japan science and technology basic plan

8/8/2019 Japan Science and Technology Basic Plan

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SCIENCE AND TECHNOLOGYBASIC PLAN(Provisional translation)

MARCH 28, 2006

GOVERNMENT OF JAPAN


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SCIEN CE AND TECH NOLOGY BASIC P LANTable of Contents

In t roduct ion .............................................................................................................1

Chapt er 1 Ba sic Ideas .............................................................................................3

1. Circum st an ces re lat ing to S&T ..........................................................................3

(1) Pr ogress in S&T mea su res ................................................................................3

(i) Tota l a moun t of govern men ta l R&D expen ditu re ..........................................3

(ii) Strategic priority setting in S&T...................................................................3

(iii) Developmen t of a competitive R&D environm ent an d other R&D system

reforms...........................................................................................................4

(iv) Industry-academia-government collaboration and other S&T system

reforms...........................................................................................................4

(2) Res ult s of S&T policies ......................................................................................5

(3) Changes th at may ha ve impact on S&T both at home and abroad an d th e

roles of S&T........................................................................................................6

2. Basic st ances in th e th ird ba sic pla n ..................................................................8

(1) S&T t o be su pport ed by public and t o benefit society ......................................8

(2) Em pha sis on foster ing hu ma n resour ces an d competitive research

environment s Sh ift of empha sis from har d to soft such as hu ma n

resources; grea ter s ignifican ce of individu als in ins tit ut ions ..........................8

3. Ideas a nd goa ls of S&T policies ..........................................................................9

(1) Ideas a nd policy goals of the th ird ba sic plan ...................................................9

(2) S&Ts cont r ibu tion to th e world , society, and public ......................................13

4. Governmental R&D expenditure......................................................................13

Cha pter 2 St ra tegic Pr iorit y Set tin g in S&T .......................................................16

1. P romotion of basic r esea rch ..............................................................................16

2. P riorit y set tin g in R&D for policy-orient ed s ubjects .......................................17

(1) Four pr iority fields to be pr omoted an d four fields t o be promoted .........17

(2) For mu lat ion of Pr omotion Str at egies .............................................................17

(3) Selection of Strategic Prioritized S&T.........................................................18

3. Matters to be considered in the formulation and implementation of

Pr omotion St rat egies .......................................................................................19


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(1) Em erging an d int erdisciplina ry fields ............................................................19

(2) Clar ifying th e relat ionsh ip with policy goals an d est ablishing R&D goals ...19

(3)Horizont al ma tt ers t o be consider ed relat ing to Str at egic Prioritized S&T20(i) S&T selected to resolve s ocial issu es imm ediat ely ......................................20

(ii) S&T selected to win in int ern at ional competit ion ......................................20

(iii) S&T selected a s key t echnologies of na tiona l import an ce ........................20

(4) Effective implementation of Promotion Strategies - Realization of

pr act ical st rat egies .......................................................................................21

Chapter 3 Reforming the S&T System.................................................................22

1. Developing, secur ing an d activa tin g hu ma n r esour ces ...................................22

(1) Creating an environment where individuals thrive.......................................22

(i) Ensu ring fair a nd highly tr an spar ent personnel systems ...........................22

(ii) Support ing t he in depen dence of young r esea rcher s ...................................22

(iii) Improving th e m obility of hu ma n resources ..............................................24

(iv) Suppressing the rate of inbreeding.............................................................24

(v) Pr omoting th e a ctivities of fema le r esear chers ...........................................25

(vi) P romotin g th e activit ies of foreign resear chers ..........................................25

(vii) Ut ilizing th e abilit ies of ta lent ed sen ior resea rcher s ................................26

(2) En ha ncing the h um an resource development function in u niversities .........27

(i) Hu ma n resource developm ent in un iversit ies ..............................................27

(ii) Dra st ic enh an cement of gradu at e educat ion...............................................27

(iii) Formu latin g action pla n on t he r eform of gradu at e school education ......28

(iv) Impr oving fina ncial a id for doctora te cour se s tu den ts ...............................28

(3) Developing hum an r esour ces th at meet th e needs of society ........................29

(i) Hu ma n r esource development by indu str y-un iversity par tn ersh ip ............29

(ii) Pr omoting th e a ctivities of doctorals in indu st ry ........................................29

(iii) Developmen t of diverse hum an resources utilizing an d ret ur ning

kn owledge to society ...................................................................................29

(4) Expan ding th e scope of hu ma n r esour ces who will bear th e S&T in futu re .31

(i) Developing children with exuber an t in tellectu al cur iosity..........................31

(ii) Developing th e individu alit y and abilit ies of gifted children .....................32

2. Creat ing scient ific development an d persis ten t inn ovation ............................33

(1) Developing a competitive environment...........................................................33

(i) Increas ing competit ive funds an d indir ect costs ..........................................33

(ii) Developing a compet itive en vironm ent in organ izat ions............................33


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(iii) Promotin g the syst emic reforms on compet itive fun ds ..............................34

(2) En ha ncing th e compet itive edge of un iversit ies .............................................36

(i) Crea tin g u niver sit ies t ha t lead th e worlds S&T..........................................36(ii) Revita lizing un iversities tha t u tilize un iqueness a nd char acterist ics .......37

(3) Enha ncing syst ems for creat ing inn ovation ...................................................38

(i) Maint ainin g the various resear ch fun d systems a ccording to th e

developm ent st age of R&D ...........................................................................38

(ii) Building a sustainable and progressive industry-university-government

collabora t ion sys tem .....................................................................................40

(iii) Pr omoting t he u tilizat ion of new techn ologies in t he pu blic sector...........43

(iv) Promoting the entrepreneurial activities of R&D ventures.......................43

(v) P romotin g R&D by pr ivat e ent erpr ises .......................................................44

(4) Building regiona l inn ovat ion systems an d creat ing vita l r egions .................44

(i) For min g regiona l clust er s .............................................................................45

(ii) Developin g smooth S&T policies in regions ................................................45

(5) Effective a nd efficient pr omotion of R&D.......................................................46

(i) Effective ut ilizat ion of resea rch fun ds ..........................................................46

(ii) Em pha sizing the developmen t a nd u tilization of hu ma n r esour ces in

resea rch fun ds ...............................................................................................46

(iii) Reformin g the eva lua t ion syst em ...............................................................47

(6) Resolving the institutional and operational bottleneck that acts against

S&T activities a nd ret ur nin g benefits from R&D to society ..........................48

3. Reinforcing th e foun da tion for pr omoting S&T ...............................................49

(1) Int ent ional an d selective im pr ovemen ts of facilities......................................49

(i) Impr ovement s of facilities su ch a s na tional u niversities an d pu blic

resea rch inst itu t ions .....................................................................................49

(ii) Development of facilities of national universities and public research

inst itut ions ....................................................................................................51

(iii) Developin g the facilities of pu blic univers it ies ..........................................51

(iv) Developing th e facilities of pr ivate un iversit ies .........................................51

(v) Promoting t he developmen t a nd s ha red u se of advan ced large-scale

pu blic r esea rch facilities ...............................................................................51

(2) Im pr oving th e int ellectu al infra st ru ctu re.......................................................52

(i) Stra tegic and s elective development of intellectu al infra str uctur e ............52

(ii) Building a framework for promoting efficient development and use.........52

(3) Creating, protecting and utilizing intellectual property................................53


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(4) Actively respondin g to st an da rdiza tion ..........................................................54

(5) Imp roving the r esea rch in form at ion infra st ru ctur e.......................................55

(6) Pr omotin g the act ivit ies of aca dem ic societies ...............................................56(7) Promotin g R&D in public resea rch inst itu tions .............................................57

4. St ra tegically p romotin g in ter na tiona l a ctivities..............................................57

(1) Systematic efforts of international activities..................................................58

(2) Cooper at ing with Asian nat ions ......................................................................58

(3) Promoting genera l developmen t for reinforcing inter na tional a ctivities,

an d accepta nce of t alen ted foreign resear chers ..............................................59

Cha pter 4 S&T t o Be Support ed by Society a nd t he P ublic ................................60

1. Responsible mea sur es t o resolve eth ical, legal, or social pr oblems caus ed by

S&T ....................................................................................................................60

2. Accoun ta bility r elatin g to S&T an d t he imp rovement of inform at ion

t ra ns mis sion.......................................................................................................61

3. Impr oving th e public awareness of S&T ..........................................................61

4. Pr omoting pr oactive par ticipat ion of th e public in S &T .................................62

Chapter 5 Role of the Council for Science and Technology Policy.......................63

1. Basic opera t ion ..................................................................................................63

2. Specific meas ures ..............................................................................................63

(1) Effective, efficien t pr omotion of governmental R&D .....................................63

(2) Pr omotion of S&T syst em r eforms ..................................................................64

(3) S&T to be su pport ed by t he public and to ben efit society ..............................65

(4) Str at egic promotion of int ern at ional activit ies ..............................................65

(5) Removal of structural or operational obstacles for smooth S&T activities

an d th e r etu rn of the r esu lts to society ...........................................................65

(6) Appropriate follow-up of the S&T basic plan and the promotion of the

pr ogress ............................................................................................................65


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Introduction

It is never ea sy for J apa n, a resource-poor coun tr y, to occupy a n honorable positionin h um an society. In fact, the coun tr ys futu re pr osperity depends on t he developmen t

of un ique, out sta ndin g S&T. With t his u nder sta ndin g, J apa n set th e goal of becoming

an advanced science-and technology-oriented nation as a national strategy. The

Science and Technology Basic Law has been enacted, under which a comprehensive

range of measures has been taken intensively based on the Science and Technology

Bas ic Pla n (her eina fter Bas ic Pla n), includ ing th e Fir st Ba sic Pla n for FY1996-2000,

an d t he Second Basic Plan decided by the Ca binet in March 2001 an d scheduled for

implement at ion du ring FY2001-2005.

The first and second basic plans were formulated and carried out during the

period of prolonged economic stagnation in Japan following the collapse of the bubble

economy. Even in the deteriorating financial circumstances, governmental R&D

expenditure increased, and a broad range of structural reforms were conducted such

as: strategic priority setting in S&T through promotion of basic research and

prioritization of R&D on national/social issues; development of a competitive R&D

environment by increasing competitive funds and reforming existing systems; and

reorganization of national research institutes and national universities into

corporations.

At this time of formulation of the third basic plan, the Japanese economy has

fina lly recovered from the pr olonged stagna tion an d st ar ted t o show signs of shifting to

a sustainable growth path. In S&T, also, policy efforts have been made persistently

based on the first and second basic plans. As a result of these efforts, world-leading

research papers and findings emerged, and some of the advanced findings have been

turned into innovative industrialization. The competitiveness of the private sector is

based on national S&T capability. In light of this, both effective increase of R&D

expenditure and thorough execution of R&T system reforms during the period of the

th ird ba sic plan (FY2006-2010) will be indispensa ble for th e long-term development of

th e J apa nese economy.

Of course, people expect mu ch more t ha n economic contr ibutions from J apa ns

S&T in the third basic plan. They also expect: contribution to society, which is

changing remarkably due to rapidly aging population and declining birth rate;

resolution of safety issues relating to public concerns about large-scale natural

disasters and accidents, as well as complicated global security issues including

terrorist attacks; and resolution of deteriorating global-scale problems concerning


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population and the environment, etc. Thus, the society expects S&T to play more

extensive and profound roles. Moreover, the world never stops in making progress in

S&T. China, South Korea, an d other Asian coun tr ies, as well as th e U.S. an d Eu ropeancoun tr ies are ra pidly coming to enha nce S&T as a basis of na tional str ength .

In order to use investments accumulated during the period of the previous two

plan s an d also to meet increasin g social an d economic needs in various fields, the t hird

basic plan should further enhance accountability and strategies, aiming at S&T to be

supp orted by the pu blic an d to benefit society. The core stra tegies of th e th ird plan ar e:

development of hu ma n resources who can pr oduce excellent r esearch findings,

creation of a compet itive environment , promotion of science, an d creat ion of persist ent

innovations through strategic investment; and removal of systematic or operational

obsta cles to retu rn th e R&D benefits t o society. S&T ha s a m ission t o address a broad

ra nge of th ese policy issues for th e next five years. With t his bas ic un derst an ding, the

th ird basic plan int ends t o indicate pr imary measu res to be executed st eadily by the

governm ent as a wh ole with th e leadersh ip of th e Council for Science and Techn ology

Policy.


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Cha pter 1 Basic Concepts

1.

Circumstances relating to S&T(1) Progress in S&T measures

The first basic plan ha d as its pr imar y principle aggressive promotion of both R&D

to meet social and economic needs an d basic research to creat e intellectu al ass ets, an d

provided measures to be taken. In the plan, the total amount of governmental R&D

expenditure was estimated to be around 17 trillion yen, and the final budget exceeded

th e estimat ion despite th e severe finan cial conditions.

The second basic plan p rovided th ree basic concepts a s th e vision t ha t t his coun tr y

should a im for in S&T policies: i.e. a n at ion cont ribut ing to th e world by creation a nd

utilization of scientific knowledge; a nation with international competitiveness and

ability of sus ta inable developmen t; and a n at ion securin g safety and qu ality of life.

Based on these Ideas, the second basic plan budgeted about 24 trillion yen, more

th an the amount in th e first ba sic plan, as government al R&D expenditur e for t he five

years from FY2001 to FY2005, aiming at S&T system reforms and strategic priority

setting in S&T through promotion of basic research and prioritization of R&D on

national/social issues. The measures planned in the second basic plan have been

implement ed stead ily as a whole. The progress in prima ry meas ur es is as follows:

(i) Total a mount of governm ent al R&D expenditu re

Due to economic stagnation over rather long periods of time and severe financial

conditions, the total amount of governmental R&D expenditure did not reach 24

trillion yen, the amount planned in the second basic plan, but achieved higher growth

compared to other general expenditures.

Note: The above expenditure of 24 trillion yen is based on an assumption that the

governmental R&D investment should be 1% of GDP, of which nominal growth

ra te is 3.5%, dur ing th e period of the second ba sic plan .

(ii) Str at egic priority sett ing in S&T

Strategic priority setting in S&T, aiming at effective, efficient promotion of

governmental R&D investments, made steady progress in resource allocation. More

specifically, the significance of basic research steadily increased in governmental R&D

as a whole, while the country's S&T had a stronger basis. Competitive funds, in

par ticular, increas ed rem ar ka bly. As for R&D on na tional/social issues, r esources were

allotted preferentially and primarily to four areas: life sciences; information and


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telecommunications; environmental sciences; and nanotechnology/materials. These

areas are considered to greatly contribute to the vision for which the country should

aim (the three Ideas). In the other four areas, i.e. energy, manufacturing technology,infrast ru ctu re, an d frontier, R&D on indispensa ble fields for th e na tions existence in

these areas were primarily promoted. As a result, in the S&T budgets for these eight

areas, the percentage of budgets for the prioritized four areas increased from 38% in

FY2001 to 46% in FY2005.

(iii) Developmen t of a compet itive R&D environmen t an d other R&D system r eforms

The amount of competitive funds (R&D funds distributed to researchers; the

entities of resource allocation are diverse, and a team including experts selects

appropriate projects to be funded, from research projects gathered and proposed,

mainly based on scientific or technical evaluation) did not double but increased, and

the percentage of funds to the S&T budget increased from 8% to 13% in the period of

the plan. In addition, certain progress has been made in system reforms such as

increase of indirect expenses, improvement of systems to cult ivate young resea rchers,

and strengthening of the managerial/evaluation system by program officers and

directors (POs/PDs). However, other reforms such as securing 30% of the budget for

indirect expenses rema in un finished. In t he cour se of budgeta ry increase in prioritized

areas, a broader range of government agencies have been adopting the competitive

fund syst em, an d various t ypes of expenses ha ve been bu dgeted for compet itive fun ds.

The numbers of universities and public research institutions adopting fixed-term

appointment increased, while the percentage of fixed-term researchers to total

resea rchers r emain ed low.

Moreover, 68 national research institutes were reorganized into independent

administr ative institu tions in April 2001 and nat ional un iversities into corporations in

April 2004, and research institutions became able to conduct more flexible research

management. Under the National Guideline on the Method of Evaluation for

Government R&D (Decided by Prime Minister in November 2001; amended in March

2005; hereinafter "National Guideline"), other R&D system reforms were promoted,

resulting in the steady recognition and execution of R&D evaluation by relevant

ministries, agencies, and research institutions, and the improvement of their

awareness.

(iv) Indu str y-academia-governm ent collabora tion an d other S&T system r eforms

S&T system reforms enabled steadily progress in industry-academia-government


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collaboration such as: increase in the numbers of industry-academia joint research,

technology transfers by technology licensing organizations (TLOs), and

university-derived ventures (the total number of such ventures has reached 1,000).Regional S&T promotion has also advanced (18 regions for knowledge clusters; 19

projects for indus tr ial clust ers).

In a ccorda nce with t he 5-Year Plan for Urgent Impr ovement of National

Universities and Other Research Institutions, graduate schools and research

inst itut ions were developed an d impr oved, and th e congestion problem of facilities, th e

priority issue, was resolved on a planned basis. However, the improvement of

deteriorated facilities was delayed, while the number of deteriorated facilities

increased ma inly due to the elapse of time.

(2) Result s of S&T policiesLooking into the promotion of basic research and the results of investment

strategies including the effects of accumulated investments, Japan has improved its

intern ational statu s steadily in th e quality and quant ity of research papers, resulting

in world-class a chievement s. According to th e su rvey on extensive technical ar eas for

S&T experts, in compar ison with th e U.S. and EU, J apan improved its intern ational

sta tu s in almost a ll fields compa red t o five years a go. Ja pan ese resear chers h ave been

acknowledged for their unique findings, and Nobel Prizes have been awarded to three

resear cher s in chemist ry an d one in physics since 2000.

As far as judging from the numbers of university-derived ventures and joint

research conducted by universities and private companies, technology transfer from

universities and public research institutions worked well during the period of the

second basic plan. Also Japan's unique research findings have created a new market

generating hundreds of billions of yen while contributing to defeating intractable

diseases.

Comparing R&D levels in the aforementioned survey, the gap has narrowed

between Asian countries and Japan. International competition has been growing

fiercer in the num bers of interna tional patent applicat ions and U.S.-registered pa tent s,

and Japan is less likely to improve its market share. The country's balance of trade in

technology improved as a whole but remained in deficit in many leading-edge

industr ies such as informa tion and telecommu nications.

Reviewing the results of R&D investments, the research level has steadily

improved, and industry-university-government collaboration has been promoted. In

addition, research findings have been returned to the economy and society. More


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specifically, a new cancer therapy (heavy ion medical accelerator) was developed,

materials for regenerative medicine (artificial bone using apatite) were applied

pra ctically, an d other contr ibutions were mad e to impr ove peoples h ealth . In solarpower generat ion, J apa n achieved the worlds h ighest power conversion efficiency and

developed t he t echn ology for m ass production. Th e am oun t of solar power gener at ed in

Japan accounts for 50% of the world's total, and thus S&T results have been

contributing to the viability of Japan as an environmentally developed country. In

industries supporting economic recovery such as the home information appliance and

advanced materials industries, it is considered that governmental R&D results

especially relating to information and telecommunications, nanotechnology/materials,

and environmental sciences (the development of state-of-the-art semiconductor

manufacturing technology, magnetic micro disks with the world-highest bit density,

and photo catalytic materials with diverse effects), coupled with the country's

industrial strength, have improved competitiveness steadily. These results have also

been contributing to domestic and global security, such as clarifying the cause of the

ta nker a ccident th at caused great dama ge to the J apan Sea coast due to an oil leakage,

performing safety ana lysis, and incorporating n ew safety st anda rds int o internat ional

tr eaties in an appropriate mann er.

These results, initially beginning with innovative findings and inventories, were

developed by overcomin g a lot of difficulties such as th e "Valley of Deat h." In t he course

of the development, public R&D investments were made appropriately at suitable

times from t he initial r esearch phase t o the pr actical application pha se, and leading

industry-university collaborations were made in the final phase. We must accelerate

furt her development based on t hese results.

It will take ma ny years t o turn th e increase of intellectu al assets into the creation

of value. Therefore, future efforts should be made to use the country's potential S&T

capability that improved by investments in the period of the previous two plans, to

create innovation in a broad range of social and economic areas(the innovation

generating new social and economic values with advanced scientific findings and

technical inventions combined with human insights), enhance industrial

competitiveness, resolve a wide range of social issues such as safety and health, and

ensu re th e susta inable prosperity of th e Ja pan ese economy and pu blic life.

(3) Changes th at may ha ve impact on S&T both at home and abr oad a nd t he roles of

S&T

During the period of the third basic plan, the environment relating to S&T is


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expected t o cha nge rema rka bly at h ome and abroad, an d peoples expecta tions for S&T

ar e also expected to grow.

It is obvious that demographic changes will have a greater impact on society. Inorder t o achieve a st able economic growth despit e th e aging an d decreasing populat ion

as well as the declining birth rate, Japan should tenaciously improve productivity. In

addition, competitive companies are indispensable for Japan to achieve remarkable

economic growth. Especially as other Asian countries have been rapidly improving

their technological capabilities, some competitive Japanese manufacturers are facing

fierce competition with companies in these countries. Therefore, it is required to

produce more value-added products based on our national strength. S&T are a basis

for im proving compet itiveness a nd productivity, and it is n ecessar y to ensu re economic

recovery and sustainable growth by promoting S&T and turning the results into

persistent innovation.

The aging population an d declining birth ra te create a variety of new social issues,

such as social security burdens on people, and national health, as well as economic

issues. Meanwhile, social and national safety has been threatened by large-scale

natural disasters, grave accidents, and complicated global security issues such as

terrorist attacks, and there are growing concerns among people about safety and

secur ity. Since S&T ar e indispens able in resolving t hese issu es, people's expecta tions

for S&T will increase an d t hu s S&T will assu me r esponsibility for society.

Despite growing expecta tions, ther e remain s a gap in different people's awar eness

of S&T. More specifically, ma ny people ar e a war e of S&T's cont ribu tion to society, while

few people feel close to th em. In pa rt icular, int erest in S&T ha s been decreasing a mong

young people. People are eager to obtain comfortable, safe, and spiritually affluent

lives, while many feel anxiety about the rapid progress in S&T. Since the country's

financial condition is getting worse, the development of advanced research facilities

and other governmental R&D investments should be made more selectively and

efficiently.

Fiercer international competition in S&T is one of the notable environmental

changes that occurred in the world during the period of the previous two plans.

Especially China, South Korea and other Asian countries achieved a remarkable

economic growth, and their national policies for S&T promotion are considered to be

playing a major role in this growth. In the U.S. and European countries, as well as

China, South Korea, and other rapidly-growing Asian countries, the development of

capable hu ma n r esour ces is deemed a s a basis for S&T capability, an d compet ition for

procuring human resources has been taking place on a global basis. Japan had once


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abundant human resources based on its high educational level, but now faces a

deteriorating situation relating to human resources due to declining academic

standards in recent years and demographic changes in line with the aging of thepopulation an d declining birth rat e.

Many efforts have been made to resolve global-scale problems concerning

population, t he environment , food, energy, an d r esources, but difficult challenges st ill

remain such as: sustainable development of human society; and S&T achievements so

as not to pass negative assets to the next generation. Japan, a country possessing

excellent S&T, is expected, more than ever before, to contribute to human society

through the resolution of the challenges by using its national S&T capability.

Expecta tions for J apan ese technology relating t o eart hqua kes an d other disasters are

also high. S&T relating to natural, human, and social sciences are essential to ensure

th at J apan stays valuable in hu man society across centu ries.

2. Basic sta nces in th e thir d basic planAs out lined a bove, people str ongly expect m uch from S&T in r esolving fiercer S&T

competition on a global basis, the aging of the population and declining birth rate,

safety and security, and other global challenges. Meanwhile, there remains a gap in

different people's awareness of S&T. In light of these circumstances, the third basic

plan should be execut ed based on t he following two sta nces.

(1) S&T to be supported by public and to benefit society

The effective implementation of S&T policies is possible only when they are

un derst ood an d support ed by th e people. Peoples support a nd u nder sta ndin g should

be achieved by: making R&D investments more effectively and strategically;

promoting the sciences persistently, thereby creating intellectual and cultural values;

making further efforts to return R&D results to society and the public through the

creation of innovation; and clearly explaining S &T policies an d t heir resu lts t o people,

th ereby enh an cing a ccount ability. These efforts will increa se peoples int erest in S&T

and en sure th at S&T are developed with th eir support.

(2) Emphasis on fostering human resources and competitive research environments

Shift of empha sis from ha rd to soft such a s h um an resources; greater significan ce of

individuals at institut ions

Human resources are the basis for S&T capability. The future of creative S&T in

J apa n depends on th e capa bility of hu ma n resour ces who developed an d play an active


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role in J apa n. The coun tr ys policies for investmen ts ha ve shifted emph asis from

ha rd to soft in genera l. For example, infrast ru ctu re bu ilding is included in ha rd,

while hum an resources, a basis of competitiveness in S&T an d education, are in cludedin soft. Therefore, in S&T policies, also, investment emphasis will be shifted from

infrastructure building to development of excellent human resources. The third basic

plan intends to promote the development of creative human resources by discovering

and training promising people, making personnel systems more flexible, securing a

diversity of human resources, and promoting their creativity and willingness to take

on challenges. The plan also aims to promote S&T system reforms to encourage each

person to exert th eir willingness a nd enth usiasm th ereby maximizing t heir creativity.

The reforms should be made thoroughly so that young, female, or foreign researchers

can exert their willingness and ability. In addition, efforts should be made to attract

capable human resources at home and abroad and develop world-class human

resources. These effort s will impr ove J apa ns S&T in th e long ru n a nd cont ribut e to

building tr ust with other coun tries.

For the development of a competitive environment in S&T, it is important for

people engaged in S&T to genera te creat ive ideas, have an opport un ity to compete, and

receive fair judgment. In order to promote advanced S&T activities in the modern

society, it is also considered essential for researchers and promising young people to

belong to research or educational institutions with suitable facilities and equipment.

In order to develop a competitive R&D environment, research or educational

institutions should not be operated based on sectionalism but should develop

researchers by encouraging them to generate creative ideas, to compete with others,

and to exert t heir ability to th e maximum. Taking into consideration tha t r esearch a nd

educational in stit ut ions ar e a basis of individua l S&T activities, S&T policies will shift

to great er s ignifican ce of individuals a t inst itu tions from t he viewpoint of creat ing a

more competitive environm ent .

3. Idea s a nd goals of S&T policies(1) Ideas a nd policy goals of th e th ird bas ic plan

The vision that Japan should aim for in the second basic plan (three Ideas) is

universal and can be shared by everyone. The three Ideas cover entire S&T policies,

an d a re u seful in developing futu re S&T policies.

Meanwhile, these general Ideas are not sufficient to clearly explain a variety of

governmental R&D expenditure to the public and to develop practical, individual

policies. Moreover, from viewpoints of thorough accountability to people and the return


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of S&T resu lts t o society, it is desir able t o set pr actical policy goals for th e rea lization of

these Ideas, develop measures based on the respective roles of the public and private

sectors, an d evaluat e th e effects of th ese measu res.Therefore, the third basic plan, in principle, will inherit three Ideas in the second

basic plan a nd s et m ore practical policy goals t o realize th ese Ideas in consider at ion of

domestic or global changes and future prospects regarding S&T, economy, and society.

More specifically, the third basic plan will set the following six goals consisting of 12

sub-goals. These Ideas and goals are not placed in any order of priority, and are

valuable equally as national goals. S&T policies are surely important for the goals to

be achieved, but some of the goals will not be achieved without the results of R&D

activities conducted by private compa nies an d other n on-governm ent al ent ities.

Create human wisdom to realize a nation contributing to the world by

creation and utilization of scientific knowledge -

* Goal 1: Quantum jump in knowledge, discovery, and creation accumulation and

crea tion of diverse knowledge to ensur e a bright fut ur e -

(1) Discover a nd clarify new pr inciples an d ph enomenon

(2) Crea te k nowledge as a ba sis of discontinu ous technical inn ovation

* Goal 2: Break th roughs in a dvan ced S&T effort s for h um an drea ms t o be come tru e

-

(3) Bolster S &T by conducting t he worlds most advan ced projects

In order to be a nation creating human wisdom and contributing to the world,

Japan, firstly, should accumulate profound and diverse intellectual achievements that

constantly generate remarkable knowledge. The accumulation of intellectual

achievements, mainly from basic research to discover and clarify new principles and

phenomenon, is expected to generate the knowledge that is a basis of discontinuous

technical innovation and is pursued in life/material sciences where development has

been made in an atomic/molecular size. Japan stays behind the U.S. or European

coun tr ies in accum ulat ing intellectu al achievemen ts t o ma ke a leap in knowledge.

Another goal for S&T policies is to contribute to human society by making

break th roughs in S&T with t he worlds most a dvanced projects. J apa n is expected t o

lead the world in the creation of international knowledge such as obtaining

information in the unknown and discovering phenomenon occurring only in extreme

conditions.

In order to achieve these goals, it is essential to develop capable researchers who


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enthusiastically pursue the creation of scientific knowledge and to promote their

activities. If Japan produces world-class, capable researchers, they will be a good

target for young human resources, and enthusiasm for new creation will be elevated.Therefore, th e second basic plan set a goal of producing as m an y as 30 Novel laur eat es

in 50 years, aiming to increase th e num ber of Ja panese who win int ernat ional pr izes in

science to the level of major E ur opean coun tr ies. For t his pu rpose, S&T policies in t he

third basic plan are expected to promote basic research with emphasis on human

resources.

Maximize na tional poten tial to create a compet itive na tion achieving

sust ainable growth -

* Goal 3: Economic growth & environmental protection achieving sustainable

economic growth based on environment al pr otection

(4) Overcome global-warming and energy problems

(5) Realize an environmentally harmonized, recycling-oriented society

* Goal 4: Innovator Japan realizing a strong economy and industries creating

innovation constantly -

(6) Realize a ubiquit ous In ter net s ociety att ra ctin g global int erest

(7) Become th e worlds t op ma nu factur ing n at ion

(8) Enh an ce indu str ial compet itiveness t o win in global S&T compet ition

J apan must develop S&T as a basis of national strength to overcome t he aging an d

decreasing of the population and declining birth rate, as well as

global-warming/energy problems and to create a country that ensures sustainable

growth in the fierce international competition. To achieve this goal, S&T policies

should focus on: how to decrease green house gas emission by 6% in 2012 from 1990

under the international agreement, and ensure the prosperity of the Japanese

economy; and crea tion of an environmen ta lly har monizing, recycling-orient ed society

in t he en vironm ent al sciences wher e people expect mu ch from S &T.

Japanese industries are facing fierce competition with emergent Asian countries,

such as China and South Korea. In order to ensure our industrial competitiveness

under such circumstances, the development of S&T should be made to generate

highly-value added innovation on a constant basis. For this purpose, policy goals

should be set to build a ubiquitous In ter net s ociety tha t a tt ra cts t he global society, lead

the world in manufacturing as national strength, and establish an industrial

capability to win in int erna tional S&T competition.


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The creation of competitive new industries is expected to generate high-quality

employment an d increase peoples income. The m inimization of environmen ta l bur dens

such as green house gasses is an essential challenge to be addressed by S&T for botheconomic growth a nd en vironm ent al protection.

Pr otect na tions health a nd secur ity - to become a nat ion th at secures

safety and quality of life -

* Goal 5: Nat ions good hea lth over lifetime m ak ing J apa n a coun tr y where people

ra nging from children t o th e elderly can s ta y health y -

(9) Overcome diseases afflicting the public

(10) Realize a society where everyone can sta y hea lth y

* Goal 6: The worlds sa fest count ry m akin g J apa n th e worlds sa fest coun tr y -

(11) Secure national, social safety

(12) Ensu re sa fety in life

During the period of the second basic plan, the public has felt anxiety and strong

expecta tions for S&T prima rily in healt h a nd sa fety issues. Safety and secur ity, which

ar e th e basis of th e count rys sus ta inable growth, ha ve been t hr eat ened by successive

events su ch as: the out break of SARS, BSE, bird flu, an d other in ter na tional infectious

diseases; growing mistrust in food safety; deteriorating immune diseases such as hay

fever; occurrence of grave rail accidents, etc. and large-scale natural disasters mainly

due to earthquakes, tsunami, and typhoons; international security that has become

more complicat ed since the t errorist at ta cks of September 11, 2001; growing thr eat s to

inform at ion secur ity; an d still severe situ at ion of th e peace. Meanwh ile, th ere are

growing expectations for S&T to protect health and safety such as: development of

innovative therapies for diseases by life sciences where notable progress has been

made on a cellular or molecular basis; realization of healthy life by preventive

medicine an d food fun ctiona lity; and optimal u tilization of advanced S&T for accidents ,

crimes, and na tu ral disasters such as earth quakes.

Under these circumstances, S&T policies aim to combat diseases afflicting the

public from children to the elderly, create a society where everyone can stay healthy

over t heir lifetimes, an d rea lize th e worlds safest n at ion wher e safety is ensu red at

social, nat iona l, and per sonal levels.

In order to achieve policy goals under these three Ideas, more practical goals are

required to be set for each governmental R&D project. The relevant ministries and

agen cies will set policy goals for each project t o rea lize 12 sub-goals with t he lea ders hip


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of the Council for Science and Technology Policy, and the Council will review these

goals. Also, necessary modifications will be made to policy goals for each project in

order t o meet chan ging political needs in an appropriate ma nner.By clarifying Ideas and policy goals for governmental R&D investments and

creatin g a R&D system t o realize these Ideas an d goals, (i) accoun ta bility t o the pu blic

will be promoted to clarify the goals or progress of R&D investmen ts, a nd (ii) detailed

guidelines and evaluation standards will be provided for each measure and project,

cont ribut ing to th e effective retu rn of th e resu lts t o society an d th e public.

(2) S&Ts cont ribu tion t o the world, society, an d pu blicThrough the implementation of investments and measures to achieve new

pra ctical policy goals, S&T will also mak e a great er cont ribut ion t o resolving a var iety

of deteriorating global-scale problems concerning population, the environment, food,

energy, and resource, as well as t he domest ic issue of th e rapid a ging of the populat ion

and declining birth rate. More specifically, the six policy goals mentioned above should

be achieved in order t o address th e following:

(Cont ribut ion t o the world)

* Resolve problems common to all h um an beings

* Realize global pea ce an d pr osperity

(Cont ribut ion to th e society)

* Bolster growth in th e J apa nese economy

* Lead global r ule-sett ing

(Cont ribut ion t o the pu blic)

* Provide securit y an d energy for peoples lives

* En sur e employment an d lives of high qua lity

The Science Council of J apa n, an organizat ion repr esent ing the J apa nese resear ch

commu nit y, ann ounced the r esults of th e discuss ion on S&T policies in t he form ulat ion

of the third basic plan. These expectations are considered to be fulfilled by

implement ing th e following policies based on t he a forementioned ba sic stan ces, Ideas,

an d policy goals.

4. Governmental R&D expenditure

R&D expenditure by t he governm ent and th e private sector ha s increased during

th e period of th e previous t wo plan s, and t he percenta ge of th e total R&D expenditu re

to GDP in Japan exceeds that in major developed countries. Despite the reduction of


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expenditure for other policies in the recent severe financial condition, governmental

R&D expenditure in Japan has increased considerably, reaching almost the same level

of th e U.S. an d ma jor E ur opean count ries. These count ries ha ve been increasin g R&Dexpenditure in recent years, and the public and private sectors should make

continuous efforts to increase the expenditure in order to win in international

compet ition in t he er a of large-scale intellectu al compet ition.

It is further required that Japan makes R&D investments steadily in

consideration of respective roles of public and private sectors, strengthening

international competitiveness based on the investments through stronger

public-private coopera tion, and r etu rn ing th e result s to the society and pu blic.

In t he per iod of th e second basic plan , finan cial condit ions in J apa n were becoming

worse than they were in the period of the first basic plan, and the worst among major

developed countries. Therefore, it is essential to promote fiscal restructuring of both

expenditure and revenues in order to create an active society and vital economy and

achieve sust ainable growth .

Under these circumstances, from the viewpoint of continuing the effort of S&T

promotion made during the period of the previous basic plans, the percentage of

governmental R&D expenditure to GDP in the period of the third basic plan also

should be raised up to at least the same level as in the U.S. and major European

countries. The total amount of the governmental R&D expenditure is estimated about

25 trillion yen in FY2006 to FY2010

Note: This estimation is based on th e assum ption t hat governm ental R&D investment

should be 1% of the GDP, of which the nominal growth rate is 3.1%, during the

period of th e th ird basic plan.

In light of these circumst an ces, ann ua l budgets will be fixed in order t o provide the

expenditur e necessary to promote measu res in t he basic plan. In budgeting, the t rends

of social a nd economic mat ter s a nd needs of S&T promotion will be tak en in to account

in the course of governmental fiscal restructuring, and the effects of governmental

R&D investm ent s will be ma ximized by implementin g S&T system reform s st eadily in

fina ncial condit ions t ha t a re becoming worse th an th ey were in th e period of th e second

basic plan .

The quality of R&D activities will be upgraded by setting goals for the results to

benefit t he pu blic an d evalua tin g th e effects of investm ent s based on a solid evaluat ion

system. S&T system reforms will be promoted thoroughly by: increasing funds

selectively to develop human resources and create innovation; resolving the


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unreasonable allocation of research funds and improving the examination system;

reforming the evaluation system; removing systematic or operational obstacles to

ensure smooth S&T activities and return the results to society; and understandingS&T activities in research or educational institutions. In addition, other financial

resources should be obtained by, for example, intr oducing privat e funds a nd sett ing off

propert ies by sale.


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Chapt er 2 St ra tegic Priority Sett ing in S&T

Looking into the current progress and results of priority setting, as well asdomestic social and economic circumstances and global trends for the future, priority

setting in investments will continue to be essential from a viewpoint of effective,

efficient promotion of S&T policies, and str at egic priority sett ing in governm ent al R&D

investments will be further promoted. The third basic plan intends to enhance its

strategy through selection and concentration. The second basic plan addressed the

prioritization of research areas, while the third basic plan intends to include

inter-sectoral prioritization as well. The basic plan also intends to clarify the

relationship between strategic priority setting in S&T and the six policy goals newly

created u nder t he basic Ideas.

1. Promotion of basic researchBasic research pr oducing diverse wisdom an d inn ovation will be steadily promoted

with a certain amount of investments.

Basic research bringing human wisdom and serving as a source of knowledge is

the most uncertain among all types of R&D activities. Generally, basic research does

not produce desired outcomes on a planned basis but realizes them in the steady,

serious pursuit of truth and after much trial and error. The findings and inventions,

which do not fall into the existing knowledge framework, will make a leap in

knowledge, and thus it is important to develop an innovation-oriented environment.

Basic research consists of two types: Type-1 basic resear ch th at is condu cted based

on the free ideas of researchers in S&T, including human and social sciences; and

Type-2 basic research that aims at future application based on policies. They will be

promoted according to their respective significances. More specifically, Type-1 basic

resea rch will promote a variet y of resear ch a ctivities from th e very ear ly stages in t he

pursuit of universal knowledge from a long-term perspective, aiming to accumulate

intellectual achievements to generate new knowledge constantly. Meanwhile, Type-2

basic resear ch is considered a p ar t of the R&D for p olicy-oriented s ubjects th at will be

covered in t he following sections, aim ing to crea te knowledge, a source of discont inu ous

innovations that can reform economy and society, in order to achieve policy goals

th rough p rioritization bas ed on Section 2 below.

Pr ioritizat ion based on Section 2 below is n ot done for a ll types of basic resear ch.

For example, it must be clarified and t horoughly underst ood th at research th at derives

from free ideas of researchers and are supported by Grants-in-Aid for Scientific


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Research will be promoted independently from R&D for policy-oriented subjects.

Out of all research activities that derive from the free ideas of researchers, those

requiring huge amounts of funds, in particular, will be promoted through thoroughevalua tion on resea rchers' ideas an d th rough governm ent al prioritization of projects.

2. Priority setting in R&D for policy-oriented subjects

(1) Four pr iorit y fields t o be promoted an d four fields t o be promoted

The second basic plan emph asized R&D on na tional/social issues, especially those

relat ing t o life sciences, inform at ion a nd telecommun icat ions, en vironm ent al sciences,

and nanotechnology/materials, and funds were preferentially allocated to those four

areas. The third basic plan deems those four areas as areas in which R&D activities

should be promoted primarily (hereinafter four priority fields to be promoted), and

intends to allocate resources preferentially to those areas based on the following

requ irement s of int er-sectora l priorit izat ion.

(i) The level of contribution to the three Ideas (relating to S&T, economy, andsociety) is generally high.

(ii) Peoples expecta tions an d int erest ar e high a ccording to th e resu lts of awar enesssurveys.

(iii)The tr ends of S&T strat egies in other count ries are tak en int o account .(iv)Appropriat e from pr actical persp ectives, such as st ra tegic viability an d ad option

by research sites.

In addition to the above, the third basic plan also deems the other four areas

including energy, manufacturing technology, social infrastructure, and frontier as

areas in which R&D activities are conducted with an emphasis on issues that are

fundamentals for the nation's existence and need to be addressed by the government

(hereinafter four fields to be promoted), and resource allocation will be made in an

appropriate manner based on the principles of inter-sectoral prioritization mentioned

in t he following sections .

(2) Formula tion of Pr omotion St ra tegies

Prioritized resource allocation should not be made, without close examination, to

R&D projects , even to th ose relat ing t o four p riorit y fields to be promoted . Also, it is n ot

appropriate to remove R&D projects relating to four fields to be promoted, without

such exam inat ion, from su bjects for str at egic resource allocation. Therefore, as for th e

four priority fields to be promoted and the four fields to be promoted, the Council for

Science and Technology Policy will formulate strategies for promotion of each of the


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eight a reas in order t o achieve policy goals. These st ra tegies will be formula ted ba sed

on th e following Ideas of int er-sectoral p rioritization, an d essen tial R&D issues will be

selected in each ar ea. These R&D issues mu st n ot be exhau stive or compr ehen sive.(i) Evaluate the future impact objectively on science, economy, and society by

ut ilizing approaches such a s a Delphi su rvey.

(ii) Clearly recognize J apa ns position an d level in global S&T by using a benchmar k,and clarify the necessity of investments. (e.g.: Is it an R&D issue to ensure

Japan's competitive advantage by using national strength, an R&D issue to be

resolved in response to strong social needs, or a R&D issue to lead paradigm

shift?)

(iii)Ident ify th e necessity of investm ent s in R&D processes ra nging from t he creationof knowledge to the return of the results to society and the public, from the

viewpoint s of cont ribut ion to achieving policy goals la id down in t he pla n an d a

path to the goals.

(iv)Un derst an d th e respective roles of th e public an d privat e sectors, an d clarify th enecessity of investments from the viewpoints of R&D risk, complementarity of

th e public an d privat e sectors, and pu blicness.

(3) Selection of St ra tegic Pr iorit ized S&T

There are a variety of investment patterns for essential R&D issues. One example

is where the amount of budget for the R&D does not increase because an emphasis is

placed on the utilization of previously accumulated investments. Another example is

where the R&D needs to be conducted in the long run within a certain amount of

budget. Ther efore, in order t o formula te t he P romotion St ra tegies for Prioritized Areas ,

R&D issues for wh ich fun ds ar e to be budgeted preferent ially in t he period of th e basic

plan should be narrowed down based on a certain criteria. In light of this, from the

viewpoints below, the Council for Science and Technology Policy intends to select,

within each area, the subject to which funds are to be allocated preferentially in the

period of the basic plan, a nd to incorporat e th e subject as str at egically focused R&D

int o Promotion St ra tegies for Pr ioritized Area s.

(i) Concent rat ed investment s in t he subject du ring th e period of th e basic plan a rerequired for S&T to clearly indicate the method of meeting social and public

concerns or needs that have been rapidly growing in recent years (e.g.: anxiety

about sa fety an d secur ity).

(ii) Taking into account the status of international competition and the developmentof innovations, concentrated investments and the production of results during


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the period of the basic plan are indispensable for Japan to win in the global

competition. If such investm ent s ar e not made in t he su bject, it will be extremely

difficult for J apa n t o cat ch u p on wha t sh ould have been done for t he su bject forth e five years of th e basic plan.

(iii)In a long-term, large-scale project that is conducted under agovernment-supervised consistent framework to develop world-leading human

resources, concentrated investments in the subject during the period of the basic

plan are required to maximize social, economic effects and ensure overall

na tional security.

3. Matters to be considered in the formulation and implementation of PromotionStrategies

(1) Em erging and int erdisciplinar y fieldsThe intellectual combination or merging of different fields through friendly

compet ition played a ma jor r ole in producing great in ventions an d findin gs in th e 20th

century. In the 21st century, global-scale competition relating to knowledge is

becoming fiercer. Under these circumstances, in order to create new knowledge, it is

necessary to develop an environment that encourages the intellectual combination and

merging of different fields. For example, R&D should be promoted to ensure that the

knowledge of researchers in different fields is gathered easily in a cross-sectoral

ma nn er t o revolve issu es. The st ra tegies for promotion of each of the eight ar eas will be

formulated, giving due consideration to creating innovation through flexible

combination or merging of different fields.

The creation of innovation by using S&T capability is highly likely to improve

int ern at iona l competitiveness in t he ser vices indus tr y, where th e count rys

productivity is worse than other countries. Excellent outcomes in human or social

sciences are expected to make manufacturers more high-value added. Therefore, in

order to accelerate the creation of innovation, due consideration will be given to the

promotion of human and social sciences and the intellectual integration of these

sciences an d na tu ra l sciences.

(2) Clarifying th e relat ionsh ip with policy goals a nd esta blishing R&D goalsEssential R&D issues selected based on the Promotion Strategies for Prioritized

Areas should clarify S&T outcomes to be achieved (R&D goals), in order to achieve

policy goals that each R&D issue set in the basic plan and practical policy goals for

each project. More specifically, it is fundamental to clarity the R&D goals to be


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achieved in the period of the basic plan, as well as those to be achieved finally. The

governm ent s a ccount ability for t he r etu rn of S&T out comes to society an d t he pu blic

will be enh an ced by clarifying th e respective the r oles of th e public and pr ivate sectors,th e roles of public research inst itut ions, an d th e pat h t o achieving policy goals t hr ough

the accomplishment of R&D goals.

(3) Horizont al ma tt ers t o be considered relat ing to Str at egic Pr ioritized S&T(i) S&T selected to r esolve social issu es imm ediately

This t ype of S&T pr ovides an immediat e, exact solut ion to socially essential issues

such as: international terrorist attacks that have been threatening global safety and

security in recent years; proliferation of weapons of mass destruction; large-scale

accidents and natural disasters such as earthquakes and typhoons; threats to

information security; and emerging or reemerging infectious diseases such as SARS

an d bird flu. R&D relating t o this t ype of S&T should be condu cted by t he govern ment

with clear goals, integrating specialized or segmentalized knowledge in S&T, and

human and social sciences. The Council for Science and Technology Policy intends to

promote R&D activities relat ing to t his t ype of S&T for t he int erdisciplinar y resolution

of issues.

(ii) S&T selected t o win in inter na tional compet itionThis type of S&T is selected in consideration of selection and concentration for

R&D projects t o esta blish st able int erna tional compet itiveness, based on a competition

strategy that is in compliance with the appropriate international benchmark.

Examples are: S&T facing fiercer competition to reform the current structure of

knowledge fundamentally and to make a leap in knowledge; S&T to which

unsurpassed value should be added by using unique national advantages as soon as

possible; an d S&T tha t h ave a good opport un ity to win in int ern at iona l compet ition in

mak ing breakthr oughs th at ensure t he acquisition of hu ge added value.

(iii)S&T selected as key t echn ologies of nat iona l importa nceThis t ype of S&T is deemed a s essent ial techn ology to be invested int ensively in a

large-scale national project during the period of the basic plan (Key Technologies of

National Importance), and is addressed based on definite national goals and

long-term strategies. For example, next-generation super computing technology and

space transportation system technology are considered to fall into this category. The

Council for Science and Techn ology Policy int ends to select key t echnologies of na tiona l


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importance in the course of selecting strategic prioritized S&T, based on national

long-term strategies. R&D activities aiming to realize key technologies of national

importance will be conducted after the Council for Science and Technology Policyclosely examines and evaluates them.

(4) Effective implementation of Promotion Strategies - Realization of practical

str at egies

Even du rin g th e period of the ba sic plan, when necessary, stra tegies for pr omotion

of each of the eight areas will be amended or revised flexibly to make changes to

essential R&D issues or strategic prioritized S&T. These changes will be made in

consideration of updated S&T knowledge and trends of emerging or interdisciplinary

fields. Th e Council for Science and Technology Policy will rea lize pr actical s tr at egies,

as a basis for promoting networks or collaborations involving relevant ministries,

agencies, and research institutions, by establishing an annual policy cycle including:

gat her ing of upda ted in form at ion to propose a policy of resource allocat ion; pr ovision of

th e policy of resour ce a llocat ion before th e r eceipt of budgeta ry request s; prioritization

of th e budgeta ry requ ests; an d pr epar at ion for pr oposing th e next year s policy of

resource allocation.

Also it is useful that, in order to implement the practical strategies in a

cross-sectoral manner, relevant ministries, agencies, and organizations review broad

R&D processes ranging from basic research to application and exchange opinions or

relevant information, on a regular basis, regarding the trends of advanced R&D,

technology map s, an d r oad ma ps for th e a ccomplishm ent of policy goals. The Coun cil

for Science and Technology Policy intends to strive to promote the smooth exchange of

opinions and information sharing.


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Chapter 3 Reform ing the S&T System

1.

Developing, secur ing and activating of huma n resourcesMaintain ing and str engthening t he futu re of Japa ns S&T and global competitiveness

ride on the abilities of actively working people developed by our country. As well as creating

an environment in organizat ions t hat accura tely responds t o the new era in which diverse

and versat ile individuals from young researchers to female researchers, foreign researchers

and brilliant senior researchers can exhibit their motivation and talent, the government

will strive to secure quality and quantity of human resources in the midst of the

accelerating aging of the population and declining birthrate by implementing consistent

comprehensive human resource development measures from elementary and secondary

educat ion t o development of resea rchers.

(1) Creating an environment where individuals thr ive(i) Ensuring fair and h ighly transparent personnel systems

Since creating new value through unconventional creative ingenuity requires the

promotion of sound competition and the security of fairness in personnel affairs, as a

leading rule, extensively ensur e a fair and highly tra nspar ent personnel system based on a

mer it system by boosting the competitiveness, mobility an d diversity of human r esources in

our count rys S&T activities .

Specifically, in r ecru iting r esearchers, th e governm ent will promote ea ch organizat ion

carry out a competitive screening regardless of gender, age or nationality by extensively

seeking candidates. As for the treatment of researchers, it will actively reward outstanding

efforts by evalua ting the abilities and achievements fairly.

Universities and public research institutions are required to implement reforms and

improvements by appropriately positioning the personnel system in self-inspection and

evaluation while keeping in mind their respective characteristics. Responding adequately

to ensur e the reform and improvement of personnel systems is also desired in t hird-party

evaluation implemented on un iversities and pu blic research institu tions. Fur ther more, the

government promotes the activities of universities and public research institutions by using

the status of personnel system reform as an indicator of examination for the competitive

support system for organizations.

(ii) Supporting the independence of young researchersIn a spiring to creat e a vibran t research environment by providing young r esearchers

with independence and the opportunity to be active in a competitive environment based on


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a fair an d tr anspa rent personnel evaluation, the government will promote the int roduction

of a mechanism of providing young researchers with independence and the opportunity to

be active through measures including the tenure track system (a mechanism of allowingyoung researchers to gain experience as an independent researcher in fixed-term

employment before obtaining a steadier job through stringent screening), while taking into

consideration the improvement of personnel mobility and the conditions of the fields

particularly in universities that are aiming to become global research and education

centers. Moreover, universities need to secure jo-kyo (could be translated to assistant

professor or research associates) and prepare the playing field for them to further promote

th e activities of young researchers.

The government will support u niversities th at systematically engage in environmen tal

improvement for this purpose (providing startup funds, improving the research support

system, and securing research space), and use the status of activities of universities as an

indicator for examining the competitive support system for the organizations. The

government will also promote management of facilities of universities so that young

researchers can secure their r esearch spa ce.

Furthermore, the government will encourage young researchers to actively apply for

competitive funds in general, as well as selectively improve the support for young

researchers in striving to improve competitive funding. In so doing, the government will

pay attention to setting up a program that takes into account the startup timing, and

improving the program in which sufficient funds are paid to the young researcher to allow

him/her to carry out the research at the head of a research organization. Through these

undertakings, it will aim to raise the research funding to young researchers to a

respectable degree.

Concerning the eligibility for competitive funding for young researchers, the

government will take into consideration the diverse careers including child birth/rearing,

an d experience as a full member of society, and promote syst em impr ovement according to

the respective purport of the system by establishing a system that evaluat es the a pplicant

on their resear ch background rat her t han uniform a ge discriminat ion.

In addition, since the achievement of the plan to support 10,000 young researchers,

especially post-doctorals, post-doctoral fellows are contributing greatly to the active

development of J apa ns resear ch activities now, but th ere ha s been crit icism about t he

uncertainty of the career path after reaching the post-doctoral stage. As such, the

government will support post-doctorals who are aspiring to become researchers while

positioning th em as the preliminar y step to young researchers who can carr y out research

independently, and promoting th e tr anspa rency of the recruitment process and supporting


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the independence of young researchers. Moreover, as well as promoting the activities of

universities and public research institutions to advance career support for post-doctorals

including career path s other than academic research positions, th e government will expandth e opportu nity for post-doctorals t o come in contact with privat e enter prises.

Moreover, so that young researchers and post-doctorals can accumulate international

experience and be in friendly competition with foreign researchers, the government will

continue to improve measures to increase the opportunities for carrying out research in

foreign research organizations and the opportunity of interacting with foreign researchers.

(iii) Impr oving the mobility of hu man resourcesFrom the perspective of improving the mobility of human resources and creating a

vibran t r esearch environment, universities and public research institu tions a re to cont inue

to strive for the extensive establishment of the fixed-term system. Moreover, if a young

researcher finds a steady job through a fixed-term position, he/she is expected to devote

him/herself to research activities. To sustain the vigor of those activities, the government

will promote employment through a fixed-term system that allows for reappointment, and

a review system in which the apt itude, qualificat ions and ability ar e regularly examined. In

improving the fixed-term syst em, alth ough th e conditions differ by fields, as it is necessar y

for mobility to improve as researchers in general including private researchers, a

simultaneous transition to a fixed-term system by several universities and the

improvement of mobility in private research organizat ions a re required.

In placing a researcher in a steadier job, it is desirable to choose those who have

changed organizations, i.e., university, or major at least once after graduating from a

faculty under a fair and tra nspar ent personnel system (promotion of General One-tr ansfer

Rule for Young Resear chers).

(iv) Suppressing th e ra te of inbreeding and facultiesCreating a research environment where diverse human resources can exhibit

creativity and work hard together while being intellectually stimulated is essential in

creat ing new research areas and sust aining the dynamism of research organizat ions. Given

this fact, although the percentage of teachers working for their old schools and faculties

may rise as a result of recruiting truly brilliant human resources fairly and with

transparency, its excessively high percentage is undesirable. As such, each university is to

pay due caution to the percentage of teachers from the same schools, and universities with

an excessively high percentage are expected to work on reducing that percentage. The

government is to disclose the percentage of teachers from the same schools in each school


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by positions.

(v)Pr omoting the activities of female researchersSo that female resea rchers can fully exhibit their abilities, th e governm ent will expan d

the measures that take into account the balancing of research and child birth/rearing by

acknowledging a fixed period of respite or postponement following child birth/rearing in

receiving competitive funds based on th e perspective of gender equa lity.

Universities and public research institutions are expected to not only implement

general improvements, but are also required to steadily implement activities including

consciousness reform by providing support for the balancing of research and child

birth/rearing in the action plan to be formulated and implemented based on the Law for

Measures t o Support the Development of the Next Generation.

The government will provide support for r esearch inst itut ions t hat are implementing

effort s t ha t others should follow. From t he per spective of promoting the activities of diverse

and talented researchers, universities and public research institutions are required to

actively recruit through fair screening after openly seeking female researchers and

candidates. Moreover, it is also desirable to actively promote female researchers for

advancement a nd pa rt icipat ion in policy-making bodies as well as for recruitment.

Concerning the percentage of female researchers, the objectives, philosophy, and

rea lities of female researchers differ by organizat ion, including in ter ms of inst itu tions an d

specialties. However, there is hope that efforts will be made to promote the active

recruitment of female researchers by each organization by setting a numerical target for

the recruitment of women, making efforts to achieving that target, and disclosing the

status of achievement, while taking into account the percentage of women in the doctorate

courses of the relevant fields. Judging from the percentage of women in doctorate courses

now, the prospective recru itment ta rget of female researchers for nat ur al science as a whole

is 25 percent (physics 20 percent, optics 15 percent, agronomics 30 percent, healthcare 30

percent).

The government will grasp a nd disclose the sta tu s of efforts related t o the promotion of

activities of female researchers in universities and public research institutions, and the

percenta ge of female resear chers by job classificat ion.

Furthermore, in the efforts to expand the horizons of children who like science and

mathematics, the government will promote the provision of information such as familiar

examples that could be useful for women to go into the S&T field or become role models,

an d reinforce the efforts tha t cont ribut e to arousing the interest of girls.


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(vi) Promoting the activities of foreign researchers

In S&T activities, there is a need to prepare the conditions to enable many brilliant

human resour ces including world class resear chers regardless of nat ionality to gather andbe active in the r esearch community of J apan .

In order t o promote the appointment or r ecruitm ent of talented foreign researchers in

un iversities and public research inst itutions, the government will support t he building of

organizational preparations of acceptance that take into account the living conditions such

as secur ing of housing an d childrens educat ion, as well as th e resear ch environm ent .

Universities an d public research institu tions tha t are aiming to become global research a nd

education centers are expected to formulate an action plan for promoting the activities of

foreign researchers, and the government will grasp and disclose the status of their

activities.

Furthermore, in order to facilitate the acceptance of foreign researchers, the reviews

and improved administration required on the role of immigration control system and visa

issuance are to be promoted further. The securing of housing for foreign researchers is

expected to be improved by universities and public research institutions working in

part nersh ip with local a uth orities to sponsor foreign researchers.

On the other hand, to help talented international students to establish themselves in

Japan, the government will carry out improved administration to enable international

students who have acquired a doctorate in Japan to apply smoothly to a foreign

post-doctorate invitation program. Moreover, universities and public research institutions

are expected to prepare the conditions to make it easy for foreign researchers to apply for

positions by ensuring that announcements are published in English and by accepting

applications in English when recruiting r esearchers.

(vii) Ut ilizing the a bilities of ta lented sen ior r esearchers

Holding on to the seniority system and extending the term of employment easily

without ensuring the merit system could deprive young researchers of a chance to be

recru ited and sa p th e vigor of the r esearch scene. On the other h and, it is very importa nt

for the improvement of the standards of S&T in Japan for researchers who have been

recognized as being truly excellent by international standards to continue to work and

achieve results. The government will urge universities to facilitate such researchers in

some way even after their retirement to continue their work by utilizing competitive funds

and external funds. It will also promote activities in which retired researchers can fully

utilize their abilities and knowledge so that they can work extensively for the promotion of

S&T in a non-official capacity.


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(2 Enh ancing the h uma n resource development function in un iversities

(i) Human resource development in universitiesIn order to develop human resources with a broad perspective and a flexible mindset

who are highly creative and can exhibit leadership globally in the creation and utilization

of knowledge, promote the enhancement of the human resource development function in

un iversities, which is pivotal for t ha t endeavor.

At the faculty stage of un iversities, the improvement of libera l art s education as well as the

development of diverse and quality education that ensures the organic partnership of

liberal arts education and specialized education by identifying the characteristics and

attributes of each university is expected.

In so doing, such education is expected that develops a broad perspective and flexible

intellect on a firm foundation such as the establishment of a unique curriculum that

combines major a nd minor subjects of stu dy, and the int roduction of a teaching method tha t

enables students to learn deeply through practice, which emphasizes developing the ability

to research challenges.

Ea ch u niversity is expected t o work on improving its sta ffs ability to educate and

provide research guidance, and actively introduce evaluation on educational activities as

well as on resea rch activities.

(ii) Drastic enh ancement of gradua te educat ion

Quan tita tive improvement s have been made steadily, as indicated by the growth of the

number of gradua te school student s, which m ore th an doubled in t he last ten years by the

improvements that have been ma de by graduat e schools to date. In the futur e, efforts will

be made to drama tically improve the qua lity of gra dua te school education.

Universities are expected to provide an education that cultivates the ability to utilize

and apply professional knowledge including the capacity to deal with interdisciplinary

fields by striving to provide graduate school education that enables students to acquire a

high degree of expertise and a broad perspective, and by developing rudimental education

in relevan t fields in a ddition to acquiring advanced professiona l knowledge.

Universities are expected to work on reforms that focus on enhancing the systematic

development of educational courses, so that they can ensure the management of the

process that leads students to receive degrees by organizing a systematic educational

program that leads to degrees after clarifying the objectives of graduate courses, while

taking the needs of society into consideration. The government will devote itself to the

improvement of graduate school education by providing information on the examples of


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outst anding un dert akings for society, as well as developing on a full scale a compet itive and

intensive support system for the organizational efforts of an appealing graduate school

education.

(iii) Formu lating action p lan on the reform of gradu at e school education

In reforming graduate school education, there is a need for comprehensive efforts that

include th e creation of worlds leading centers of excellence, the esta blishment of gradu ate

school evalua tion, and the improvement of th

japan science and technology basic plan

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