcommitteeLaw SubcommitteeEconomics SubcommitteeScience SubcommitteeEngineering SubcommitteeAgriculture SubcommitteeMedicine SubcommitteeSubcommittee 1 for Interdisciplinary AreasSubcommittee 2 for Interdisciplinary AreasEncouragement of Young Scientists (B) SubcommitteeResults Publication SubcommitteeEncouragement of Young Scientists (B)Scientific literatureScientific periodicalsDatabasesSteering SubcommitteeCoordination SubcommitteeCreative Scientific Research SubcommitteeHumanities SubcommitteeSocial Sciences SubcommitteeScience and Engineering SubcommitteeBiology SubcommitteeScientific Discipline CreationIn selecting committee members, the JSPS asks the Science Council ofJapan to recommend candidates, with the appropriate persons chosen foreach academic area from the recommended university researchers.147

To ensure a fair screening process, the following conditions are placed oncommittee membership:* That twice the necessary number of committee members are recommended* That committee membership is not weighted toward particularuniversities* That sufficient numbers of women researchers are considered ascandidates* That the names of committee members, etc., are not announced during thescreening/distribution period so as to ensure the autonomy and fairness ofscreening.Committee members are appointed by the JSPS on a part-time basis andasked to cooperate in screening.ScreeningThe Committee on Grants-in-Aid for Scientific Research stipulatesscreening guidelines and evaluation standards grounded in the basicapproach to screening laid down by MEXT’s Council on Science andTechnology. An overall evaluation is made based on the subcategories ofresearch content, research plan, appropriateness as a research category andappropriateness of size of grant. In addition to evaluations from a specialistperspective, after the initial application screening, a conference is heldamong different committee members to determine whether or not theapplication will be accepted in order to ensure that research grants arebeing distributed in line with scientific research trends.The process is as follows.• MEXT notifies the JSPS of its basic approach to grant distribution (determinedthrough the deliberations of the Council on Science and Technology).• The JSPS Committee on Grants-in-Aid for Scientific Research discusses anddetermines screening guidelines based on the above approach.Examples of screening guidelinesu Priority shall be given in the distribution of grants for the researchprojects and the publication of research results to those areas importantin terms of the current state of Japanese science, bearing in mind thegoals and nature of the various research categories.In selecting research projects, factors such as the clarity of researchgoals, research originality, the degree of contribution to the immediate148

discipline and related disciplines will be taken into consideration, and arigorous evaluation made of the results achieved by the researcher todate (excluding Exploratory Research), choosing the projects most likelyto produce results. Full consideration shall also be given to thepioneering and development of new academic disciplines.u Research projects shall be selected which are conducive to thepublication of results after the research has been completed.u Distribution of grants for Scientific Research, Exploratory Research, andEncouragement of Young scientists (A) shall be determined through atwo-tiered process comprising screening by individual reviewers followedby a conference. The first screening will examine written applicationsthrough specialized viewpoints. Evaluation standards for this firstscreening will be determined separately. The second screening will focuson general and necessary adjustments from a broad-ranging perspectivebased on the results of the first screening, with screening conductedthrough a conference of individual subcommittees.• Three to six subcommittee members individually examine each written application(research proposal) from an expert perspective in the first screening (approx. 3,100reviewers involved)• Second screening focuses on the necessary general adjustment from abroad-ranging perspective based on the results of the first screening. A conferencecomprising several to 20 members from individual subcommittees in particularfields conduct the evaluation.(Successful research proposals chosen; approx. 700 reviewers involved)Disclosure of screening resultsThe success or failure of applications is notified through the universities,etc., to which the principal investigators belong. In addition, informationabout selected projects is available from the Grants-in-Aid for ScientificResearch selection project database operated by the National Institute ofInformatics, which provides the titles of successful research projects andresearchers’ names, etc.Since FY1999, those researchers who requested notification of the firstreview result at the time of application and are not selected, are notified oftheir result in an approximate ranking of one to three for the field or topic inwhich they applied.As of FY2002, in addition to notification of rank, evaluation results in termsof research content and research plans, etc., will also be made available.149

Midterm and Posterior EvaluationsIn many cases, announcement by researchers of their papers at academicsocieties, etc., provides what is in effect the most rigorous and fair posteriorevaluations they might receive of the research project they pursued with theGrants-in-Aid. Given this situation, as well as the issue of evaluationefficiency, it is therefore considered adequate to evaluate individual researchproject only at the screening stage.Consequently, midterm and posterior evaluations on comparatively smallgrants (for example, Scientific Research, etc.) by setting review committeeshave not been undertaken since the days when the Monbusho was in charge.However, as a means to substitute the posterior evaluations, researchers areasked to report the results of their research projects sponsored by theMonbusho so far when they submit new applications, which are evaluatedtogether with new proposals.This method is thought to be extremely effective in terms of systemizingposterior evaluations and also improving prior evaluations.In addition, midterm and posterior evaluations will be systemized andimplemented for research categories receiving comparatively large grants,such as the Scientific Research (S) category initiated as of FY2001.(3) University- Industry Research Cooperation ProgramSince its predecessor was established in 1932 as a non-profit foundationthrough to the present day, the JSPS has played a unique role as aninterface between academia and industry and between basic research andR&D.In particular, the JSPS has formed numerous university-industrycooperative research committees which bring together leading researchersfrom academia and industry for research consultation and informationexchange on key R&D themes, providing arenas for university-industrycooperation. The University-Industry Research Cooperation Program whichsupports these committees has been a key JSPS program since the150

organization’s inception, and has produced a substantial harvest.There are few other organizations which allow researchers around Japanfrom related fields to engage in free, inter-disciplinary research exchangebeyond the bounds of universities and companies, and even beyond thestructures of their disciplines. The various JSPS committees therefore playan important role as an interface between academia and industry, not tomention as a catalyst for university-industry research breakthroughs.Two of the main elements of the program are the Advisory Committee onUniversity-Industry Cooperation and the University-Industry CooperativeResearch Committees, which are outlined below.Advisory Committee on University- Industry CooperationAs noted above, the University-Industry Research Cooperation Program isconducted primarily through the activities of thematic university-industrialcooperative research committees. However, from an even broaderperspective, the Advisory Committee on University-Industry Cooperationwas established in 1982 to push the program forward more comprehensivelyand systematically, comprising key figures from industry and academia.The Advisory Committee was set up in response to the need to expand andstrengthen the JSPS University-Industry Research Cooperation Program asnoted in the “Response to Social Demands of Scientific Research” section inthe summary of Science Council discussion on Basic Policies for ImprovingScientific Research Mechanisms, which also proposed the formation of sucha committee.The Advisory Committee deliberates on measures for promotinguniversity-industry cooperation with a view to the future, and discusses andconsiders the establishment, continuation and dissolution ofuniversity-industry cooperative research committees, as well as areas andthemes which could be advanced through university and industry ties andpromotion measures for these.151

University- Industry Cooperative Research Committees(a) OverviewAs noted above, these committees, each focusing on a specific and importantR&D subject, are organized at the request of academia or industry. A total of174 committees have been establishe d to date, with 57 currently inoperation. The most recently established were the Committee onCommunications Switching Power Supply Systems for Coming Era (No. 173;July 2001) and the Committee on Molecular Nanotechnology (No. 174;October 2001).Committees primarily focus on research briefings and discussion, but arealso vigorously involved in a wide range of other activities, including holdingseminars and symposia for Japanese and foreign researchers, conductingjoint research, and publishing research results. In the case of researchbriefings and discussion, themes are selected based on industrial needs,with considerations approached from diverse angles.Because committees bring together leaders in their respective fields, theyare used by young researchers in companies, etc., in particular as a valuabletraining ground. There have been cases where young company researcherswho have become acquainted with university researchers through suchcommittees have gone on to acquire a doctorate from research resultsachieved under their supervision. In this way, the committees alsocontribute to human resource development.Operating expenses are in principle covered by membership fees used to payfor committee activities.The JSPS subsidize part of the costs for international symposia organizedby committees.(b) Success storiesThe set of measurement techniques known as the Method of the JapanSociety for Promotion of Scientific Research are one case where theknowledge has been acquired to form the basis for developing and refiningnew technology. One specific example is Ultrasonic Flaw Detection Method,152

a key technique in non-destructive metal inspections, based on which‘standard testing blocks for sensitivity’ was developed by the Committee onSteelmaking (No. 19), a flaw detector device which has become a JISstandard.More recent examples of R&D include the development of ‘perpendicularmagnetic recording’ as a new magnetic recording technology by theCommittee on Magnetic Recording (No. 144) and ‘standard test method forstress corrosion cracking’ by the Committee on Strength and Fracture ofAdvanced Materials (No. 129).Research results which have emerged through committee activities includepublication of “Towards Zero-Emissions Industries: Trends in Reutilizationin Industries” by the Committee on Zero Emissions (No. 168), “LiquidDevice Handbook” by the Committee on Organic Materials Used inInformation Science and Industry (No. 142), “Microbeam Analysis” by theCommittee on Microbeam Analysis (No. 141) and “Advanced Ceramics:Basics and Applications” by the Committee on High Temperature CeramicMaterials (No. 124).In addition, some committees have evolved into new academic societies. Forexample, the Committee on Corrosion Prevention (No. 97) became the JapanSociety of Corrosion Engineering in January 1974, and the Committee onApplied Magnetism (No. 137) became the Magnetics Society of Japan inApril 1977.153

Chapter IV. Fostering Researchers(1) Fostering researchers in universitiesHigher education systems (overview of university systems from theperspective of fostering researchers)Graduate schools play the role of promoting scientific research, andparticularly basic research, as well as fostering researchers and otherhuman resources with high-level specialist abilities. Ministry of Education,Culture, Sports, Science and Technology (MEXT) has been working toexpand and improve graduate schools, and responding to the November1991 report by the University Council entitled “Quantitative Improvementof Graduate Schools”, which noted that the scale of graduate schools had tobe at least doubled overall by 2000, has instituted various measures such asestablishing new graduate schools and boosting graduate school enrolments.As a result, 479 universities established graduate schools in FY2000,around 70 percent of all of Japan’s 651 national, public and privateuniversities. Moreover, there were 205,000 students enrolled in graduateschools (143,000 master course students and 62,000 doctoral coursestudents), more than twice the 99,000 enrolled in FY1991 (69,000 mastercourse students and 30,000 doctoral course students). However, the ratio ofgraduate to und ergraduate students is only 8.3 percent, well undercountries such as the United Kingdom (33.6 percent), the United States(16.6%) and France (18.3 percent).Graduate schools generally comprise Masters and doctoral courses. Masterscourses are intended to further develop the expertise fostered atundergraduate level in line with their status as the first stage in thefostering of researchers and directions in terms of fostering high-levelprofessionals. Doctoral courses are the key institutions in promoting basicand advanced scientific research, fostering outstanding researchers andserving as bases for world scientific research.Various measures for fostering researchers and securing young researchershave been adopted particularly for doctoral courses. The JSPS uses itsFellowship Programs to set up in particular those outstanding young155

students who have passed a review by expert researchers, providingresearch fellowships and Grants-in-Aid for Scientific Research for 2,966students, or just under five percent of doctoral students, in FY2001.A research assistant system has also been set up within nationaluniversities for talented doctoral students at graduate school who wish tobecome researchers, with an intake of 4,267 students under this system inFY2001.In addition, the following assistance is available for general doctoralstudents, including those who are not seeking to become researchers.* Japan Scholarship Foundation scholarship loans: Student fees and otherexpenses paid for talented students without the economic resources toproceed in their studies (23,580 scholarships granted in FY2001)* Fee waivers for national schools: Students with good academic records butwithout the economic resources to pay school fees receive waivers for half orall their fees (19,253 received waivers in FY2001)* Teaching assistant system: Targets talented graduate students at nationaluniversities (8,401 students in FY2001)In FY1997, 13,263 students obtained doctorates in the area of naturalscience. This figure is twice as much as in 1980, and tops the UK figure ofaround 8,000 (FY1997), but does not reach US or German levels(approximately 22,000 in FY1996, and approximately 19,000 in FY1997respectively). Moreover, the ratio of researchers with doctorates to totalresearcher figures is still low.The number of graduate school students is expected to grow over the comingyears, and one study estimates that in 2010, there will be 82,000 studentsenrolled in doctoral programs, with just under 18,000 completing theseprograms. The number of staff at two-year junior college and four -yearuniversities, however, is expected to drop from 158,000 in 1995 to 153,000by 2010, partly because of lower student numbers. Demand for staff atjunior college and universities will therefore range from 9,000 to 10,000every year, of which around quarter of the demand is expected to be forstudents who have just completed their doctoral courses. Changes in the156

industrial structure and elsewhere make it difficult to predict overalldemand, including those graduates who will take up posts in companies, butthe figure is envisaged at around 12,000-13,000, which does not absorb all18,0000 students who have completed their doctorates. Many of theremaining graduates are envisaged as already employed and taking theirdoctoral courses as mid-career professionals, while others will continue theirresearch with assistance from systems such as the JSPS ResearchFellowships for Young Scientists.Career paths taken by postdoctorals and researchersBecause lifelong employment has been the general practice in Japan, manystudents have leaned strongly toward taking up fulltime positions asuniversity assistants, etc., as soon as possible, but in fact few post-doctoralstudents wishing to continue their research are able to find jobs in four -yearor two-year universities immediately after acquiring their degree. Moreover,as in many other advanced countries, researchers really need to engage in avariety of research projects to boost their research abilities, earning aresearch reputation on the basis of which to win a suitable post.Efforts are therefore being made to enhance measures such as fellowshipsand national university part-time research positions so that the bulk ofresearchers can spend their first post-doctoral years researching in thecapacity of post-doctoral researchers before taking up fulltime posts.Further, promoting research activities requires greater mobility on the partof researchers at home and abroad, and the right kind of environment needsto be developed in terms of systems, etc., so that young researchers inparticular can advance their research as postdoctorals in the researchinstitutes most suited to the development of their research, rather thansimply staying on at their own universities, before they take on fulltimepositions.The Program to Support 10,000 Postdoctorals was consequently created aspart of the first phase of the 1996 Basic Plan for Science and Technology tocreate an environment in which young researchers could concentrate ontheir own independent research under supervision.157

This program sought to improve and strengthen Japan’s pool ofpost-doctoral researchers, shallow compared to the US and Europe, andestablish this research experience as an important step in a researcher’scareer path as a means of honing researchers’ abilities and setting in place amechanism whereby these researchers play a more significant R&D role. Itwas therefore decided to strengthen Japan’s research development capacity,create an environment in which researchers could focus on their researchdevelopment activities, foster and secure the human resources underpinningresearch development, and develop systems allowing the use of externalsupport functions. The goal was established of supporting 10,000postdoctorals by 2000.Various programs were subsequently implemented, including JSPSprograms for fostering researchers (Fellowship Program, PostdoctoralFellowships for Foreign Researchers, and Postdoctoral Fellowships forResearch Abroad), the research associates appointed under the JSPSResearch for the Future Program, the part-time researchers in nationaluniversity Centers of Excellence, STA Fellowships supported by the JapanScience and Technology Corporation (integrated into the JSPS program as of2002), and Core Research for Evolutional Science and Technology (CREST)set up by the Japan Science and Technology Corporation. As a result, the10,000 postdoctoral goal was reached in FY1999. The Program to Support10,000 Postdoctorals has therefore created a greater pool of young Japaneseresearchers and contributed to stimulating the research environment, butissues remain in terms of, for example, relationships with researchsupervisors during the postdoctoral period, and career paths after thepostdoctoral period has ended. Other systemic improvements have beenmade, such as relaxation of regulations on the dual employment of civilservants to promote university-industry cooperation, and the introduction ofa fixed tenure system, but there is still much room for improvement interms of increasing the current mobility of human resources.Role of foreign students and researchersBased on two sets of recommendations from emine ntpersons, ”Recommendations for Foreign Student Policy toward the 21 stCentury” (1983) and “Developing Foreign Student Policy in the 21 st158

Century”, (1984), the Monbusho established as a goal the intake of 100,000foreign students in the early 21 st century. However, total foreign studentnumbers in FY2000 were around 64,000, well under the target. Numbersare also low compared to around 515,000 foreign students in the US, around219,000 in the UK, and around 166,000 in Germany and France. The 1.8percent ratio of foreign students to the total number of students in highereducation also undercuts other countries.Japan’s current policy on foreign students is delineated in “Development ofan International Intellectual Contribution and New Foreign Student Policy:Post-2000 Foreign Student Policy”, a document created in March 1999 bythe Round Table on Foreign Student Policy. This report cites foreign studentprograms as an international intellectual contribution to world stability anddevelopment, as well as being valuable for Japan in terms of (1) promotingmutual understanding between Japan and other countries andstrengthening friendly relations; (2) strengthening Japan’s intellectualinfluence in the international community; and (3) creating a moreinternational socioeconomic structure for Japan. The report does notmention the place of foreign students as human resources for Japan’s futureR&D.According to the Basic Plan too, measures are to be taken to allowoutstanding young researchers to become actively involved in researchactivities in Japan, to which end, for example, an environment, in whichexcellent foreign researchers are able to engage in R&D activitiescompetitively, should be provided in Japan. One example is the publicinstitutes could employ and treat young foreign researchers oncorresponding to their ability and achievement by the fellowship scheme,and competitive research funds should be arranged to enable foreignresearchers working in Japan to apply in English.There are a number of specific programs for assisting young foreignresearchers, including the JSPS Postdoctoral Fellowships for ForeignResearchers which are described later in this chapter. Most fellows whohave come to Japan through the JSPS program return to their countries orcontinue their research in a third country, although some subsequently take159

up posts at Japanese universities and other research institutions.Of those foreigners working in Japan as fulltime researchers, in FY1999,4,776 were employed as university staff, or 3.2 percent of nationwideuniversity staff numbers (147,579). Moreover, while staff working atnational or private universities are regarded as national or local civilservants, under the Law on Special Measures Concerning the Appointmentof Foreign Teaching Staff to National and Public Universities, foreigners toocan be appointed to these posts.Promoting understanding of scienceTo achieve the “nation based on creativity of science and technology” cited inthe Basic Plan, public trust and support for science and technology areessential, while highly creative human resources must be fostered. In recentyears, however, young people have drifted away from science and technology,as well as science courses, and urgent measures need to be taken to redressthis situation.This growing lack of interest in science, technology and science courses isapparent in international surveys. According to an OECD internationalsurvey, in terms of the percentage of the public interested in science andtechnology, Japan came in lowest of all 14 countries surveyed. TheInternational Association for the Evaluation of Educational Achievementsurvey similarly found that while Japanese students achieved high results,the percentage of students who liked or enjoyed studying science was amongthe lowest internationally, as was the percentage of students who thoughtthat science was an important part of daily life or that they would like to doa job using science.To address this situation, MEXT developed the “We Love Science, andTechnology” Plan, implementing the following programs.* Super Science High SchoolsHigh schools or combined junior and senior high schools developingcurricula with an emphasis on science and mathematics, or joint researchtogether with universities, etc., are designated as “super science high160

schools”.* Science Partnership ProgramSponsoring of special classes taught by prominent scientists and engineers,development and trial of textbooks for science education, use of researchfacilities for teaching, etc.* Development of advanced science and technology education contentR&D on digital content concerning interdisciplinary areas, etc.* Upgrading of national science museums(2) Research fellowship programsProgram to Support 10,000 PostdoctoralsThe first Science and Technology Basic Plan, adopted by the Cabinet in 1996,stipulated that the Program to Support 10,000 Postdoctorals, which isdesigned to foster and expand the number of young researchers, shouldachieve its aims by 2000. Various programs for supporting youngresearchers were accordingly expanded and enhanced, and the 10,000 markwas reached in FY1999. As a central element in the Program to Support10,000 Postdoctorals, the Fellowship Program implemented by the JapanSociety for the Promotion of Science (JSPS) provided support for around4,500 of the 10,000 young researchers targeted in FY2000, marking it as acore program in Japan’s assistance for young researchers.The second Science and Technology Basic Plan, adopted by the Cabinet in2001, also refers to fostering and securing young researchers, noting theimportance of ensuring their independence so that they are able to fullyexert their abilities. The Plan commended the Program to Support 10,000Postdoctorals as having built an environment in which postdoctorals couldfocus on their research, while also pointing to the need to improve thequality of postdoctoral and other support systems through, for example, thedispatch of postdoctorals to administrative institutions and companies, etc.,and greater support for outstanding doctoral students.To help promote researcher mobility, the second Science and TechnologyBasic Plan stresses the acquisition by researchers of wide-rangingexperience and exchanges among industry, academia and government. It161

suggests that in addition to fostering research abilities, a broad range ofcareer paths need to be secured so that young researchers can put theirskills to work in government, industry and elsewhere throughout society.The JSPS’s Fellowship Program, Postdoctoral Fellowships for ResearchAbroad and Postdoctoral Fellowships for Fo reign Researchers are part of theabove endeavors to foster young researchers.Philosophy behind JSPS fellowship programsThe JSPS has three programs for fostering young researchers, namely theJSPS Research Fellowships for Young Scientists, Postdoctoral Fellowshipsfor Foreign Researchers and Postdoctoral Fellowships for Research Abroad.The Research Fellowship for Young Scientists Program aims to provideprominent young Japanese researchers with the opportunity early in theircareers to concentrate on their research, choosing where and what toresearch based on their own imagination, thus contributing to the trainingof young researchers with great originality who will serve as the mainstaysof Japan’s scientific research in the future. Under this system, doctoralstudents and postdoctorals with outstanding research ability who wish tofocus on research at university or other research institutes are selected asresearch fellows and granted fellowships.Postdoctoral Fellowships for Research Abroad sends outstanding youngresearchers abroad to concentrate on long-term research at universities andother academic research institutions to train and secure talentedresearchers with an international perspective to bear the future of Japanesescience.Postdoctoral Fellowships for Foreign Researchers gives young foreignresearchers who have just completed their doctorates the chance to engagein joint research at Japanese universities and other research institutionsunder the guidance of Japanese researchers, assisting in advancing theresearch of individual foreign researchers while al so contributing toscientific progress in Japan and abroad.162

The background to the initiation of each of these programs is as follows.(a) JSPS Research Fellowships for Young ScientistsThis system was implemented as of FY1985 based on a Science Councilreport entitled “Basic Measures to Improve Japan’s Scientific ResearchSystem” (February 6, 1984). The report notes that scientific researchdevelops on the basis of researchers’ intellectual activities, and that trainingand securing researchers is of highest priority in terms of strengthening anddeveloping the foundations of scientific research. Young researchers inparticular not only comprise the core of future research, but are alsoimportant players in current research, as well as having the potential tocreate new concepts and new research developments. The report thereforefinds that designing appropriate measures for young researchers with aview to training and securing researchers is a key issue in promoting theadvance of scientific research.(b) Postdoctoral Fellowships for Research AbroadImplemented as of 1982. When the Special Committee on Japan’s ScientificResearch System, a body under the auspices of the Science Council,surveyed and deliberated on the training and securing of outstanding youngresearchers, it identified this program as effective in responding to issuessuch as the impact on maintaining and developing the future quality andresearch standards of researchers at universities, etc. This was because itachieved the important task of dispatching outstanding young researchersabroad at the point where their research abilities were most likely toflourish and the content of their research most likely to develop, and settingthem to research in an environment providing outstanding research staff,facilities and materials, as well as the opportunity for contact, exchange andcompetition with frontline foreign researchers.(c) Postdoctoral Fellowships for Foreign ResearchersRecognizing the valuable store of experience which has been built up byyoung Japanese researchers from the postwar period through to the presentday thanks to the goodwill of the United Kingdom, the United States,France and other advanced countries, this system was initially establishedin FY1979 as the “Invitation Program for Postdoctoral Researchers from UK,163

West Germany and France”, as a contribution by Japan to internationalscientific exchange. It was launched in response to Japan’s attainment inthe late 1970s of scientific standards which were in some cases, equal oreven higher than those in other advanced countries in certain areas, as wellas the fact that the JSPS’s exchange programs with other advancedcountries, launched as of the mid-1970s, had gathered momentum and werebeginning to produce results. Drawing on the achievements of the program,an expanded version was established in FY1988 with a newname—Postdoctoral Fellowships for Foreign Researchers—and a widerscope (initially the US, the UK, West Germany and France).The importance of fostering young researchers has been argued in variousreports and proposals from the time these programs were establishedthrough to the present.(3) Research Fellowships for Young ScientistsResearch Fellowships for Young Scientists(a) ScopeAll areas within the humanities, social science and natural science.(b) Application requirementsStudents under 34 years of age (or under 36 if they are currently enrolledor have completed courses at medical, dentistry or veterinary universities)who meet at least one of the following criteria as of April 1 of the year ofacceptance as a fellow.(i) Research fellow DC (doctoral course)Doctoral course students who are expected to complete the coursewithin three years as at April 1 of the year of acceptance as a fellow.(Note: Foreign students enrolled at Japanese graduate schools canalso apply.)(ii) Research fellow PD (postdoctoral)Persons who have been awarded doctorates (in the case of thehumanities and social sciences, includes those who have been enrolledlonger than the standard period for completion of a doctoral course atthe end of the fiscal year prior to the year of acceptance and have leftuniversity having acquired the necessary credits can also apply if they164

are recognized as having abilities equivalent to persons who have beenawarded doctorates)Persons who are expected to be awarded doctorates by the end of thefiscal year prior to the year of acceptance as a fellowPersons who will have been enrolled longer than the standard periodfor completion of a doctoral course as at April 1 of the year ofacceptance as a fellow(Note: Foreigners who have been granted permanent residence inJapan may also apply.)(c) Fellowship provided (FY2001) and fellowship periodFellowship provided:Research fellow DC: ¥205,000 per monthResearch fellow PD: ¥376,000 per monthFellowship period(i) Research fellow DC (DC1 and DC2)As follows according to the year in which the student will be enrolled as atApril 1 of the year of acceptance as a fellowDC1: Students in the first year of their three-year doctoral course (orequivalent to it)Three years starting April 1 of the year of acceptance as a fellowDC2: Students in the second year of their three-year doctoral course (orequivalent to it)Two years starting April 1 of the year of acceptance as a fellow.(ii) Research fellow PDThree years starting April 1 of the year of acceptance as a fellow.Postdoctoral Fellowships for Research Abroad(a) ScopeAll areas within the humanities, social science and natural science.(b) Application requirementsStudents under 34 years of age (or under 36 if they are currently enrolledor have completed courses at medical, dentistry or veterinary universities)who meet at least one of the following criteria as of April 1 of the year ofacceptance as a fellow.(i) Full-time researchers belonging to Japanese universities or otheracademic research institutions165

(ii) Persons wishing to become full-time researchers at a university orother academic research institution in Japan, and persons with adoctorate or those expected to be awarded a Ph.D by the end of the yearprior to their acceptance as a fellow. (Includes persons who have beenor are enrolled in humanities or social science for longer than thestandard period for completion of a doctoral course and have leftuniversity having acquired the necessary credits, or those who areexpected to be in that position at the end of the fiscal year prior to theyear of acceptance as a fellow.)(Note: Only those foreigners who have been granted permanentresidence in Japan are eligible to apply under the applicationrequirements (ii). Persons who have already been accepted once underthis program cannot apply again.)(c) Funds provided (expected FY2001 figure) and fellowship periodFunds provided:(i) Cost of round-trip air ticket (actual cost)(ii) Stipend and research grant (annual sum of ¥3.8-5.2 million,according to the country to which the researcher has been sent)Fellowship periodTwo yearsPostdoctoral Fellowships for Foreign ResearchersThis program comprises two parts, Postdoctoral Fellowships for ForeignResearchers and Postdoctoral Fellowships (Short-term) for US Researchers.• Postdoctoral Fellowships for Foreign ResearchersYoung foreign researchers who have just been awarded their doctoratesconduct research at Japanese universities, etc., for two years. The STAFellowship Program, operated by the Japan Science and TechnologyCorporation (JST), was absorbed into Postdoctoral Fellowships for ForeignResearchers and Invitation Fellowships Program as of FY2001, and will becontinued with national laboratories, etc., added to the host institutions forthese programs.• Postdoctoral Fellowships (Short-term) for US ResearchersA program whereby young researchers from the US who have just beenawarded their doctorates are taken in by Japanese universities for three to11 months.166

(a) Application requirements• Postdoctoral Fellowships for Foreign ResearchersApplication methodsHost researche rs can apply in Japan through their research institutions,while foreign researchers can apply through their countries’ nominatingauthorities. Applications by host universities can also be made throughresearch leaders receiving Grants-in-Aid for Creative Scientific Researchor research leaders in the Centers of Excellence Formation Program.ScopeAll areas of the humanities, social science and natural scienceRequirements for host researcherFull-time researcher (excludes research associates) at one of the followingresearch institutions wishing to host a foreign researcher fellow: Japanesenational, public and private universities, inter-university researchinstitutions, national experimental research institutions, and thosespecial public institutions, licensed corporations, public corporations orregional public experimental research institutions, etc., engaged inresearch activities.Requirements for foreign research fellows- Citizens of countries with which Japan has a diplomatic relationship.- Persons who have a Ph.D which was awarded no more than six yearsprior to April 1 of the year in which they begin their research in Japan.There is no requirement that the person has a full-time post.• Postdoctoral Fellowships (Short-term) for US ResearchersApplication methodHost researchers can apply in Japan through their research institutions,while US researchers can apply through a US nominating authority.ScopeAll areas of the humanities, social science and natural scienceRequirements for host researchersFull-time researcher (excludes assistant researchers) attached to aJapanese national, public or private university or an inter-universityresearch institution, etc.Requirements for US research fellows- US citizen or permanent residence.- Persons who have a Ph.D which was awarded no more than 10 years prior167

to April 1 of the year in which they begin their research in Japan. There isno requirement that the person has a full-time post.(b) Fellowship provided (expected FY2001 figure) and periodFellowship provided:• Postdoctoral Fellowships for Foreign ResearchersA round-trip air ticketA monthly maintenance allowance of ¥392,000A settling in allowance of ¥200,000An annual domestic research travel allowance of ¥58,500Overseas travel accident and sickness insurance coverageA “Grant-in-Aid for Scientific Research” of up to ¥1,500,000 per year isalso available to cover cooperative research related expenses.Application for this grant must be made by the host researcher.Fellowship period12-24 months• Postdoctoral Fellowships (Short-Term) for US ResearchersFunds provided:A round-trip air ticketA monthly maintenance allowance of ¥392,000A settling-in allowance of ¥200,000An annual domestic research travel allowance of ¥58,500A monthly research support allowance of ¥81,000Overseas travel accident an sickness insurance coverage(c) OrientationThe orientation sessions are held to newly arrived Postdoctoral Fellows.- The sessions are organized by JSPS Fellows Plaza, and normally includethe following components:- Introduction of research system in Japan, and JSPSs programs, policies,and organization- A lecture by a specialist in Japanese language education on effective waysto study Japanese- Presentations by senior colleagues and Japanologists on living in Japan- A traditional Japanese cultural activity168

(4) Review of research fellowship applicationsJSPS Research Fellowships for Young Scientists(a) Review system/process(i) Research fellows are selected through review of their writtenapplications and interviews conducted by an Selection Committee forPostdoctoral and Other Fellowships comprising researchers drawn fromthe frontline of Japanese academia (up to 40 members, with around 1,230experts on call).(ii) A three-person panel of the Selection Committee members and expertsis designated to review each written application according to theparticular discipline in which the applicant is engaged. Reviewers maynot comprise persons from the research institute to which the applicantwishes to be assigned, or to a research institute to which the applicantbelongs or has belonged. Each panel member examines an average ofaround 30 applications, and no more than 50. The three panel reviewsmust be drawn from three different institutions.(iii) Selection of research fellows is based on the following criteria: (a)that the applicant has an outstanding research record, and has thepotential to become a prominent researcher able to bear the future ofscience; (b) that the applicant’s research plans are concrete andoutstanding; (c) in the case of Ph.D, that priority is given to applicantsselecting research laboratories other than those to which they wereaffiliated during their postgraduate studies; and (d) that consideration isgiven to the necessity of fostering researchers in the particular areas.(iv) Scoring of written applications comprises an aggregate evaluation ofthe following: (a) research result; (b) in addition to research plans, theresearch ability and future potential which can be surmised, as well aswhether or not the applicant has a degree. There are four possible grades:A (particularly outstanding), B (outstanding), C (average) and D (lessthan average).(v) Four discipline-specific panels (humanities and social sciences,mathematics and physics, chemistry and biology) convene a joint meetingin early October to decide on applicants who will be accepted to theprogram without undergoing interviews, as well as interview candidates,based on the above application evaluations and the numbers allocated for169

each discipline. In the case of PD and DC2, around 80-90% of applicantsare accepted to the program without interviews, but because it is difficultto evaluate DC1 candidates by research performance, all candidates arerequired to undergo interviews.(vi) Interviews are held in early December, with each candidate given 10minutes before sub-committees set up for each subject area andcomprising committee members and a few experts. The candidate spendsthe first four minutes explaining his or her research results to date andfurther research plans, then responds to panel questions for theremaining time. The second round of successful applicants are determinedfrom the interviews, as well as wait-listed applicants. Interview resultsare notified in early January to applicants and their host institutes.(b) Announcement of resultsResults are notified to the applicants themselves, as well as their hostinstitutions, noting that the applicants has been successful, unsuc cessful,or placed on the waiting list.Postdoctoral Fellowships for Research Abroad(a) Review system/process(i) Research fellows are selected through review of their writtenapplications and interviews conducted by Selection Committee forPostdoctoral and Other Fellowships comprising researchers drawn fromthe frontline of Japanese academia (up to 40 members, with around 1,230experts on call).(ii) A three-person panel of Selection Committee for Postdoctoral andOther Fellowships members and experts is designated to review eachwritten application according to the particular discipline in which theapplicant is engaged. The three panel members must be drawn from threedifferent institutions.(iii) Selection of research fellows is based on the following criteria: (a)that the applicant has the potential to become an outstanding researcherable to bear the future of science as a result of his or her researchexperience abroad; (b) that the applicant’s research plans are concrete andthat full prior negotiations have taken place between the applicant andhost researchers; (c) that a balance is maintained among applicants’specialist areas and research institutions.170

(iv) Review of written applications comprises an aggregate evaluation ofthe following: (a) research record; (b) in addition to research plans, thesignificance of the applicant engaging in research at a foreign institute.There are four possible grades: A (particularly outstanding), B(outstanding), C (average) and D (less than average).(v) Four discipline-specific panels (humanities and social sciences,mathematics and physics, chemistry and biology) convene a joint meetingin late July to decide on interview candidates based on the aboveapplication evaluations and the numbers allocated for each discipline.Results are sent to applicants around mid-August.(vi) Interviews are held in early October, with each applicant given 10minutes before sub-committees set up for each subject area andcomprising committee members and a few experts. The candidate spendsthe first four minutes explaining his or her research results to date andfurther research plans, then responds to panel questions for theremaining time.(b) Announcement of resultsResults are notified to the applicants themselves, and, where theapplicant belongs to an institution, to that institution.Postdoctoral Fellowships for Foreign ResearchersHost researchers can apply from within Japan through their researchinstitution. Foreign researchers can apply through a nominating authorityin their own country.(a) Review system/process• Applications from within Japan(i) Research fellows are selected through review of their writtenapplications conducted by an Selection Committee for Postdoctoral andOther Fellowships comprising researchers drawn from the frontline ofJapanese academia (39 members, with around 1,230 experts on call).(ii) A three-person panel of Selection Committee for Postdoctoral andOther Fellowships members and experts is designated to examine eachwritten application according to the particular discipline in which theapplicant is engaged.(iii) Selection of foreign research fellows is based on the followingcriteria: (a) that the invitation has the potential to promote the research171

of both the applicant (host researcher) and the invited researcher; (b) thatthe applicant and the candidate have engaged in close prior negotiations,and that research plans are concrete; (c) that the institute to which theapplicant belongs has the necessary research environment to receiveforeign researchers; and (d) that the panel’s evaluation comprises fourgrades: A (positively recommended), B (recommended), C (negative towardrecommendation) and D (difficult to recommend). Application forshort-term postdoctoral fellowships for US researchers are assessed aseither acceptable or not acceptable.(iv) Four discipline-specific panels (humanities and social sciences,mathematics and physics, chemistry and biology) convene joint meetingsin early December and mid-July to decide on foreign candidates based onthe above application evaluations and the numbers allocated for eachdiscipline. Results are sent to the head of the applicant institution in lateDecember and early August.• Applications from foreign researchers through a nominating authority intheir own countryCandidates will be chosen based on recommendations from the following.(Nomination quotas have been set for each nominating institution.)List of Nominating AuthoritiesCountryAustraliaAustriaBelgiumBulgariaCanadaNominating authorityAustralian Academy of Science (AAS)Australian Research Council (ARC)Federal Ministry of Science andTransport (BMWV) Austrian Academic Exchange Service(AAES)National Foundation for ScientificResearch (NFWO)Ministry of Education, Science andTechnology (MEST)Natural Sciences and EngineeringResearch Council of Canada (NSERC)Canadian Institute of HealthResearch (CIHR)172

ChinaCzech Rep.DenmarkFinlandFranceGermanyHungaryIndiaItalyNetherlandsNew ZealandNorwayPolandRomaniaSlovakiaSloveniaSwedenSwitzerlandMinistry of Science and Technology(MOST)Academy of Sciences of the CzechRepublic (ASCR)Danish Rectors' Conference (DRC)Academy of Finland (SA)Centre National de la RechercheScientifique (CNRS)Alexander von Humboldt-Stiftung(AvH)Hungarian Academy of Sciences(HAS)National Scholarship Board Bureau(MOB)Department of Science andTechnology (DST)National Research Council (CNR)Italian Ministry of University andScience and Technology Research(MURST)Netherlands Organization forScientific Research (NOW)Ministry of Research, Science andTechnology (MRST)The Research Council of Norway(RCN)Polish Academy of Sciences (PAS)Department of Research, Ministry ofEducation and Research (MER)Slovak Academy of Sciences (SAS)Ministry of Education, Science andSports (MESS)Royal Swedish Academy of Sciences(RSAS)Swedish Agency for InnovationSystems (VINNOVA)Swedish Foundation for StrategicResearch (SSF)Swiss National Science Foundation(SNSF)173

Royal Society (RS)UKBritish Academy (BA)National Science Foundation (NSF)USANational Institute of Health (NIH)Social Science Research Council(SSRC)EUEuropean Commission (EC)*Implementation arm is the Osterreichischer Austauschdienst(OAD).(b) Announcement of resultsResults are notified to the head of the applicant institution. Directnotification is also sent from the JSPS to researchers accepted as fellows.(c) Post-acceptance evaluationForeign research fellows and host researchers are required to submit anmid-term research report 12 months into the fellowship, followed by aresearch report on completion of the fellowship.(5) EvaluationCareer paths following fellowship completionTwo types of surveys are conducted concerning the career paths of foreignresearchers after completion of their fellowships. Firstly, an annualsurvey is made of their circumstances immediately following fellowshipcompletion based on the research reports submitted by the researchfellows. Secondly, a questionnaire is sent out to each researcher everyother year to determine their circumstances one year and then five yearsafter fellowship completion.O ther evaluationsTo evaluate its fellowship programs, the JSPS has established a reviewboard comprising researchers from outside universities, independentadministrative research institutions, and private-sector researchinstitutions. Tasked with program evaluation, the board submitted areport to the JSPS in August 2001 entitled “Regarding the FutureAdministration of the JSPS Research Fellowships for Young Scientists174

Fellowship Program.” The report recommended: (i) Establishment of the“Super Postdoctoral (PD) Fellowship” (provisional name), (ii) Expandingthe Range of Institutions for Conducting the JSPS Fellowship, (iii)Ensuring the Mobility of Research Fellows, (iv) Expanding Assistance toSuperior Postdoctoral Researchers and Ph.D. Candidates, (v) Improvingthe Stipend Provided to JSPS Fellows.175

Chapter V. International Scientific Exchange(1) Overview of Japan’s international scientific exchangeThe Japanese government has concluded scientific and technologicalcooperation agreements and cultural exchange agreements with thegovernments of numerous countries as a means of promoting scientificexchange. The JSPS operates various projects in response to suchintergovernmental agreements and other government measures. Manyprojects are also conducted by the JSPS as one of the institutionsresponsible for implementing Ministry of Education, Culture, Sports,Science and Technology (MEXT) policies, while the JSPS also holdsindependent consultations and runs scientific exchange projects withcounterpart institutions in other countries. Japan’s international scientificexchange embraces not only Europe, the US and other developed countriesbut also Asian nations, with which Japan shares geographical, cultural andhistorical ties. At the same time, little exchange takes place with LatinAmerica, the Middle East, and the African nations. The JSPS’s scientificexchange reflects this pattern.(2) Idea and overview of international exchange projectsVigorous international exchange is important in the development ofscientific research, and also has a major role to play in promotingcooperation and mutual understanding among the nations of the world.Accordingly, since its establishment, the JSPS has devoted a significantportion of its resources to expanding and improving international exchange.As mentioned in the “History of the JSPS” section of “2. Overview of theJSPS,” the JSPS began to address international exchange in 1959 with itsprogram for inviting foreign researchers to Japan, followed in 1963 by theUS-Japan Cooperative Science Program. These efforts have subsequentlyevolved down two lines, namely unilateral JSPS programs in which JSPSindependently invites foreign researchers to Japan, and bilateral programsbased on cooperation with foreign counterpart institutions. Further, since1978, the JSPS has also conducted a program specifically targeting Asiannations to strengthen exchange with our neighbors as one of the177

government’s bilateral programs to provide assistance to developing nations.Unilateral JSPS programs include short-term and long-term foreignresearcher invitation programs, and invitation programs targeting, forexample, leading scientists. Funds are generally provided to individualforeign researchers based on requests from Japanese researchers. This typeof international exchange also includes the travel grants to JapaneseHumboldt Fellows, in conjunction with the Alexander von HumboldtFoundation Program.In terms of bilateral programs, the JSPS launched the US-JapanCooperative Science Program in 1963 together with the US National ScienceFoundation (NSF), while subsequent memoranda of understanding (MOUs)concluded with science promotion societies in countries such as the UnitedKingdom (Royal Society), France (Centre National de la RechercheScientifique) and China (Chinese Academy of Sciences) led to exchange informs such as seminars, joint research and researcher exchange. TheseMOUs basically stipulate reciprocal exchange, in terms not only ofprocedures and cost bearing, but also of achievements by researchers’contribution for both countries.(3) Invitation programs (unilateral programs)JSPS invitation of foreign researchers to Japan began in 1959 withinvitations extended to US and UK researchers. This evolved to includeawards for Visiting Professor and for Visiting Research Associate, whichwere revised in 1975 into the short-term and long-term InvitationFellowship Programs for Research in Japan. The former currently bringsaround 310 foreign researchers a year for a 14 to 60 day period forparticipating in lectures, exchanging of views, and discussions withJapanese researchers, selecting senior foreign researchers who haveproduced outstanding research achievement. The latter brings around 80researchers with outstanding achievements to Japan every year to engagein joint research with their Japanese counterparts on specific themes, withthe length of the stay between two and 10 months.178

In addition, in FY2000, the JSPS initiated JSPS Award for EminentScientist Program, again bringing to Japan foreign researchers withdistinguished professional careers (explained later). Five researchers wereinvited to Japan in FY2000.Another unilateral program began in 1973, which subsidizes the travel costsof Japanese researchers who have been selected for the Humboldt Resear chFellowships and accordingly have to travel to Germany for research. InFY2000, 33 trips (22 outbound and 11 return-bound) were subsidized forHumboldt research fellows.JSPS Award for Eminent ScientistsThe JSPS extends invitations to eminent scientists to come to Japan for thepurpose of associating directly with younger Japanese researchers so as tomentor, stimulate and inspire them to greater attainments. The awardeesmay also be asked to contribute their advice and expertise on ways toenhance the planning, conducting and evaluating of scientific research atJapanese universities and research institutes.The award covers multiple visits over an extended period and includestravel, a stipend, and a research grant.The JSPS asks universities and institutions in Japan that wish to invite aneminent scientist to their campus to submit an invitation plan. The JSPSreviews the plan and decides whether or not to fund the award. The JSPSdoes not accept applications directly. It is the host institution that bothsubmits the application and supports, by carrying out the logistic andadministrative processes, the invitee's stay in Japan.Under this program, Japanese universities and other scientific researchinstitutions invite eminent foreign scientists to Japan for multiple visitsover an extended period and under conditions reflecting their researchachievements. These scientists are expected to provide advice andcooperation on an on-going basis in regard to the research and researchactivities of the ho st institution. The aim of the program is to contribute toboosting the research levels and international standing of Japanese179

universities and to advancing Japan’s scientific research.(4) Bilateral programsBilateral programs are conducted targeting particular countries based onMOUs or agreements concluded by the JSPS with other countries’ academicinstitutions including academies and research councils, or on MOUs oragreements concluded between the Japanese government and othergovernments. The first example was the US-Japan Cooperative ScienceProgram launched in 1963, but it was after the re-establishment of JSPS asa special public institution that exchange began with numerous foreigninstitutions. Today, 37 bilateral exchange agreements or MOUs with 57institutions promote exchange in the form of exchange of scientists, jointresearch projects and joint seminars, etc.Typical forms of exchange(a) Exchange of ScientistsExchange programs whereby the JSPS and a foreign counterpart institutiontogether assist the dispatch abroad of Japanese researchers or the hostingin Japan of individual foreign researchers based on MOUs between theJSPS and the counterpart institution. Such programs are implemented withmost institutions with which bilateral exchange agreements and MOUshave been concluded. Usually, the dispatching country designates itscandidates, with the ultimate decision made with the agreement of the hostcountry. In the case of Japanese researchers dispatched abroad, the JSPSinvites applications from researchers wishing to conduct research abroad,which are then examined by the International Cooperative Science ProgramCommittee to determine the successful candidates.(b) Joint research projectPrograms whereby the JSPS and a counterpart institution together supportjoint research among Japanese researchers and researchers in thecounterpart country (in principle, for two years) based on MOUs, etc.,concluded between the JSPS and its counterpart. The JSPS and thecounterpart institution both receive applications and conduct their ownreview procedures, jointly selecting those joint research plans which both180

evaluated highly.(c) Joint SeminarsPrograms whereby the JSPS and a counterpart institution together supportsmall-scale scientific seminars with participants of Japanese researchersand researchers in the counterpart country based on MOUs, etc., concludedbetween the JSPS and its counterpart. The JSPS and the counterpartinstitution both receive applications and conduct their own reviewprocedures, jointly selecting those seminars which both evaluated highly.Other forms of exchangeBased on recommendations submitted by the MEXT Science Council in 1977,the JSPS began to conclude MOUs and initiating exchange with SoutheastAsian nations as of 1978. Forms of exchange with these countries includeresearcher exchange, joint research, and seminars, as well as a CoreUniversity Program and Ronpaku (Dissertation Ph.D) Program (a programfor supporting students wishing to obtain their Ph.D. degrees from Japan).These forms of exchange have subsequently been implemented with China,the Republic of Korea and India as well.Inter-Research Centers Cooperative Program is also conducted togetherwith some foreign institutions to jointly support large -scale researchprojects.(a) Core University ProgramThe Core University Program provides a framework for internationalcooperative research in specifically designated fields and topics, centeringaround universities designated as core universities in Japan and in thecounterpart Asian countries. Under the program, universities andindividual scientists in the affiliated countries carry out cooperativeresearch projects with sharply focused topics and explicitly delineated goals.This program started with Thailand and Indonesia in 1978, and expanded tothe Philippines in 1979, to Singapore in 1983, to Malaysia in 1984, to Chinain 1993, to the Republic of Korea in 1998, and to Vietnam in 1999. The CoreUniversity Program includes scientist exchanges, cooperative research andscientific seminars.181

Having achieved fruitful results under the bilateral Core UniversityProgram, a Multilateral Cooperative Research Program has been launchedin the fields of biotechnology and coastal oceanography. This programsupports cooperative research on sharply focused topics of researchconducted by research groups composing scientists from Japan and fiveASEAN nations, namely, Indonesia, Malaysia, the Philippines, Thailandand Vietnam.The program integrates researcher exchange and seminars within a singleexchange program and focuses particularly on international joint researchon specific research fields or topics based on MOUs between the JSPS andAsian counterpart institutions. It includes both bilateral and multilateralform of exchange. The exchange is conducted between the designated coreuniversities in both countries and university consortium consists ofresearchers and universities cooperating with core universities. In all cases,programs are implemented on the basis of agreement between the JSPS anda counterpart institution on a research plan developed between the coreuniversities. In FY2001, the Core University Program was conducted with10 institutions in six ASEAN nations (Indonesia, Malaysia, the Philippines,Singapore, Thailand and Vietnam), China and the Republic of Korea.Based on the success of the Core University Program, MultilateralCooperative Research Program has been launched in 1995, comprising jointresearch by researchers from multiple countries on topics of commoninterest among Southeast Asian countries. As of FY2001, the program hadbeen launched in two fields, biotechnology and coastal oceanography.(b) Ronpaku (Dissertation Ph.D) ProgramThe aim of this program is to provide tutorial and financial support forpromising researchers in Asia who wish to obtain their Ph.D. degrees fromJapanese universities through the submission of a dissertation withoutmatriculating from a doctoral course. This program is implemented incooperation with the JSPS's overseas nominating organizations in Asia.The program targets researchers in Bangladesh, China, India, Indonesia,the Republic of Korea, Malaysia, the Philippines, Thailand and Vietnam.182

* Purpose and Outline of the ProgramThe JSPS launched the above program in FY1978 as a means of supportingresearchers affiliated to universities or research institutes (full-time) inAsian nations in obtaining Ph.D. degrees at Japanese universities under thesupervision of researchers there based upon MOUs signed by the JSPS andcounterpart institutions in Asian countries. The project allows researchersto obtain their Ph.D. degrees through the submission of a dissertation basedon degree regulations without matriculating from a doctoral course.Doctoral students receiving support through this project are givenopportunities to visit Japan to engage in research at Japanese universitiesunder the supervision of researchers there. The program also providesJapanese research supervisors with the chance to visit the doctoral student’scountry and supervise research in cooperation with the research supervisorat the university or the research institute, to which the doctoral studentbelongs. The JSPS therefore supports both host researchers and doctoralstudents.Currently, 151 researchers from China, India, Indonesia, the Republic ofKorea, Malaysia, the Philippines, Thailand and Vietnam are supported bythe program.(c) Inter-Research Centers Cooperative ProgramJSPS launched this cooperative science program in April 1994. The objectiveof the program is to promote and support scientific cooperation betweenresearch centers (institutes or research groups) in Japan and in othercountries, specially those carrying out research projects on subjects speciallyencouraged by JSPS and the relevant funding agency in the counterpartcountry.(5) Multilateral international exchange and other international exchangeprogramsAmong the bilateral programs, there are some like the Core UniversityProgram and Inter-Research Centers Cooperative Programwhich alsocontain a multilateral element. The following, however, are programs which183

are strongly multilateral, or which are bilateral but organized directly byJSPS rather than through an open application process.* Advanced Science InstituteInitiated as of FY2001 on the basis of cooperation agreement amongAsia-Pacific regions such as the US National Science Foundation (NSF), theAustralian Research Council, the Chinese Academy of Sciences, theNational Natural Science Foundation of China, the Korean Science andEngineering Foundation (KOSEF), the program is designed to provideyoung researchers from the region with the opportunity to take part in ashort course lectures by leading researchers in the world, discussions,workshops and other interactive sessions in cutting edge science field. Theprogram is also aimed at building networks among researchers in the region.Every year, three research institutions are selected to conduct seminars intheir countries for the benefit of 30-40 young researchers recommended byparticipating organizations. These young researchers spend a week togetherwith lecturers from various countries at the same site.* Asian Science SeminarsThese seminars were begun in FY1992 to assist in fostering Asianresearchers and raising Asian research standards by providingopportunities for young researchers from all over Asia (including Japan) toparticipate in a course with style of summer school. The chance tocommunicate with outstanding lecturers from all over the world is alsovaluable in terms of building research exchange networks.The seminars are held by the JSPS together with academic associations,universities, and research institutions, etc., and are attended by around 40young Asian researchers. Every year, three seminars of approximately twoweeks are held in Japan and elsewhere in Asia.Japan Science ForumThe Japan Science Forum is held by the JSPS’s Liaison Offices inWashington, London, Bonn and Stockholm in cooperation with universitiesand other academic institutions as a means of introducing the latestresearch trends and research achievements in Japan by Japan’s foremost184

esearchers to leading scientists and other researchers from the academiccircle in these countries, as well as of opening the way for researchers fromboth countries to exchange information and deepen mutual understanding.Forum lecturers comprise researchers with outstanding performancerecords from Japan and the counterpart country. Around 150 localresearchers and academics participate in each Forum.International Exchange ForumThis Forum brings together JSPS members, foreign scientific fundingagencies and academics at home and abroad as a means of facilitatingdiscussion on key issues and measures for further promoting internationalscientific exchange, deepening mutual understanding in regard to thescience policies of major countries, and opening new doors for Japan’sscientific exchange.Japanese-American Frontiers of Science (JAFoS) SymposiumLeading young Japanese and US researchers (aged 45 or younger) engagedin research in areas ranging from the humanities and social science throughto biology and physics are gathered to participate in scientific dialogueamong a wide range of different areas with the aim of promoting theformation of interdisciplinary and international networks amongresearchers and spurring new, cross-cutting research. The program began in1998 as a cooperative effort between the Japan Science and TechnologyCorporation and the US Science Academy, but was transferred to the JSPSas of FY2001.(6) Reviews and evaluations of international exchange programs(a) Selection Committee for Postdoctoral and Other FellowshipsScreens applications for assistance for three JSPS international programs:the Invitation Fellowship Program, the Postdoctoral Fellowships for ForeignResearchers, and the International Research Meeting.(b) International Scientific Cooperation Program CommitteeEngages in screening, evaluations, consideration and planning in regard toJSPS bilateral programs.(c) Joint evaluations with counterpart institutions185

The JSPS and counterpart institutions such as the US National ScienceFoundation and the Chinese Academy of Science meet on annual or ad-hocbasis to engage in consultations and considerations in regard to bilateralexchange programs, continually improving these to meet the demands of thetimes. Joint committees have also been set up with several countries toconsider overall program implementation.186

External Review of JSPS ProgramsStatistics187

Research Grants Distribution of Grants-in-Aid (FY2000) New ProjectsCategoriyScientific ResearchScientific Research (A)Scientific Research (B)Scientific Research (C)No. ofadoptionsNo. ofapplicationsSuccessfulRateTotal amountrequestedTotal amountgrantedRate ofgranted As of April 2000Amount of funding perprojectAverage thousands yen thousands yen thousandsyenMaximumthousandsyen(72,930) (15,146) (20.8) (58,228,781) (43,121,130) (74.1) (2,847) (42,000)72,541 14,654 20.2 54,957,136 41,218,200 75.0 2,813 39,500(2,651) (576) (21.7) (10,925,346) (8,239,350) (75.4) (14,304) (42,000)2,468 394 16.0 8,129,773 6,609,400 81.3 16,775 39,500(16,052) (2,787) (17.4) (23,062,777) (17,091,400) (74.1) (6,133) (15,300)15,335 2,645 17.2 23,257,475 17,239,200 74.1 6,518 15,900(27,723) (6,057) (21.8) (15,394,118) (11,268,400) (73.2) (1,860) (3,700)28,201 5,887 20.9 14,837,502 10,903,800 73.5 1,852 4,000(7,994) (1,028) (12.9) (2,003,658) (1,394,000) (69.6) (1,356) (2,500)Exploratory Research8,502 980 11.5 1,878,062 1,315,100 70.0 1,342 2,700Encourage-ment of (15,567) (3,915) (25.1) (6,617,491) (4,947,400) (74.8) (1,264) (2,300)Young Sientists 15,221 3,966 26.1 6,630,307 4,970,700 75.0 1,253 2,400Encourage-ment of (2,943) (783) (26.6) (225,391) (180,580) (80.1) (231) (300)Young SientistsB 2,814 782 27.8 224,017 180,000 80.4 230 300Promotion ofPublication of ScientificResearch ResultsScientific PeriodicalsScientific LiteratureDatabasesJSPS FellowsNo. of Research projects(1,399) (860) (61.5) (4,798,079) (2,604,305) (54.3) (3,028) (51,420)1,316 699 53.1 4,074,875 2,604,800 63.9 3,726 62,700(321) (254) (79.1) (1,367,268) (684,785) (50.1) (2,696) (34,590)301 171 56.8 1,134,670 750,600 66.2 4,389 39,400(766) (390) (50.9) (1,232,106) (648,220) (52.6) (1,662) (10,000)665 358 53.8 986,572 626,600 63.5 1,750 12,300(312) (216) (69.2) (2,198,705) (1,271,300) (57.8) (5,886) (51,420)350 170 48.6 1,953,633 1,227,600 62.8 7,221 62,700(1,904) (1,904) (100.0) (2,126,256) (1,832,500) (86.2) (962) (1,500)1,981 1,981 100.0 2,294,931 2,039,200 88.9 1,029 1,500(76,233) (17,910) (23.5) (65,153,116) (47,557,935) (73.0) (2,655) (51,420)Total 75,838 17,334 22.9 61,326,942 45,862,200 74.8 2,646 62,700Note Figures are initially allocated amountsNote . Figures within brackets are the amount/rate of FY1999Amount of funding189

New and Continued ProjectsCategoryScientific ResearchScientific Research (A)Scientific Research (B)Scientific Research (C)Exploratory ResearchNo. of Research projectsNo. ofNo. ofapplicationsadoptionsSuccessfulRateTotal amountrequestedTotal amountgrantedRate ofgrantedAs of April 2000Amount of funding perprojectAverage thousands yen thousands yen thousandsyenMaximumthousandsyen(91,080) (33,296) (36.6) (87,219,106) (72,106,630) (82.7) (2,166) (42,000)92,146 34,259 37.2 87,304,499 73,517,000 84.2 2,146 39,500(3,786) (1,711) (45.2) (17,790,946) (15,104,950) (84.9) (8,828) (42,000)3,611 1,537 42.6 15,277,673 13,733,800 89.9 8,935 39,500(20,802) (7,537) (36.2) (35,440,802) (29,464,600) (83.1) (3,909) (15,300)20,246 7,556 37.3 36,699,938 30,656,600 83.5 4,057 15,900(35,616) (13,950) (39.2) (22,092,018) (17,966,300) (81.3) (1,288) (3,700)36,749 14,435 39.3 22,800,702 18,867,000 82.7 1,307 4,000(8,947) (1,981) (22.1) (2,609,658) (2,000,000) (76.6) (1,010) (2,500)9,514 1,992 20.9 2,562,262 1,999,300 78.0 1,004 2,700Encourage-ment of (18,986) (7,334) (38.6) (9,060,291) (7,390,200) (81.6) (1,008) (2,300)Young Sientists19,212 7,957 41.4 9,739,907 8,080,300 83.0 1,015 2,400Encourage-ment of (2,943) (783) (26.6) (225,391) (180,580) (80.1) (231) (300)Young SientistsB2,814 782 27.8 224,017 180,000 80.4 230 300Promotion ofPublication of ScientificResearch ResultsScientific PeriodicalsScientific LiteratureDatabasesJSPS Fellows(1,399) (860) (61.5) (4,798,079) (2,604,305) (54.3) (3,028) (51,420)1,316 699 53.1 4,074,875 2,604,800 63.9 3,726 62,700(321) (254) (79.1) (1,367,268) (684,785) (50.1) (2,696) (34,590)301 171 56.8 1,134,670 750,600 66.2 4,389 39,400(766) (390) (50.9) (1,232,106) (648,220) (52.6) (1,662) (10,000)665 358 53.8 986,572 626,600 63.5 1,750 12,300(312) (216) (69.2) (2,198,705) (1,271,300) (57.8) (5,886) (51,420)350 170 48.6 1,953,633 1,227,600 62.8 7,221 62,700(4,484) (4,484) (100.0) (4,815,629) (4,271,730) (88.7) (953) (1,500)4,584 4,584 100.0 4,733,431 4,478,400 94.6 977 1,500(96,963) (38,640) (39.9) (96,832,814) (78,982,665) (81.6) (2,044) (51,420)Total 98,046 39,542 40.3 96,112,805 80,600,200 83.9 2,038 62,700Note Figures are initially allocated amountsNote . Figures within brackets are the amount/rate of FY1999Amount of funding190

2Distribution of Grants-in-Aid (FY2001) New ProjectsCategoryNo. ofadoptionsNo. ofapplicationsSuccessfulRateTotal amountrequestedTotal amountgrantedRate ofgrantedAs of July 2001No. of Research projects Amount of funding Amount of funding per projectAverage thousands yen thousands yen thousandsyenMaximumthousandsyen(72,541) (14,654) (20.2) (54,957,136) (41,218,200) 75.0 (2,813) (39,500)Scientific Research 78,703 15,496 19.7 59,522,091 45,181,400 75.9 2,916 64,5002,748,060Scientific Research (S) 2,091 61 2.9 1,838,926 1,718,700 93.5 28,175 64,500515,610(2,468) (394) 16.0 (8,129,773) (6,609,400) (81.3) (16,775) (39,500)Scientific Research (A) 2,666 450 16.9 9,003,178 7,441,500 82.7 16,537 40,000Scientific Research (B)Scientific Research (C)Exploratory Research2,232,450(15,335) (2,645) (17.2) (23,257,475) (17,239,200) (74.1) (6,518) (15,900)16,385 2,726 16.6 23,913,674 17,905,200 74.9 6,568 14,800(28,201) (5,887) (20.9) (14,837,502) (10,903,800) (73.5) (1,852) (4,000)30,354 6,229 20.5 15,535,109 11,344,600 73.0 1,821 3,600(8,502) (980) (11.5) (1,878,062) (1,315,100) (70.0) (1,342) (2,700)9,145 1,074 11.7 2,017,435 1,411,200 70.0 1,314 2,700Encourage-ment of (15,221) (3,966) (26.1) (6,630,307) (4,970,700) (75.0) (1,253) (2,400)Young Sientists 15,277 4,170 27.3 6,986,376 5,180,200 74.1 1,242 2,400Encourage-ment of (2,814) (782) (27.8) (224,017) (180,000) (80.4) (230) (300)Young SientistsB2,785 786 28.2 227,393 180,000 79.2 229 300Promotion ofPublication of ScientificResearch ResultsScientific PeriodicalsScientific LiteratureDatabasesJSPS Fellows(1,316) (699) (53.1) (4,074,875) (2,604,800) (63.9) (3,726) (62,700)1,327 654 49.3 3,640,137 2,631,000 72.3 4,023 60,700(301) (171) (56.8) (1,134,670) (750,600) (66.2) (4,389) (39,400)267 165 61.8 1,037,923 750,100 72.3 4,546 39,400(665) (358) (53.8) (986,572) (626,600) (63.5) (1,750) (12,300)737 334 45.3 771,530 606,500 78.6 1,816 8,100(350) (170) (48.6) (1,953,633) (1,227,600) (62.8) (7,221) (62,700)323 155 48.0 1,830,684 1,274,400 69.6 8,222 60,700(1,981) (1,981) (100.0) (2,294,931) (2,039,200) (88.9) (1,029) (1,500)1,788 1,788 100.0 2,089,914 1,907,800 91.3 1,067 1,500Creative Scientific 51 24 47.1 2,080,164 1,732,500 83.3 72,188 90,000Research519,750(75,838) (17,334) (22.9) (61,326,942) (45,862,200) (74.8) (2,646) (62,700)Total 81,869 17,962 21.9 67,332,306 51,452,700 76.4 2,865 90,000Note 1. Figures are initially allocated amountsNote 2. Figures within brackets ( ) are the amount/rate of FY2000Note 3. Figures within brackets are indirect cost.Note 4. Scientific Research (S) and Creative Scientific Research are established in FY2001.3,267,810191

New and Continued ProjectsCategoryNo. ofadoptionsNo. ofapplicationsSuccessfulRateTotal amountrequestedTotal amountgrantedRate ofgrantedAs of July 2001No. of Research projects Amount of funding Amount of funding per projectAverage thousands yen thousands yen thousandsyenMaximumthousandsyen(92,146) (34,259) (37.2) (87,304,499) (73,517,000) (84.2) (2,146) (39,500)Scientific Research 97,821 34,611 35.4 91,682,831 77,309,290 84.3 2,234 64,5004,701,990Scientific Research (S) 2,091 61 2.9 1,838,926 1,718,700 93.5 28,175 64,500515,610(3,611) (1,537) (42.6) (15,277,673) (13,733,800) (89.9) (8,935) (39,500)Scientific Research (A) 3,613 1,397 38.7 15,542,878 13,954,600 89.8 9,989 40,000Scientific Research (B)Scientific Research (C)Exploratory Research4,186,380(20,246) (7,556) (37.3) (36,699,938) (30,656,600) (83.5) (4,057) (15,900)21,113 7,454 35.3 37,965,854 31,953,000 84.2 4,287 14,800(36,749) (14,435) (39.3) (22,800,702) (18,867,000) (82.7) (1,307) (4,000)38,766 14,638 37.8 23,297,679 19,105,700 82.0 1,305 3,600(9,514) (1,992) (20.9) (2,562,262) (1,999,300) (78.0) (1,004) (2,700)10,152 2,081 20.5 2,705,635 2,099,400 77.6 1,009 2,700Encourage-ment of (19,212) (7,957) (41.4) (9,739,907) (8,080,300) (83.0) (1,015) (2,400)Young Sientists19,301 8,194 42.5 10,104,466 8,297,890 82.1 1,013 2,400Encouragement of (2,814) (782) (27.8) (224,017) (180,000) (80.4) (230) (300)Young SientistsB2,785 786 28.2 227,393 180,000 79.2 229 300Promotion ofPublication of ScientificResearch ResultsScientific PeriodicalsScientific LiteratureDatabasesJSPS Fellows(1,316) (699) (53.1) (4,074,875) (2,604,800) (63.9) (3,726) (62,700)1,337 664 49.7 3,699,937 2,690,800 72.7 4,052 60,700(301) (171) (56.8) (1,134,670) (750,600) (66.2) (4,389) (39,400)269 167 62.1 1,083,423 795,600 73.4 4,764 39,400(665) (358) (53.8) (986,572) (626,600) (63.5) (1,750) (12,300)745 342 45.9 785,830 620,800 79.0 1,815 8,100(350) (170) (48.6) (1,953,633) (1,227,600) (62.8) (7,221) (62,700)323 155 48.0 1,830,684 1,274,400 69.6 8,222 60,700(4,584) (4,584) (100.0) (4,733,431) (4,478,400) (94.6) (977) (1,500)4,613 4,613 100.0 4,859,814 4,677,700 96.3 1,014 1,500Creative Scientific 68 41 60.3 5,282,228 4,162,500 78.8 101,524 250,000Research1,248,750(98,046) (39,542) (40.3) (96,112,805) (80,600,200) (83.9) (2,038) (62,700)Total 103,839 39,929 38.5 105,524,810 88,840,290 84.2 2,225 250,000Note 1. Figures are initially allocated amountsNote 2. Figures within brackets ( ) are the amount/rate of FY2000Note 3. Figures within brackets are indirect cost.Note 4. Scientific Research (S) and Creative Scientific Research are established in FY2001.5,950,740192

Fostering Researchers JSPS Research Fellowship for Young ScientistsNumber of Applications and AdoptionsFY1991As of April 1, 1991CategoryPD DC TotalHumanitiesand SocialSciencesMathematical,Physical, andEngineeringSciencesNumber ofApplicationsNumber ofAdoptionsNumber ofApplicationsNumber ofAdoptionsNumber ofApplicationsNumber ofAdoptions332 114 472 97 804 211203 71 654 128 857 199ChemicalSciences57 17 299 64 356 81Biological,Agricultural,and Medical220 85 520 116 740 201SciencesTotal 812 287 1,945 405 2,757 692Ratio of successful applicants 25.1 %FY1996As of April1, 1996CategoryPD DC TotalNumber ofApplicationsNumber ofAdoptionsNumber ofApplicationsNumber ofAdoptionsNumber ofApplicationsNumber ofAdoptionsHumanitiesand SocialSciencesMathematical,Physical, andEngineeringSciencesChemicalSciencesBiological,Agricultural,and MedicalSciences749 116 849 201 1,598 317726 110 1,833 416 2,559 526229 39 845 197 1,074 236734 143 1,209 301 1,943 444Total 2,438 408 4,736 1,115 7,174 1,523Ratio of successful applicants 21.2 %193

FY2000As of April 1, 2000PD DC TotalCategoryHumanitiesand SocialSciencesMathematical,Physical, andEngineeringSciencesChemicalSciencesBiological,Agricultural,and MedicalSciencesNumber ofApplicationsNumber ofAdoptionsNumber ofApplicationsNumber ofAdoptionsNumber ofApplicationsNumber ofAdoptions1,527 162 1,436 219 2,963 3811,184 137 2,078 341 3,262 478404 52 1,113 182 1,517 2341,319 170 2,070 345 3,389 515Total 4,434 521 6,697 1,087 11,131 1,608Ratio of successful applicants 14.4 %FY2001As of April 1, 2001PD DC TotalCategoryHumanitiesand SocialSciencesMathematical,Physical, andEngineeringSciencesNumber ofApplicationsNumber ofAdoptionsNumber ofApplicationsNumber ofAdoptionsNumber ofApplicationsNumber ofAdoptions1,632 193 1,427 160 3,059 3531,187 136 2,239 275 3,426 411ChemicalSciences435 55 1,148 133 1,583 188Biological,Agricultural,and Medical1,378 192 2,120 261 3,498 453SciencesTotal 4,632 576 6,934 829 11,566 1,405Ratio of successful applicants 12.1 %194

Survey on Career paths of fellows (surveyed as of April 1, 2000)Numbers of fellows surveyedCareer paths of the following former fellows were surveyed. Right after the completion of the fellowships: 1653 fellows(PDs whose fellowship period was FY1997-FY1999: 503 fellows)(DC1s whose fellowship period was FY1997-FY1999: 539 fellows)(DC2s whose fellowship period was FY 1998-FY1999: 611 fellow)One year after the completion of the fellowship: 1599 fellows(PDs whose fellowship period was FY1996-FY1998: 463 fellows)(DC1s whose fellowship period was FY1996-FY1998: 509 fellows)(DC2s whose fellowship period was FY 1997-FY1998: 627 fellows)Three years after the completion of the fellowship: 727 fellow(DC1s whose fellowship period was FY1992-FY1994: 231 fellows)(PDs whose fellowship period was FY1993-FY1995: 162 fellows)(DC2s whose fellowship period was FY 1993-FY1994: 334 fellows)Outline of Survey ResultsPercentage of former fellows who obtained permanent position at universities orother research institutesSurvey conductedon April 1, 1996Survey conductedon April 1, 1998Survey conductedon April1, 2000Right after completion ofFellowship54%(PD55%DC53%)38%(PD32%DC40%)43%(PD48%DC39%)One year after completion 70%58%49%of fellowshipFive years aftercompletion of fellowship(PD74%DC67%)94%(PD94%DC94%)(PD66%DC54%)85%(PD82%DC88%)(PD52%DC47%)82%(PD84%DC80%)Percentage of former fellows who obtained new postdoctoral fellowshipsSurvey conductedon April 1, 1996Survey conductedon April 1, 1998Survey conductedon April1, 2000Right after completion offellowship21%(PD25%DC19%)26%(PD36%DC23%)26%(PD26%DC26%)One year after completionof fellowship19%(PD17%DC20%)22%(PD17%DC25%)27%(PD25%DC28%)Five years aftercompletion of fellowship1%(PD 1%DC 1%)4%(PD 5%DC 1%)5%(PD 4%DC 5%)195

Postdoctoral Fellowship for Research AbroadNumber of Applications and AdoptionsFY1991Category Number of Applications Number of AdoptionsHumanities and Social Sciences 21 4Mathematical, Physical, andEngineering Sciences30 6Chemical Sciences 8 2Biological, Agricultural,and Medical Sciences43 8Total 102 20Ratio of successful applicants 19.6%FY1996Category Number of Applications Number of AdoptionsHumanities and Social Sciences 20 7Mathematical, Physical, andEngineering Sciences72 19Chemical Sciences 29 8Biological, Agricultural,and Medical Sciences69 21Total 190 55Ratio of successful applicants 28.9%FY2000Category Number of Applications Number of AdoptionsHumanities and Social Sciences 47 10Mathematical, Physical, andEngineering Sciences141 29Chemical Sciences 61 12Biological, Agricultural,and Medical Sciences239 49Total 488 100Ratio of successful applicants 20.5 %FY2001Category Number of Applications Number of AdoptionsHumanities and Social Sciences 41 7Mathematical, Physical, andEngineering Sciences149 24Chemical Sciences 75 12Biological, Agricultural,and Medical Sciences292 47Total 557 90Ratio of successful applicants 16.2 %196

Career paths of awardeesPositions before and after the fellowship period(Fellows who were awarded in FY19898/1999)Before thefellowship periodAfter thefellowship periodAssociate Professor 2 10Permanent Lecturer 5 10Research Associate 26 27position Teaching Staff, etc. 0 1Researcher at institutions orcorporations0 5JSPS Research Fellow 24 0Postgraduate student 7 0Others Postdoctoral researcher in Japan 0 1Postdoctoral researcher overseas 0 23Research Associate, Trainee 0 3Others 19 3Total 83 83197

Postdoctoral Fellowships for Foreign ResearchersNumber of Applications and AdoptionsFY1991Category Number of Applications Number of AdoptionsHumanities and Social Sciences 12 6Mathematical, Physical, andEngineering Sciences73 31Chemical Sciences 51 23Biological, Agricultural,and Medical Sciences62 28Total 198 88Ratio of successful applicants 44.4%FY1996Category Number of Applications Number of AdoptionsHumanities and Social Sciences 48 9Mathematical, Physical, andEngineering Sciences341 71Chemical Sciences 249 52Biological, Agricultural,and Medical Sciences309 68Total 947 200Ratio of successful applicants 21.1%FY2000Category Number of Applications Number of AdoptionsHumanities and Social Sciences 160 31Mathematical, Physical, andEngineering Sciences653 124Chemical Sciences 451 87Biological, Agricultural,and Medical Sciences542 108Total 1806 350Ratio of successful applicants 19.4%FY2001CategoryHumanities and SocialSciencesMathematical, Physical,and Engineering SciencesNumber ofApplicationsUniversitiesNumber ofAdoptionsNational LaboratoriesNumber ofApplicationsNumber ofAdoptions182 38 4 2601 120 73 45Chemical Sciences 413 84 91 56Biological, Agricultural,and Medical Sciences542 108 126 77Total 1738 350 294 180Ratio of successful applicants: universities 20.1%, national laboratories 61.2%198

Numbers of Fellows by countryF Y2000RegionCountryAsiaOceaniaAfricaNo. of newlyawardedfellowsRegionCountryNo. of newlyawardedfellowsBangladesh 9 Europe Albania 2China 129 Austria 1India 43 Belgium 2Indonesia 1 Bulgaria 5Iran 1 Czech Rep. 2Israel 2 Denmark 1Jordan 1 Finland 2Korea Rep 54 France 29Malaysia 1 Germany 12Mongolia 1 Hungary 4Myanmar 2 Italy 4Nepal 1 Holland 3Pakistan 4 Norway 1Philippines 3 Poland 4Singapore 1 Romania 6Sri Lanka 2 Slovakia 1Syria 1 Slovenia 1Turkey 2 Sweden 1Vietnam 2 Switzerland 5Australia 10 Macedonia 1New Zealand 4 UK 11Algeria 1 Yugoslavia 1Congo 1 Russia & NIS 15Dem.RepEgypt 6 North Canada 6Ghana 1 America USA 35(19)*Mauritius 1 SouthBrazil 2Morocco 2 America Paraguay 1Zambia 1*Numbers in brackets are fellows under Total 445(19)“Postdoctoral Fellowship (Short-term ) forU.S. Researchers199

V. International Scientific ExchangeInvitation Fellowships for Research in Japan (Short Term) Budget(thousand yen)FY1991 FY1996 FY2000 FY2001Short Term 435,717 493,112 343,201 535,623 Number of Fellowships AdoptedFY1991 FY1996 FY2000 FY2001Humanities and SocialSciences43 69 52 59Mathematical, Physical,and Engineering Sciences81 172 111 149Chemical Sciences 29 63 48 77Biologial, Agricultural,and Medical Sciences57 96 69 95 Ratio of Successful ApplicationsFY1991 FY1996 FY2000 FY2001Humanities and SocialSciences24.3% 35.9% 35.4% 42.1%Mathematical, Physical,and Engineering Sciences24.5% 37.2% 36.3% 46.1%Chemical Sciences 24.8% 37.3% 36.4% 50.3%Biologial, Agricultural,and Medical Sciences23.9% 36.8% 35.9% 48.7%Total 24.4% 36.9% 36.0% 46.9% Number of Fellowships SupportedFY1991 FY1996 FY2000 FY2001Humanities and SocialSciences43 66 48 59Mathematical, Physical,and Engineering Sciences81 162 108 149Chemical Sciences 29 62 44 77Biologial, Agricultural,and Medical Sciences57 88 65 95

Number of Fellohiowships by CountryRegion Country 1991 1996 2000 2001China 18 23 15 19Korea, Rep 2 3 9 6Mongolia 1Cambodia 1Indonesia 1 3 2Malaysia 1 1 3Phlippines 2Thailand 2 3 3Vietnam 1 1Bangrladesh 2 2India 5 11 8 16Israel 9 15 8 5Nepal 1 1 1Pakistan 1Sri Lanka 1 1Butane 1Turkey 2 1Australia 7 7 9 8New Zealand 1 3 2 2Egypt 1 1Tanzania 2Congo 1Austria 2 5 1 5Belgium 2 6 5 3Denmark 1 3 4 1Finland 4 1France 10 19 15 14Germany 27 28 27 24Greece 1 1Iceland 1 1Ireland 1 1Italy 3 9 6 6Holland 4 8 4 3Norway 1Portugal 1Spain 2 2 3Sweden 3 7 1 2Switzerland 3 5 4 4UK 19 31 22 15Bulgaria 1 2 3 1Czech Rep. 3 2 7 5Hungary 2 4 4 3Latvia 1Lithuania 1Poland 2 8 12 9Romania 1 3 1 1Slovakia 2 1Slovenia 1 1Macedonia 1Yugoslavia 1Croatia 1East Asia OceaniaSouth East Asia South Asia & South West Asia Africa Europe

Region Country 1991 1996 2000 2001Russia 11 28 18 16Ukraine 2 5 2Belarus 1 1Armenia 1Georgia 1 1Moldova 1Kazakhstan 1Azerbaijan 1Uzbekistan 1Canada 6 19 12 18USA 62 109 80 60Argentina 2 1Brazil 1 1Mexico 1 1 1 1Chile 1Costa Rica 1 1210 390 309 280Figures include fellowships continued from previous year.RussiaNISNorthAmericaSouth America

Invitation fellowships for Research in Japan (Long Term) Budget(thousand yen)FY1991 FY1996 FY2000 FY2001Long Term 263,598 306,193 248,575 333,648 Number of Fellowships AdoptedFY1991 FY1996 FY2000 FY2001Humanities and SocialSciences9 4 10 8Mathematical, Physical,and Engineering Sciences23 16 28 27Chemical Sciences 12 7 16 21Biologial, Agricultural,and Medical Sciences16 8 16 23 Ratio of Successful ApplicationsFY1991 FY1996 FY2000 FY2001Humanities and SocialSciences16.4% 19.0% 28.6% 28.6%Mathematical, Physical,and Engineering Sciences16.0% 17.0% 29.2% 30.3%Chemical Sciences 14.0% 18.4% 29.1% 36.8%Biologial, Agricultural,and Medical Sciences14.3% 17.4% 29.1% 42.6%Total 15.1% 17.6% 29.0% 34.6% Number of Fellowships SupportedFY1991 FY1996 FY2000 FY2001Humanities and SocialSciences9 11 9 8Mathematical, Physical,and Engineering Sciences23 30 23 27Chemical Sciences 12 10 14 21Biologial, Agricultural,and Medical Sciences16 15 16 23

Number of Fellowships by CountryRegion Country FY1991 FY1996 FY2000 FY2001South Asia &East Asia South West South Asia & South West Asia Oceania AfricaAsiaEuropeChina 14 19 12 12Korea, Rep. 3 4 5 3Mongolia 2 1Indonesia 1 1Vietnam 1 1Myanmar 1Bangrladesh 4 2India 7 10 13 7Iran 2Israel 1 1Nepal 1Pakistan 1Sri Lanka 1 1Turkey 2 1Australia 1 3 2New Zealand 3Algeria 1 1Egypt 1 1 4 1Ghana 1Côte d’lvoire 1Morocco 1 1MadagascarNigeria 1 1South Africa 1Tanzania 1 1Congo 1Belgium 1 1Denmark 1Finland 1France 1 1Germany 3 1 3Greece 1IrelandItaly 1 1 2Holland 1Spain 1Sweden 1UK 2 4 2Bulgaria 3 5 1 2Czech Rep. 2 2 2Hungary 2 1 2 1Poland 6 2 2 1Romania 1 1 1Slovakia 2

Region Country FY1991 FY1996 FY2000 FY2001Russia 3 9 6 8Ukraine 3 2 1Belarus 1 1Georgia 1Azerbaijan 2Uzbekistan 1Estonia 1Canada 3 1 2USA 7 9 6 4Argentina 1Brazil 1Mexico 2 1Chile 1Cuba 174 84 90 60Figures include fellowships continued from previous year.NorthRussia&NISAmericaSouth America

JSPS Award for Eminent ScientistsFY2000Number of awardsNumber of ScientistsNumber by CountrySupportedNewly Adopted 5 5 U.S.A. 3Switzerland 1Russia 1FY2001 As of December 1, 2001Number of awardsNumber of ScientistsNumber by CountrySupportedNewly Adopted 3 2 U.K. 1Continued fromPrevious YearFrance 15 3 U.S.A. 1Switzerland 1Total 8 5 Russia 1206

External Review of JSPS ProgramsReview MaterialsJune 2002Japan Society for the Promotion of ScienceContentsChapter II. Overview of the Japan Society for the Promotion of Science(1) JSPS’s conversion to an Independent Administrative Institution--------209Chapter III. Research Grants(1) Change of Organizational Structure of JSPS ---------------------------------- 211(2) Review of division of roles between MEXT and JSPS for Grants-in-Aidfor Scientific Research----------------------------------------------------- 211(3) Screening for the 21st Century COE Program--------------------------------- 212Chapter IV. Fostering Researchers(1) Establishment of Research Fellowships for Young Scientists --- 213207

Chapter II. Overview of the Japan Society for the Promotion of Science(1) JSPS’s conversion to an Independent Administrative InstitutionWith regard to the timetable for making JSPS an independentadministrative institution, at present (June 2002) the contents of theIndependent Administrative Institution Japan Society for the Promotion ofScience Law are being deliberated. A bill is scheduled to be introduced in aspecial fall session of the Diet. Preparations are being made to implementthe new law from October 2003.As to the rationale for making JSPS an independent administrativeinstitution, it is to facilitate post-implementation evaluations of programs toverify whether their results meet the objectives set by the government; and ifnot, to require the head of the organization to take responsibility for theshortcomings. At the same time, it is to minimize the involvement of thecompetent minister in JSPS's administration so as to give JSPS autonomy inoperating its programs in such a way as to achieve the set objectives.Under the new system, the government will only appoint JSPS's head andauditor, with all other officers being appointed by the head. This willstrengthen the head's discretionary power and give him clear administrativeresponsibility.With regard to the operation of its programs, JSPS will prepare 3-5 yearprogram plans based on mid-term objectives set by the government, and willsubmit them to the government for approval. Along with these mid-termplans, JSPS will prepare annual plans, and will implement them uponnotifying the government.Regarding the government's budgetary procedures, operating subsidies costsfor unspecified usages germane to JSPS's mid-term plan will be provided forin the compilation of each fiscal year's budget. In this way, itsadministration and program implementation budget, being provided mainlyas operating costs subsidies, will allow JSPS to be free of pre-programinvolvement by the government, to receive funds for unspecified usages, andto carry over funds into the next fiscal year. While maintaining a flexiblebudgetary system, JSPS will incorporate business accounting principles intoits accounting system and will exercise full financial disclosure.As for program and operational evaluation, JSPS will receive an annualevaluation to be conducted by a review committee established by itscompetent minister. The committee will also conduct, upon the completionof each mid-term plan, a comprehensive evaluation of the performance of209

JSPS programs in meeting the government's mid-term objectives. Based onthe results, the competent minister will review JSPS's overall operation--e.g.,its program effectiveness (whether or not to continue programs) andorganizational efficiency--and will take necessary measures.210

Chapter III. Research Grants(1) Change of Organizational Structure of JSPSAs the Grants-in-Aid for Scientific Research, the funds allocated incompetitive bases, expanded, the improved research review system is needed.At the same time, no new projects have been accepted for the Research forthe Future Program since FY2001, with interim and posterior evaluationsnow comprising the bulk of the work. Accordingly, the Research ProgrammeDepartment has closed down its Research Promotion Division and replaced itwith a Research Evaluation Division. At the same time, University GrantsDivision has been set up within the department to handle duties involved inreviewing the applications of the 21st Century COE Program.(2) Review of division of roles between MEXT and JSPS for Grants-in-Aid forScientific ResearchIn 1999, JSPS was newly tasked with the allocation of Grants-in-Aid forScientific Research, including the scientific research and other categories,and the total allocation in 2001 amounted to 102.902 billion yen, or 70.2% ofthe JSPS’s 146.659 billion yen budget.In December 2001, however, the government laid out the Reorganization andRationalization Plan for Special Public Institutions, which aimed to reducethe total special public institution budget for FY2002 by one trillion yen onthe FY2001 level. It was also decided that other than those cases whereallocating Grants-in-Aid for Scientific Research through the JSPS was themore reasonable and efficient option, the government would distributegrants directly to the final recipients. However, as one of MEXT’s goals is toexpand competitive capital based on the Science and Technology Basic Plan,MEXT also reviewed the division of roles between itself and the JSPS inallocation and screening for Grants-in-Aid for Scientific Research.As a result of this review, it was decided that of FY2002 screening andallocation for Grants-in-Aid for Scientific Research, the JSPS would continueto handle grants-in-aid for basic research and encouragement of youngscientists, as well as the screening and allocation of the promotion ofpublication of scientific research results. For the JSPS fellowship program,creative scientific research, and the newly established exploratory researchand encouragement of young scientists categories, it was decided that theJSPS would handle screening work, while MEXT would be in charge ofallocation.The JSPS FY2002 budget for Grants-in-Aid for Scientific Research was set at211

85.302 billion yen (17.6 billion yen less than the previous fiscal year),comprising 50.1% of the 170.3 billion yen total allocated for Grants-in-Aid forScientific Research. However, inclusion of those types of grants-in-aid forwhich the JSPS will handle screening but not allocation (exploratoryresearch, encouragement of young scientists, the JSPS fellowship program,and creative scientific research) brings the total allocations budget to116.062 billion yen, or 68% of the total.(3) Screening for the 21st Century COE ProgramLast year(FY2001), MEXT decided to promote the formation ofworld-standard Centers of Excellence (COEs), incorporating in the FY2002budget the 21st Century COE Program as a vehicle for the intensive supportof formation of world-standard education and research hubs in eachacademic discipline. More specifically, it was felt that more vigorouscompetition was needed among national, public and private universities toboost the education and research levels of Japanese universities to bringthem on to a par with the world’s top-level universities and create highlyoriginal human resources capable of excelling on the world stage. The COEprogram was designed to provide channeled support for the formation ofsuch world-standard education and research hubs and promote top-ranking,internationally competitive universities. MEXT will notify and receiveapplications from universities and allocate grants, while screening will behandled primarily by the JSPS in collaboration with National Institution forAcademic Degrees, the Promotion and Mutual Aid Corporation for PrivateSchools, and the Japan University Accreditation Association. The JSPS hasestablished a 21st Century COE Program Committee under the auspices ofthe JSPS President, headed by Shibaura Institute of Technology PresidentLeo Esaki.212

Chapter IV. Fostering Researchers(1) Establishment of Research Fellowships for Young Scientists PurportFrom FY 2002, a new Research Fellowship for Young Scientists Postdoctoral program was established as a format to select those PostdoctoralFellows (PDs) who are particularly outstanding young researchers, from theperspective of securing and fostering young researchers with world-classresearch capabilities.SPD Program FieldsThe SPD Fellowships will be awarded for research in all areas of thehumanities, social sciences and natural sciences.Application RequirementsApplicants must be under 34 years of age as of April 1st of the year offellowship acceptance (or under 36 if they are currently enrolled or havecompleted courses at medical, dentistry or veterinary universities), and mustmeet at least one of the following criteria.1). Persons who have been awarded doctorates (in the case of the humanitiesand social sciences, includes those who have been enrolled longer than thestandard period for completion of a doctoral course at the end of the fiscalyear prior to the year of acceptance and have left university having acquiredthe necessary credits can also apply if they are recognized as having abilitiesequivalent to persons who have been awarded doctorates)2). Persons who are expected to be awarded doctorates by the end of thefiscal year prior to the year of acceptance as a fellow3). Persons who will have been enrolled longer than the standard period forcompletion of a doctoral course as at April 1 of the year of acceptance as afellow4). The selection of Research Fellowships for Young Scientists shalltake place based on application by Postdoctoral Fellows. SPDs shall only beawarded to applicants who have chosen to conduct their fellowship researchat institutions other than the universities where they conducted theirpostgraduate research (at other universities, etc.). In certain cases,applicants applying for SPDs may be awarded PDs instead based ondeterminations made by the Selection Committee for Postdoctoral and OtherFellowships.Note: Foreigners who have been granted permanent residence in Japan areeligible to apply.213

Monthly Fellowship Amount & TenureMonthly Fellowship Amount (FY 2002): ¥468,000Tenure: Three years from April 1st of the year of fellowship acceptance.Research ExpensesQualification will be given to SPD Fellows to apply for the Grants-in-Aid forScientific Research (JSPS Fellowship for Young Scientists) or LaboratoryResearch Expense Grants programs, and based on examination of theirapplications ¥3 million per year will be awarded.Selection of SPD FellowsThe selection of SPD fellows will be conducted by the Selection Committeefor Postdoctoral and Other Fellowships, which is comprised of eminentresearchers on the front lines on Japanese science (39 committee membersand approximately 1,300 experts on call) based on reviews of the writtenapplications and interviews.Each application will be reviewed by a three-person panel comprised ofmembers of the Selection Committee and experts, who will be assigned inaccordance with the applicant’s proposed field of research, under thefollowing conditions: (1) the reviewers should not be associated with researchinstitutions where the applicant is presently working, has previously worked,or is planning to work; (2) each reviewer should be assigned approximately30 applications per year, and no more than a maximum of 50 applications peryear; and (3) the three panel reviewers should be affiliated with differentresearch institutions.The policies for the selection of SPD fellows will include the following twocriteria: (1) the applicant should have world-class research capabilities andoutstanding research results, and there should be sufficient grounds toexpect that the applicant has the potential to develop into an excellentresearcher who can bear the future of science; and (2) the applicant’sresearch plan should be specific and superior.The evaluations during the applicant reviews will be based on acomprehensive judgment regarding: (1) the applicant’s research results; (2)the applicant’s research plan; and (3) an evaluation of the applicant’sresearch capabilities, future potential, and academic credentials. Theevaluations of each of these criteria will be made using a four -grade scale(whereby “A” = especially outstanding, “B” = outstanding, “C” = average, and“D” = below average).At the four discipline -specific panels (humanities and social sciences,mathematics, chemistry and biology) to be held in early October, selectionsshall be made as to which PD applicants to be interviewed based on theabove evaluations of the documents submitted by the applicants and in214

accordance with the number of fellowships allocated for each discipline.From the perspective of securing superior researchers, all applicants who arelikely to be awarded SPD Fellowships will be interviewed.Applicants will be notified of the results of this panel review in late October.The actual interviews will take place in early December, will be 20 minuteslong, and will be conducted by subcommittees comprised of members of theSelection Committee, and a few experts. During the first 10 minutes of eachinterview, the applicants will explain their research results to date and theirfuture plans. The last 10 minutes of each interview will then be devoted toquestion and answer sessions. These interviews will result in tentativedecisions on which applications will be approved, and the applicants and theresearch institutions where they plan to work will be informed of theinterview results in early January.215

Budget and Number of Staffs of Funding Agencies in Major CountriesNational ScienceFoundation-NSF(U.S.A.)National Institutes ofHealth-NIH (U.S.A.)Engineering andPhysical SciencesResearchCouncil-EPSRC (U.K.)Medical ResearchCouncil-MRC (U.K.)Biotechnology andBiological SciencesResearch Council-BBSRC (U.K.)Centre National de laRechercheScientifique-CNRS (France)Deutsche Forschungs-Gemeinschaft-DFG(Germany)Swedish ResearchCouncil-RC (Sweden)Budget$4,796 million (FY2002)(R&D budget: $3,737 million)approx. JP¥575.6 billion$23,623 million (FY2002)approx.JP¥2,835 billion478 million (FY2001)approx. JP¥95.6 billion412.9 million (2001-2002)approx. JP¥82.6 billionSTG248.7 million(2001-2002)approx. JP¥49.7 billionF.Fr.15,871 million (FY2000)approx. JP¥285.7 billionEuro 1,205 million (FY2001)approx. JP¥144.6 billionSEK 2,094 million (FY2001)approx. JP¥27.2 billionNumber of Staffsapprox. 1,200 (FY2001)18,249 (FY2001, allintramural staffs includingresearch positions)approx. 3003,610 (2001-2002,Number of management,administration and policystaffs: 426)254 (2001-2002)25,283 (FY1999, including11,349 researchers)approx. 650 (July 2002)approx. 130Japan Society for thePromotion of Science-JSPSJP¥115.3 billion (FY2002,JP¥173.8 billion includingrelated program budget)Note; US$1=JP¥120, 1=JP¥200, F.Fr.1=JP¥18, Euro1=JP¥120, SEK1=JP¥13Source: Japanese Scientific Monthly Vol.55 No.9 (September 2002), homepages of each relevantagencies80217