参考資料4
In order to enhance the level of science and technology in Japan and continuously trigger innovation that serves as an engine for future growth, it is necessary to boost the nation's basic research capabilities -the source of such innovation- to a new high level and strengthen their global competitiveness. To this end, Japan needs to create “spots” where world's finest brains meet, superb human resources flourish, and outstanding research results are generated, by building world-top-level research centers in Japan being unconfined by conventional thinking.
From this viewpoint, this program aims to expedite the development of “globally visible research centers” with a superb research level and outstanding research environment that can attract top-level researchers from around the world, by providing concentrated support to the proposals intending to create world-top-level research centers.
Universities
Inter-university research institutes
MEXT affiliated Independent Administrative Institutions (IAIs)
Approximately 5
10 years, with possible 5-year extension for projects with outstanding results.
An interim evaluation will be carried out five years after the grant starts, and projects may be revised or terminated early depending on the results of the evaluation.
Eligible Research Center Projects shall place priority on the human element and shall meet the following requirements. (Each Research Center Project proposal should clearly outline the steps and timetable for filling these requirements):
Each project shall, in principle, focus on an interdisciplinary field of basic research spanning two or more of the following areas, in which world-class researchers are currently active in Japan.
1) Biosciences
2) Chemistry
3) Materials science
4) Electronics and information engineering
5) Precision and mechanical engineering
6) Physics
7) Mathematics
Research objectives that the project will seek to achieve by the end of the grant period (after 10 years) should be clearly articulated in a manner easily comprehensible to lay people, with a view to clearly conveying the focus of the center's research to the public.
A “globally visible research center” typically has a physical concentration (a core) of researchers of a certain scale which boasts high research level. With this view in mind, such a core should be established within the host institution in a manner that meets the following conditions:
a. Each center should assemble 10 or more world-class principal investigators (full professors, associate professors or other researchers of comparable standing), half or more of whom come from within the host institution, at least 10% are foreign researchers invited from abroad, while the remainder are invited from other Japanese institutions.
b. Total staff should number about 100 or more, including young postdoctoral researchers, research support staff, and administrative employees.
c. Foreign researchers, including short-term visiting researchers, should constitute 30% or more of the total number of researchers at all times.
d. At least half of the principal investigators who form the core of the research center should rank among the world's top researchers as measured by the following indicators:
1) Number of article citations
2) International influence; e.g., researcher has been: a) guest speaker, chair, director, or honorary member of a major international academic conference in the researcher's field, b) guest speaker for a prestigious lectureship, c) member of a scholarly academy in a major country, d) recipient of an international award, e) editor of an influential journal
3) Recipient of large-scale competitive funding
With this core structure as a nucleus, it will also be desirable to form organic linkages with other institutions, domestic and foreign, including arrangements for efficient use of facilities and equipment, as by establishing satellite functions, to enhance and supplement the capabilities of the center as a whole.
Maintaining and operating the center as a “world-top-level research center” will require a full-time director who focuses on the center's management at all times -including the recruitment of high-caliber researchers from around the world and the improvement of the center system/environment- together with an administrative staff to support those functions. For this purpose, managers (director, administrative staff) and players (researchers) should be separated in principle, and people with strong managerial skills combined with a good understanding of the research being carried out should be tapped as managers. Given that the center director, as the head of the center's management structure, will be the face the center presents to the public, performing such tasks as publicizing the center's activities to the rest of the world and inviting the world's top researchers to do their research at the center, it is especially important to tap for this full-time position a distinguished researcher in the field who can exercise effective leadership. In addition, the head of administrative staff should be appointed to provide the director with strong administrative and managerial support and to perform the task of maintaining at all times an environment in which researchers can focus on their work.
Further, to enable flexible and swift decision making in the center's management and operations, the management of the center should be of a top-down style, and the director should be given wide range of authorities to rule center operation except for such matters as the selection and dismissal of the center director and the procedural approval of hiring principal investigators.
To ensure that top-caliber researchers from around the world can comfortably devote themselves to their research in a competitive international environment, policies such as the following should be instituted:
Provide an environment in which researchers can devote themselves exclusively to their research, as by exempting their duties other than research or by providing abundant staff functions which can deal with paperwork and other administrative matters.
Provide startup research funding as necessary to ensure that top-caliber researchers invited to the center can continue their research energetically as soon as they transfer to the center without worrying over the need to apply for competitive grants immediately.
Fill at least half of postdoctoral positions through international public solicitation.
Establish English as the primary language for work-related communication, and appoint administrative personnel who can facilitate the use of English in the work process.
Adopt a rigorous system for evaluating research and a system of merit-based compensation (for example, merit-based annual salary; primarily for researchers from outside the host institution; compensation of researchers who were with the host institution prior to establishment of the center will be paid by the host institution in principle.).
Provide equipment and facilities, including laboratory space, etc., appropriate to a world-top-level research center.
Hold international research conferences or symposiums regularly (at least once a year) to bring together the world's leading researchers to the center.
The project proposal should set forth appropriate indicators and methods for evaluating the center's global standing in the relevant field. Those indicators and methods should then be used to evaluate the global ranking of the center at the beginning of the grant period in comparison with other global research centers, and set goals for it to achieve through the project (Examples: “The center aims to rank 5th or higher in the world after Research Institute A, Research Institute B, etc.”; “The goal is to make the center one of the top three centers in the world, alongside Research Institute A and Research Institute B.”)
Note: The quality and utility of the evaluation indicators and methods adopted will be among the points to be considered in the selection review process. In addition, in the interim evaluation and final evaluation of the project, evaluators will assess the degree to which the project has achieved its goals on the basis of those indicators and methods.
To support the center's operations and its research activities, the project should secure resources matching or exceeding the grant aid to be provided under this program, by such means as competitive funding secured by center researchers, in-kind contributions and other forms of cooperation by the host institution (payment of salaries, etc., to researchers originally attached to the host institution, provision of space, etc.), donations from private sectors, and so forth.
In order to make the center a truly “world-top-level research center,” the host institution must clearly define the role of the center in a medium-to-long-term plan of the host institution and provide comprehensive support for the center.
When apply for the grant, the host institution should describe its commitment in concrete terms with respect to the following:
a. Providing the support the center needs in order to secure resources matching or exceeding the program grant to support the center's operations and research activities, through competitive grants secured by the researchers at the center, in-kind contributions and other forms of cooperation by the host institution (payment of salaries, etc., to researchers originally attached to the host institution, provision of space, etc.), donations from private sectors, and so forth.
b. Instituting a system under which the center's director is able to make substantive personnel and budget allocation decisions necessary to implement the Research Center Project, ensuring an adequate degree of autonomy in the center's operations.
c. Supporting the center director and working actively to make the necessary coordination within the host institution when recruiting researchers from within the institution, while giving reasonable regard for the educational and research activities conducted in other departments and divisions within the host institution.
d. Flexibly applying, revising, or supplementing the host institution's internal systems as needed in order for the center to implement new management methods (English-language environment, merit pay, top-down decision making, etc.) unconstrained by the host institution's traditional mode of operation.
e. Accommodating the center in the use of infrastructure (facilities [laboratory space, etc.], equipment, land, etc.).
f. Providing other types of assistance, to the best of the host institution's ability, to support the center in carrying out the Research Center Project and becoming a world-top-level research center in name and deed.
The director of the host institution (university president, director of IAI, etc.) shall compile a Research Center Project proposal together with a plan articulating in specific terms the host institution's commitment as described in 6. above, and submit it jointly under the names of the director and the research group leader.
The research group leader (or “center director” after his/her official appointment) shall be the “chief center-project officer,” with primary responsibility for implementing the Research Center Project, while the director of the host institution shall be the “chief entire-project officer,” with responsibility for the overall project , including the host institution's commitment. (Inasmuch as the grant will be provided in the form of an institutional grant to the host institution, final responsibility will lie with the “chief entire-project officer.”) The Research Center Project proposal should be conceived as a comprehensive long-term initiative covering independent activities by the center, host institution, and partner institutions and efforts undertaken after the grant period is over, not merely those activities supported by the program grant.
In addition, along with the Research Center Project proposal, applicants should draw up a concrete plan detailing those aspects of center operations in the Research Center Project that are deemed eligible for appropriations from the program grant (hereafter referred to as the “Appropriations Plan”).
In the public solicitation of proposals, there shall be no limits on the number of applications from each host institution.
(1) Costs necessary for implementation of the Appropriations Plan shall be provided in the form of a grant from MEXT. Funds equivalent to 30% of the direct-cost component shall be provided to the host institution for indirect costs.
(2) As a rule, grant funds provided under this program may be used only for the categories of expenditures described in the attachments.
(3) For each center, the program grant shall cover costs totaling between 500 million yen and 2 billion yen annually, in principle. (Includes indirect-cost component. Award amounts will vary according to the content of each Research Center Project and the implementation year. Grant amounts for the first year [fiscal 2007] will be based on estimated project expenditures for a period of six months. Grant amounts for subsequent years will be adjusted according to the appropriated program's funding.)
MEXT shall establish a World-Top-Level Research Center Program Committee (hereafter referred to as the Program Committee), made up of experts, including overseas experts, from outside the ministry. The Program Committee shall select awardees through a two-stage process consisting of review of written application materials and interviews with the “chief center-project officer” and the “chief entire-project officer.”
(3) Selection of projects may be accompanied by recommendations for improving the Research Center Project proposal, the Appropriations Plan, and/or the Host Institution's Commitment (hereafter referred to collectively as the “Center Project, etc.”) based on opinions expressed by the Program Committee among others.
(1) Selected host institutions shall revise the Center Project, etc., as necessary on the basis of the recommendations described in 9. (3) above and submit the revised proposal to MEXT. After review, MEXT may recommend further revisions.
(2) The host institution shall establish an evaluation committee consisting of outside experts to evaluate implementation of the Center Project, etc., and shall convene the said committee during the interim evaluation year and the year the project is scheduled to end. The evaluation committee shall conduct a strict evaluation of the project's progress in creating a “globally visible research center,” including the degree to which it has attracted top-caliber researchers from around the world and it has achieved its research objectives, and shall report the results to MEXT. MEXT is going to decide whether to continue or terminate the grant aid taking into account the above-mentioned report and the opinions of the Program Committee.
(3) In addition to (2) above, the host institution shall compile an annual report on the progress of the Center Project, etc., and its use of grant funds and submit it to MEXT.
(4) For each Center Project selected, MEXT shall establish under the Program Committee a working group of experts which shall review the report described in (3) above and conduct site visits to verify the progress of the Center Project, etc. In the event that any aspect of the implementation of the Center Project, etc., including the Host Institution's Commitment, is deemed inadequate relative to the materials submitted pursuant to 10. (1) above, MEXT shall request the chief entire-project officer and/or the chief center-project officer to take necessary measures to improve the situation.
(5) From the standpoint of accountability to the public and the community, a meeting to explain the results of the project to the general public should be held during the same fiscal year that the post-project evaluation is carried out.
(6) In the event that the need should arise for a change in the center director or other important elements (to be specified in a separate document) of the Center Project, etc., the chief center-project officer and the chief entire-project officer shall promptly apply to MEXT for the changes. MEXT will refer the changes to the Program Committee if necessary and approve them after verifying that they meet the selection criteria outlined in 9. above.
In the event of any other changes in the Center Project, etc., the chief center-project officer and chief entire-project officer shall report those changes to MEXT promptly.
(1) Application materials should be submitted using attached application forms. (Formal application materials should be in English, while Japanese-language versions are to be requested in some forms as well.)
(2) Sending application (copies, address)
Send ___ copies to: <address>
(3) To protect the interests of the applicants and comply with the Act on Protection of Personal Information Held by Administrative Organs and other statutes, submitted application materials shall be used as material for review and selection by MEXT (and entrusted agencies) but shall not be used for any other purpose, and confidentiality regarding their content shall be strictly honored. (For details, see http://www.soumu.go.jp/gyoukan/kanri/kenkyuu.htm)
(4) Information contained in portions of the application materials may be provided to administrators of competitive funds, including those administered by other agencies (including independent administrative institutions), to the extent required for the purposes described in 12. (3) below. Information may be likewise provided for the purpose of checking for duplicate funding proposals submitted to other competitive funding programs.
Proper accounting and other financial management practices must be applied in the use of this grant, in conformance with such statutes as the Law for the Fair Execution of Budgets Appropriated for Subsidies and Other Grants and the Order for the Enforcement of the Law for the Fair Execution of Budgets Appropriated for Subsidies and Other Grants.
Accounting for the project shall be clearly separated from other accounts, with the particulars of income and expenditures recorded in an accounting ledger and supported by documentation. These ledgers and supporting documents shall be retained by the awardee for a period of 5 years subsequent to the fiscal year in which the project ends.
When equipment is purchased with grant funds, it shall be managed and maintained with the care of a good manager, and care shall be taken to use it efficiently in keeping with the purpose of the grant, not only for the duration of the subsidized project but after the end of the project as well, on the understanding that the equipment has been purchased with grant funds awarded by the state.
Should it be found that misuse, etc., of grant funds has taken place, MEXT shall demand all or part of refund of the grant and restrict the participation of any researcher involved in the misuse, etc., of funds in the World-Top-Level Research Center Program for a given period of time, as indicated below.
In addition, general information regarding said misuse, etc., of funds may be provided to other offices administering competitive funds, including offices in other agencies, causing said offices to restrict application for or participation in the competitive funds under their jurisdiction.
(1) In the event of misuse, etc., of funds: for 2 years subsequent to the fiscal year in which a refund is demanded, except in the case of (ii) below.
(2) In the event that funds are misused or otherwise and misappropriated for purposes other than the project: for a period of 2 to 5 years subsequent to the fiscal year in which a refund is demanded, as deemed appropriate given the substance and circumstances of misuse.
Note: Concerning actions against misuse of grant funds, be advised that each research institution will be requested to institute a necessary management and audit systems, make a progress report to MEXT, and extend cooperation in the event of on-site inspections on the implementation status, in accordance with the “Guidelines for Management and Audit of Public Research Funds at Research Institutions ( Implementation Standards) ” (MEXT, Feb. 15, 2007).
In the event that a researcher is found guilty of research misconduct (fabrication, falsification, or plagiarism), MEXT shall demand refund of all or part of the grant, and shall restrict the researcher's participation in the World-Top-Level Research Center Program for a given period of time, as indicated below, in keeping with the “Guidelines for Responding to Research Misconduct” (Special Committee on Research Misconduct, Council for Science and Technology, August 8, 2006)
In addition, general information regarding said research misconduct, etc., may be provided to other offices administering competitive funds, including offices in other agencies, causing said offices to restrict application for or participation in the competitive funds under their jurisdiction.
(1) For persons found to be involved in misconduct: 2-10 years, as deemed appropriate given the substance and circumstances of the misconduct.
(2) For persons not found to be involved in misconduct but found to bear some responsibility for the misconduct: 1-3 years, as deemed appropriate given the substance and circumstances of the misconduct.
If restrictions have been imposed on a researcher's eligibility as a result of misuse, etc., of funds or research misconduct, etc., under any other competitive funding program administered by the state or an independent administrative institution,* MEXT shall restrict said researcher's participation in the World-Top-Level Research Center Program for the duration of the eligibility restrictions imposed by the other competitive funding program.
* For a list of current programs, see
http://www8.cao.go.jp/cstp/compefund/06ichiran.pdf
In addition, the foregoing provision will apply to programs that begin soliciting applications in fiscal 2007. In some cases it may also apply to programs that ended in or before fiscal 2006.
In the event that false information is provided in the application materials, or the Center Project is carried out in violation of the relevant statutes, guidelines, etc., the grant award may be withheld or canceled.
MEXT intends to release the names of the applying host institutions and the number of applications per institution at the time applications are received. In regard to each project selected for a grant, it intends to release additional information, including the name of the chief center-project officer, and an abstract of the Research Center Project proposal, etc.
No applicant may seek duplicate funding through this program to cover costs covered now or to be covered in the future by other grants from the state, etc.
In keeping with the “Guidelines for Proper Execution of Competitive Funds” (September 9, 2005), some information from application materials may be provided to other competitive grant programs, including those administered by other agencies, to the extent required to prevent unreasonable duplicate funding, etc. In the event that unreasonable duplication is determined, approval of the project may be rescinded. Approval may also be rescinded in the event that false information is provided in regard to applications for and acceptance of other competitive funding.
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