EVALUATION OF JST RESEARCH PROGRAMMES

Per Carlson
Royal Institute of Technology, Stockholm
10 May 2001


1. Introduction and overview.
This report is based on the visit to Japan 21-27 February 2001, on the written material provided by JST and on personal contacts with Japanese researchers. Overall JST has certainly succeeded in establishing very important new RD programmes for Japan, chaning the older Japanese research support structure.

I have chosen to make comments on the different programmes starting with ERATO. Since many of the suggestions and comments made for ERATO are valid for several of the other programmes, my comments on ERATO are longer. Individual research projects are also commented upon. Finally I make some general remarks on the promotion of science (outreach) and on the European Union RD programmes.
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2. ERATO
Based on the written material and on the two ERATO projects that we visited, it is clear that the programme so far is a success. The success of a project of ERATOfs size depends to a large extent on its leader. JST has chosen project leaders of a very high quality, of entrepreneurial character. The organisation with a project director and a good administrative support is very good. With the ERATO programmes JST has established centres of excellence. The number of women is low and more efforts should be made to increase that. A more global view on the selection of research fields could be achieved with international advice.

The funding level of the ‚d‚q‚`‚s‚n projects, typically some 1.8 GYen in total over the five years, is very adequate and makes it possible to hire enough staff and acquire necessary research instruments. There are, however, two interlined problems with the project length and funding profile. These were quite evident with the two ERATO projects visited. Every new project needs a start-up phase, during which the bulk of new instruments can be acquired and during which a detailed planning of the project as well as hiring of necessary staff can take place. The effective project length therefore can vary from project to project and the effective research time can be as short as three years. It is suggested that for each project a start-up phase is defined in agreement with the project leader. A five year project length should be kept and it should start after the start-up phase.

There could be problems with the funding profile, caused by difficulties to carry over to the next financial year funding that has not been used. This is not an efficient use of the overall project budget. It is suggested that JST makes every effort to facilitate even further, within the JST budget envelope, simple changes of funding profiles.

The international participation in the ERATO programmes does not reach the goal of about 30%. Part of this is very likely language problems, but one reason could be that the programmes are not enough known internationally. The procedure to select research areas was not much discussed during our visit, but it seems to be done without international advice. A good selection of areas is of course very important and may also become more difficult with time. A possible way to improve this situation is to have an international advisory group that participates in the selection of research areas. Members of such a group could help finding international partners. Regular international reviews of individual programmes could also help the internationalising.

The ERATO projects are generally located in special premises outside universities. This certainly has advantages but also makes collaboration with university groups and individuals less frequent. Daily discussions of research projects with colleagues from other fields are often very beneficial for all parties. The project leaders of the future are probably to be found among the young university researchers and an increased contact could therefore be important In the case of ERATO increased university contacts could lead to new or interdisciplinary projects. Also the number of students in the projects could be increased.

Individual ERATO project: NAMBA protonic nano machine
The ERATO funding has allowed dr Namba to acquire instruments and techniques necessary to study structures and functions of basic biomolecular reactions. The research is excellent with results published in Nature and Science. The topic is very timely and in the forefront of todayfs biophysics research. This project as well as the others we have had the possibility to briefly study points to one of the basic problems with ERATO: length and budgeting. This issue is considered above.

Individual ERATO project: KITANO
This project is exceptional in two ways. Firstly it has a strong international part with seven persons at CalTech. Secondly there are four graduate students and five female participants. The leader is a true entrepreneur and was appointed project leader unusually young - ten years below average for ERATO projects. Dr Kitano also commented about the need for a start-up phase and larger flexibility for the funding profile, considered in section 2.2 above. In his case with two clearly different parts it turned out that the start-up phase for the robotics part was about half a year whereas for the biology part it was much longer, 1.5-2 years! There are large possibilities for spin-off companies. There is a need for better TT (Technology Transfer) support from JST.
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3. CREST
The CREST programme, by far the largest of the programmes, is competitive and based on submitted proposals, which is very good. With CREST excellent research groups have been established, mainly at universities. Funding level and duration is good. One slight worry is that since the start in 1995 the number of applications has steadily decreased from about 1400 to about 600 in 2000. One reason for this is probably that the success rate is quite small, about 40 contracts are given each year. However 7% is not a bad rate for such a good support (about 100 MY per year) but it is nevertheless suggested that JST watches this carefully and encourages researchers to apply. A very important part is the selection of research areas in a strategic sector. Here international collaboration could be very beneficial, both in finding areas and making international collaborations possible. It is proposed that the selection of research areas is made with independent advice from an international advisory group.

Both the national review and comments from individual researchers point to a problem with the selection process. The selection process would gain from being more transparent for proposers.

The arguments above for the ERATO projects concerning funding profile and the need for a start-up phase are also valid for CREST. It is suggested that for each project a start-up phase is defined in agreement with the project leader. The five year project length should start after the start-up phase. It is suggested that JST makes every effort to facilitate even further, within the JST budget envelope, simple changes of funding profiles.

Individual CREST projects: Molecular mechanisms of Ageing
This project that may make it possible to study the mechanisms of ageing on the molecular level, showed how the CREST funding level can open up new fields. Although it is only one of the 52 CREST projects started during the first years it is clear that this competitive programme can break new roads. Also here the limit on time is good, although some flexibility in the start-up would be beneficial.

Individual CREST projects: Microscopic resolution of phase and amplitude
This project is an example of a very good cooperation between industry and university. The 1 MV microscope with a record current density developed at the Hitachi ARL in collaboration with Tokyo university opens new possibilities in e.g. superconductivity.
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4. PRESTO
The PRESTO programme gives a possibility for individual researchers to apply for a three year grant. It is a very prestigious programme that makes it possible for a young university researcher to be independent and not depend on the hierarchical structure in Japanese universities. The programme is well organised with less paper work than for normal university funding. The mentor is important and from the individual projects it is clear that these persons have been well selected. International participation in the selection process may be an advantage for JST.

Similarly to the ERATO and CREST programmes the programme can benefit from an increased flexibility as regards project length since different areas do require different time to achieve results with e.g. different start-up time. It is proposed that JST introduces some more flexibility in project length.

PRESTO individual projects.
The four PRESTO researchers that presented their work at Kyoto were enthusiastic, made very good and interesting presentations, they all seemed excellent. The Waseda researcher made a special point of long procurement time of instrument. His project is also a good example of JST-university collaborative funding.
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5. TOREST and ICORP
The TOREST programme is very new and from the written material it is clear that timely research areas has been selected by JST. It is excellent to have such a programme for the young scholars. I believe that also here greater flexibility in the project length is necessary. The selection of research areas could be made more transparent and would benefit from international advice.

The international collaborative programme ICORP is, based on (rather limited) personal contacts with ICORP projects, a very good way of increasing international contacts.
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6. Promoting the interest for science
In Japan, as is also the case in Europe and US, the interest for science and technology among school children is decreasing. This is very serious since it will have negative long-term effects. There will be fewer of the very best researchers available. The success of future high-tech industries is based on the availability of skilled and trained personnel. Research in quantum physics, which 75 years ago was assumed to be purely curiosity driven research, is today part of technology and will in my opinion be part of everyday life tomorrow.

Already today one sees in many countries that the quality of school science teachers is decreasing which, in turn, in a negative way influences the interest of children. Every effort must be made to change this development and to instead increase the interest for science and technology.

The effort of JST to promote science is therefore most welcome and necessary. Well made Web-based educational sites are becoming more and more important. Indeed, one could ask if not a larger fraction (less than 1% of the JST budget is used 2000 for its promotion programme) of a governmental research budget should be used to secure the more long term future. It is suggested that JST examines the possibilities to increase the promotion of science, perhaps in collaboration with other agencies. International collaboration could be beneficial.
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7. RD programmes in the European Union (EU).
The European Union research and development programmes could be of interest for JST and other Japanese agencies. The EU sixth framework programme for 2003-2007 has large activities in research and technological developments with a budget of the order of USD 150 billion, an increase over the previous period of about 15%. There are thematic programmes and horizontal programmes, all competitive. An example of the latter is a programme for improving the human research potential supporting e.g. networks between EU research groups - to increase mobility between the European countries - and another example is programmes for access to facilities where e.g. the use of unique instruments is supported . It might even be possible for Japan to associate with specific programmes which could increae international contacts with Europe. It is suggested that JST, maybe together with other agencies, studies the EU RD programmes.

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Curriculum vitae for Per Carlson
Name: Per Carlson
Citizenship: Swedish
Date,place of birth: 27 May 1938,Stockholm,Sweden
Present position:
Professor of Elementary particle physics,Royal Institute of Technology (KTH), Stockholm July 1993-
Head of physics department Jan 1997-
Previous positions:
March 1987-June 1993 Professor of Elemenlary particle physics,Manne Siegbahn Institute of physics,Stockholm
Director of institute Oct 1987-June 1993
Jan 1979-Feb1987 Senior physicist,University of Stockholm
Nov 1975-Jan 1979 Staff research physicist,CERN,Geneva
June 1968-Nov 1975 Physicist/lecturer,Physics department,Univresity of Stockholm
May 1965-May 1968 Fellowship CERN,Geneva
Jan 1961-April 1965 Research assistant, Physics dept.Sth univ
Academic degrees:
1969:PhD University of Stockholm,Thesis:High energy hadron proton elastic scattering.
Research abroad:
About 10 years at CERN,Geneva
Assignments:
Member of the Super proton synchrotron experiments committee,CERN,1973-75
Member of the Physics committee of the Swedish Natural Science Research Council 1980-86
Member of the editorial board,Nuclear Instruments and Methods in physics research 1980-93
Member of the editorial board of Physics Scripta 1991-93
Editor and organiser of many international conferences
Elected member of the Royal Swedish Academy of Sciences 1988
Member of the Nobel Committee for Physics 1992
Member of the board of the Swedish Museum of Science and Technology 1993-95
Member of the board of the Svedberg National Laboratory,Uppsala,1994-97
Advisor to the Canadian National Laboratory Triumf 1994
Member of the board of TTA Technology Transfer Ltd 1996-
Expert for the European Commission programmes 1997-
Numerous referee assignments for Nuclear Instruments and Methods,Physics Letters,Physica Scripta
Member of the board of XCounter Ltd Sweden 1997-
Chairman of the Physics class,Royal Swedish Academy of Sciences,1998-
Member of the Nobel Committee for Physics 1997-
Chairman NFR CERN committee 1999-
Member of the Scientific Policy Committee,CERN,2000-
Conferences: Attended about 60 international conferences,Many invited talks.
Publications: About 240 published articles.
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This page updated on August 22, 2001

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