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

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

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

4. 4 “Waseda Next125 “ Build a system to promote strategic for whole university ・ Human resource development and activation of research ・ Establishment of independent and sustainable research hub and platform through internal and external research funding ・ Establishment of research promotion system (for Priority Research Fields) ・ Support the research promotion Research Council Waseda Research Breakthrough Independence of Learning Practical Utilization of Knowledge Research Strategy Formulation University Research Initiatives

5. 5 ◆ Basic Concept of URI ① Based on WASEDA Next125 ② Extends “Strength” and changes “Weakness” to “Strength” ③ Activates research and develop human resources. ④ Independence and Sustainability with Acquiring of External Funds ⑤ Appeal of Research Results ◆ Objective of URI ① Research with International Competitiveness ② Independent and Sustainable Research Hub and Platform ◆ Research Promotion System Project Research Institutes for at least 5 years ◆ Financial Support Support of 3-year-long financial support from university Basic Concept of University Research Initiatives (URI)

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

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

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

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

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

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

12. 12 事前評価 採択 FY2010FY2011FY2012FY2013FY2014After FY2015 Period of URI Project Research Institute (5 years) Evaluation Support Period (3 years) External Fund Progress and Evaluation of Research （１） Waseda Evaluation Start Extension

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

14. 14 (1)Strategy formulation including distinct objectives is most important even if the basic or curiosity-driven research in the university. (2) Ex-ante evaluation including the scenario and roadmap is also very important. (3) Encouragement for the direction of the various collaboration and innovation is extremely important. (4) Evaluation should be performed for the evolution of the research program and projects. Evaluation for Encouragement and Evolution to Innovation

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

16. 16 Young Researchers Map in Waseda University

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

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