1. Evaluation System of Research Initiatives in WASEDA University (2)
AEA Annual Meeting
Nov. 12th, 2015, Chicago Il
Naoto KOBAYASHI,　Kohei MARUYAMA, Mikiko SHIMAOKA 
Center for Research Strategy, Waseda University
; waseda.jp

2. Contents Current Demands to University’s Research
Research Initiatives at Waseda University
New Trend of Research Properties
Improvement of Evaluation System in URI

3. Abstracts
Waseda University started a new research program named “Research Initiative” in The research initiative program is a five-year program aiming at discovery and solutions of societal problems, an increase in international competitiveness and the formation of an autonomous and continuous research organizations in the university. Additionally in 2012 we have formulated a new long-term strategic plan, the “Waseda Vision 150,” and have begun implementing the concrete activities included in the plan. We have been constructing an evaluation system of the program, from ex-ante evaluation, interim evaluation to final evaluation. Nevertheless, research evaluation in humanities, social sciences and interdisciplinary research fields is largely different from that in the science and engineering field. In this session we present a new evaluation program, which mainly reflects the new trial of research evaluation in diverse research fields.

4. Change of population in Japan
Working-age
Population (15-64)
Child Population
(aged under 15)
Elderly Population
(aged 65 and over)

5. National Budget Deficit (ratio to GDP)
Japan
Italy
France
USA UK
Canada
Germany

6. Number of Papers in 5 fields in Physics and Chemistry
China
USA
Germany
Number of Papers
Japan UK
France
Korea

7. Number of Papers Published Internationally Co-authored Papers

8. Interactions between Sectors based on STI
Society
Learning
Usage
Product
Service
STI Basis
Education
Academia
Industry
Knowledge
Service
Knowledge
Technology
R&D
Innovation
Science, R&D
Knowledge
Government
Public Sector
Support
Support
STI Basis
Policy

9. New Strategic Research System in Waseda
Research Congress
Decision of strategic research policy
Operating
concrete plans
Data-based analysis
for planning
Direction
& Actions
Center for
Research
Strategy
Research
Promotion
Division
Analysis & evaluation
Research
Council
WTLO
support
Research
Organizations
support
Strategic thinking
Strategic themes
Science & Engineering
Participating projects
Social Science
Policy and Economics
10 Faculties 9 9

10. Waseda Research Breakthrough
Objectives of University Research Initiatives 　
“Waseda Next 125” (2007) & “Waseda Vision 150 “ (2012 )
Practical Utilization of Knowledge
Independence of Learning
Waseda Research Breakthrough
Build a system to promote strategic for whole university
Research Council
・ Establishment of research promotion system (for Priority Research Fields)
・ Support the research promotion
　研究院は、早稲田大学創立１２５周年を機に本学で取りまとめた「WASEDA NEXT 125」をベースに、全学レベルで組織的かつ戦略的な研究活動を推進する体制を構築することを目指してきました。
　その中で、本学が推進すべき研究テーマおよび分野を策定し、これを重点領域研究として位置付け、重点的に支援しています。この重点領域のテーマ設定にあたっては、学内の様々な研究組織の枠を超えて研究者が結集し、本学の「強み」を活かし、「弱み」を「強み」に変えうる研究ということで、研究戦略センターを中心に、学内の研究者と十分に議論を重ねた結果、８つの研究領域を早稲田大学の重点領域として設定することにいたしました。
University Research Initiatives
・ Human resource development and activation of research
・ Establishment of independent and sustainable research base and platform through internal and external research funding

11. Role of University Research Initiatives
Ideas
Early Stage
Growth
Collaboration
Base & Platform
Research Phase
Aiming at research collaboration and base & platform
Personal Level
Support for the hub & platform with independence, sustainability and competitiveness
Support to young researchers and early stage research
Supporting System
Special A：1year
University Research Initiatives
（Funding for 3 years）
Special A（Young）：2yeras
Special A（Challenge）：2years
　8つの領域は、図の上段に示されている、これまで点在していた研究、「構想もしくは萌芽段階」の研究が、学内の研究組織の既存の枠を超えて結集し、新たな研究領域を創出できるようなテーマ設定をしています。
　これまで、学内には図の中段に示されている「特定課題」という研究者個人を支援する研究助成制度はありますが、重点領域研究は、それらの制度とは一線を画し、研究の連携と拠点化を強力に推進することがポイントとなります。また重点領域研究の推進を通して、人材育成を含む本学の研究の活性化を行い、新たな外部資金の獲得等を通した自立性・持続性のある研究体制の確立を目指します。研究体制の確立の助走資金として、　１つの領域ごとに最大で2000万円の資金を用意し、重点領域として採択されると、3年間の助成を行います。
Special A（Challenge）：2years
Special B:1year
Special B:1year
Special B:1year
Special B:1year
External Funding
Challenge
Basic A
WPI、GCOE
Challenge
Basic A
Young Start
Basic B,C
Young Start
Basic B,C
New Field, Special
YoungA
YoungA

12. Basic Concept of University Research Initiatives (URI)
◆Basic Concept of URI
　①Based on “WASEDA　Next125” and “WASEDA Vision 150”
　②Extends “Strength” and changes “Weakness” to “Strength”
　③Activates research and develops human resources.
　④ Independence and Sustainability with Acquiring of External Funds
　⑤Appeal of Research Results to Society and World
◆Objective of URI
　①Research with international Competitiveness
　② Independent and Sustainable Research Base and Platform
◆Research Promotion System
　Project Research Institutes for at least 5 years
◆Financial Support
　Support of 3-year-long financial support
Typically, 0.2M US$/Research Area/Year

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

14. Research Areas in 2014 for URI: 
Research Areas in 2014 for URI
The development of agriculture, forestry and fishery science based on an integrated model which covers all processes from production to services
1. Sustainable Food Supply, Agriculture, Bioscience Institute
To establish a sustainable food supply system based on a research framework which integrates agriculture, biosciences and social sciences.
New systems for agriculture and the agricultural workforce
The "Healthy Food for a Healthy Life" lifestyle revolution
Systems and governance for agriculture, forestry and fishery

15. Research Areas in 2015 for URI: 
Research Areas in 2015 for URI
Realization of a 21st century type of secure and safe society, and improvement of the quality of life
1. Institute for Medical Regulatory Science .
Creation of a secure and safe society through a birdfs-eye research project with a non-clinical, evaluation-type recycling model of advanced medical equipment at its core.
2. Planning Institute of Medicine Based Town
Research into space planning technology for a Medicine Based Town focused on a super-aging and shrinking society

16. Evaluation of University Research Initiatives
(1) Ex-ante Evaluation
　○Objective: Appropriate research targets with planning along with the objective of URI
　○Index： Originality, Uniqueness for Waseda, Independent and sustainable research system,
Academic and social impact
　○Result： Judgment on the suitability as URI research themes
(2) Mid-term Evaluation
　○Objective: Progress of the research project and management.
Academic and social impact, Diverse human participation and development.
　○Result： Judgment on the continuation and promotion of the research project as URI research themes
(3) Output Evaluation
　○Objective: Achievements of the goals and targets of the research projects.
　○Index： Research outputs, Academic and social impact, Independent and sustainable research system,
Diverse human resource development.
　○Result： Judgment on the usefulness and development of the research projects in the future.
(4) Ex-post Evaluation (Follow-up Evaluation)
○Objective: Significance and the management system of the URI.
○Time： After the end of the URI projects.

17. Progress and Evaluation of Research （1）
FY2009
FY2010
FY2011
FY2012
FY2013
After FY2014
Period of URI Project Research Institute
　　　(5 years)
Start
事前評価採択
Evaluation
Evaluation
Waseda
Evaluation
Extension
Support Period
(3 years)
Extension
External Fund

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

19. Problems in Evaluation
Increase of demands for interdisciplinary program
Difference in research properties (theme, process, output, outcome) in HSS (Humanities and Social Sciences) and ST (Science and Technology)
Difficulties in Research Evaluation for HSS, ST and their mixing.
Interdisciplinary
H.S.S.
S.T.

20. Improvement of Evaluation Method
Basic Evaluation Indices
Ex-ante Evaluation: Appropriate Research Target and Research Planning
Mid-term Evaluation: Proper Research Progress and Expected Outputs
Output Evaluation: Proper Outputs and Future Autonomous Organization
Additional Evaluation Indices (Declaration)
Ex-ante Evaluation: Additional Emphasis on Special Research Issues
Mid-term Evaluation: Outstanding Progress of Special Research Issues Output Evaluation: Outstanding Special Research Outputs and Expected
Academic and Social Impacts

21. Research Areas in 2016 for URI: 
Research Areas in 2016 for URI
Practical Resolution of Environment and Energy Issues for the 21st century
Subjects 1. Innovation and social implementation of technologies and systems for the
21st century environmental and energy issues
Subjects 2. Institutional design, policy, evaluation and social practice for the 21st century environmental and energy issues
ST > HSS
HSS > ST
Two Special Features
Challenge of the 21st century to build a sustainable society while satisfying both economic growth and environmental protection. The pursuit of this direction is defined as the "21st century environmental and energy issues.“
Connection with the social impacts through realization, commercialization or industrialization of research outputs, and through new concepts and planning, institutional design, policy and evaluation method etc.

22. Conclusion
There are many and strong demands to universities to contribute to resolution of societal, economic and technological issues.
In order to meet these demands, universities should promote basic research and practical research in parallel.
The objective and significance of the Research Initiatives is important and we should continue these activities.
The method of evaluation should be flexibly adapted to the properties of research field (HSS, ST and interdisciplinary).
Since research programs are becoming more complicated, extended and comprehensive, evaluation method should be changed along with the research properties.