1. Evaluation of R&D at AIST -for promoting innovation- October 24th, 2012 @ AEA 2012, Minneapolis, MN Chieko KIFUNE, Toru Ikegami, Hitoshi Akimichi, Hidenori Endo and Kanji Ueda (Evaluation Department, National Institute of Advanced Industrial Science and Technology)

2. Introduction 1 The National Institute of Advanced Industrial Science and Technology(AIST) is the largest research organization in the area of industrial S&T in Japan From this viewpoint, I’d like to introduce the evaluation of R&D at AIST. 2 AIST plays the role of mediator between academia and industry, linking basic research with development research, and promotes innovation. In order to reinforce these functions, we have been revising our R&D evaluation methods.

3. AIST Strategy Structure & Evaluation “Solution for the 21st century issues” -promote R&D that leads to “Green & Life Innovation” “Reinforcing functions of an open innovation hub” -effort to connect R&D to innovation directly Basic principle; contribution to social development through advancement of industrial S&T Goals in the 3 rd Medium (Mid) Term (2010-2014) Research Units advance R&D The Mid Term plan, AIST’s research strategy Research Unit Evaluation Introduction 2

4. Research Unit （ classified 3types; RC,RI,RL* ） Check & Recommendation for reorganization Follow-up for evaluation result evidence, paperresult evaluation The Mid Term plan / Goal President of AIST Research Unit Evaluation committee METI reorganization/ allocation of resources report *Research Center, Research Institute, Research Laboratory Evaluation department Framework of evaluation system at AIST 4 proposal

5. AIST has 6 research fields Research field unitRIRCRL Environment and Energy 12 5 7 0 Life Science and Biotechnology 8 4 4 0 Information Technology and Electronics 10 5 5 0 Nanotechnology, Material and Manufacturing 6 3 2 1 Metrology and Measurement Science 3 2 1 0 Geological Survey and Applied Geoscience 3 2 1 0 Total 42 21 20 1 Features of AIST’s R&D 1.multi/inter-disciplinary competence 2.ranging from basic and applied research to product realization 1.Research Unit 5 (2012)

6. AIST has 3 types of Research Unit RI RC specific aim new RC RL formation of new research fields, to meet sudden social needs converge in RI develop to new RC or RI diverge R esearch I nstitute R esearch C enter R esearch L aboratory Termlong termtemporary 3-7 yearstemporary =<3 years require ments continuityto achieve a specific aim, urgency (top-down) flexibility & speed continuous research Research Units advance R&D with autonomy at AIST 1.Research Unit 6

7. Purpose and viewpoint 7 2.Research Unit Evaluation Purpose -Activation and efficient management of Research Units -Contribution to top management of AIST -Accountability to the Japanese Nation Viewpoint -We evaluate each Research Unit from the viewpoint of “Outcome” every 2 years.

8. 8 Input(Potential) Output Direct Outcome Final Outcome Research & Development ・ Innovative Materials ・ Innovative Knowledge ・ Innovative Software ・ Measurement Standards ・ Geological Maps, etc ・ New Products ・ New Processes ・ Knowledge Diffusion, etc ・ Developing New Industries ・ Creating Cultural/ Socioeconomic Values ・ Realization of Safe & Secure Society ・ Human Resources ・ Know-how ・ Knowledge ・ Technology ・ Facilities, ・ Budget etc Propagation 2.Research Unit Evaluation AIST’s Activities Evaluation from the viewpoint of outcome For Industry, etcFor Society Collaboration Tech. Transfer ・ Collaboration with Industry ・ Start-up Venture Business ・ Academic Association ・ Contribution to Policy Making innovation Management -Setting Main Research Themes

9. Reviewer, Element reviewer (external / internal) element ex.in. score weight 1. Research Unit Roadmap -0.1 2. Roadmaps and Outputs for Main Research Themes 0.6- 3. Management to Innovation Promotion 0.10.05 4. Management of Research Unit -0.15 We ask all reviewers to give 3 types* of comments on each evaluation element. *1.positive 2. negative 3. advice for future We have 4-7 external reviewers and 2 internal reviewers. approximate proportion of external reviewer’s backgrounds: - academia 40%, industry 40%, journalism etc. 20% - 2.Research Unit Evaluation 9

10. 10 2.Research Unit Evaluation Human resource, Knowledge, Technology, etc. Direct Outcome Direction to proceed, Strategy for Unit’s advantages 1. Research Unit Roadmap Goal in the Mid Term -Correlation with Input and Unit’s long term policy -Clearness Roadmap -Validness and correlation between Main Research Themes toward the goals Unit’s long term policy Roadmap Progress/ Milestone Input (Potential) Goal in the Mid Term vision of future society aim now

11. 11 2.Research Unit Evaluation 2. Roadmaps and Outputs for Main Research Themes Output quality -Contribution to Outcome -Quality compared to top-level worldwide now Roadmap / Output Roadmap -Advantages of Potential (Benchmark) -Validness and clearness of Milestones toward Outcome Human resource, Knowledge, Technology, etc. Input (Potential) Outcome ex. Sustainable Society Benchmark contribution Top-level worldwide ex. Fuel cell vehicle

12. 12 2.Research Unit Evaluation 3. Management to Innovation Promotion Collaboration with Industry, Academia and Society Contribution to Industry, Academia and Society -Transmission of Information on Research Results -Human Resource Development for Industry or Academia -Supplying Infrastructure to Industry Typical comments : R&D doesn’t link with social needs. Comprehending Industry’s real needs requires much more efforts. management to enhance network connections with Industry, Academia and Society is evaluated.

13. 4. Management of Research Unit 13 2.Research Unit Evaluation Collaboration with other Units in AIST Diffusion of different disciplines Human resource development Acquisition of resources, and efficient use of them promote collaboration with other Unit to diffuse disciplines promote challenging research The evaluation encourages these Managements to create and develop the Potentials *. Human resource, Knowledge, Technology, etc. Potential*

14. example 14 Each R&D advances distractedly. The Unit’s policy is not clear. cccv Collaboration between Theory and Simulation should be reinforced Put together Main Research Themes reconsidering the Unit’s policy Evaluation is reflected in Unit Management cccv Unit’s whole direction v hire Human resource, Knowledge, Technology, etc. Potential Plan to hire a researcher who is specialized in both of them and strengthen collaboration with other unit’s theory group. v v

15. 15 Input(Potential) Output Direct Outcome Final Outcome Research & Development Collaboration Tech. Transfer ・ Innovative Materials Knowledge, Software ・ Measurement Standards ・ Geological Maps, etc Management -Setting Main Research Themes -Creating and developing the Potential ・ New Products, Processes ・ Knowledge Diffusion, etc. ・ Developing New Industries ・ Creating Cultural/ Socioeconomic Values ・ Realization of Safe & Secure Society ・ Human Resources ・ Know-how ・ Knowledge ・ Technology ・ Facilities, ・ Budget etc. Propagation innovation ・ Collaboration with Industry ・ Start-up Venture Business ・ Academic Association ・ Contribution to Policy Making AIST’s Activities 1,2 Comprehending requirements of Outcome Strategy for Unit’s Potential from a vision of future society Each evaluation element is inter-connective. 1,2 1.Research Unit Roadmap 2.Roadmaps and Outputs for Main Research Themes 3.Management to Innovation Promotion 4.Management of Research Unit Summary 1 outcome 4 1 3

16. Summary 2 16 v RI RC RL continuity urgency P D C A cycle seamlessly continues reorganization 2.Check & Recommendation proposes for reorganization to utilize the Potentials effectively cccv RI flexibility &speed v cccv RI 1.Evaluation & Follow up promotes to create and develop the Potentials. 1 2 Potential

17. conclusion 17 This contributes to innovation. Viewpoint : Outcome toward innovation -While The Mid Term goal is required to be clear, the Unit’s final goal is not limited, since R&D continues to advance after it’s reorganization. -The evaluation continues seamlessly. Subjects: Roadmaps, Output, and Management -The evaluation could be a opportunity for the Research Unit to understand the importance and requirements of effective management toward innovation. Features of AIST Research Unit evaluation

18. That’s all Thank you very much 18

19. AIST is one of the biggest public research institutes in Japan METI(M inistry of E conomy, T rade and I ndustry ) subsidy AIST(A dvanced I ndustrial S cience and T echnology ) Research Unit Evaluation [inside] mission: to contribute to the realization of a sustainable society plan / objective A kind of contract in the fixed term (4-5years) (Now is the 3rd 2010-) Result of Research Unit Evaluation is referenced in the Evaluation by METI. autonomous Research Units advance R&D c to each unit Introduction Evaluation [outside] 19

20. 20 Technical targets 2002 2004 2006 2008 2010 2012 2020 年 ApplicationApplication Disease Risk diagnosis Disease Risk diagnosis Technical transfer (joint research) Technical transfer (joint research) Technical development at AIST バイオマーカーの チップ化・アレー化 及びセンサー開発 Analysis of functional networks Of gene/protein expression Analysis of functional networks Of gene/protein expression 低分子医薬 薬剤有効性・リスク診断 センサー搭載 DDS 自律診断・投薬システム センサー搭載 DDS 自律診断・投薬システム 統合生体機能評価デバイ ス Molecule modeling, visualization HT analysis of molecular interaction Molecule modeling, visualization HT analysis of molecular interaction Biomaker Functional improvement （特異性・親和性・低分子化） Characterization 神経分化関連遺伝子アレー Target Ion channel & receptor バイオマーカー ナノセンサー Screening And Identification 神経分化関連因子 細胞増殖関連因子 転写因子 バイオマーカー発現 細胞アレー バイオマーカープロテインチップ イオンチャネル・受容体 人工膜再構成 細胞機能評価 Narrow down Druggable target Diagnosis and prevention of disease Diagnosis and prevention of disease 図１０ 脳神経細胞機能分子を対象とするバイオマーカーに関する研究のロードマップ