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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
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Contents Current Demands to University’s Research
Research Initiatives at Waseda University New Trend of Research Properties Improvement of Evaluation System in URI
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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.
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Change of population in Japan
Working-age Population (15-64) Child Population (aged under 15) Elderly Population (aged 65 and over)
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National Budget Deficit (ratio to GDP)
Japan Italy France USA UK Canada Germany
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Number of Papers in 5 fields in Physics and Chemistry
China USA Germany Number of Papers Japan UK France Korea
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Number of Papers Published Internationally Co-authored Papers
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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
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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
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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
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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
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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
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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)
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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
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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 birdfs-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
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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.
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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
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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
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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.
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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
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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.
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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.
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