Title:  NSF/Tokyo Report:   The 1997 Monbusho White Paper
Date: 1/14/98
Replaces: None

The National Science Foundation's offices in Tokyo and in Paris periodically
report on developments abroad that are related to the Foundation's mission.
These documents present facts for the use of NSF program managers and policy
makers; they are not statements of NSF policy.

The 1997 Monbusho White Paper

Introduction

The Ministry of Education, Science, Sports and Culture (Monbusho) published on
December 5, 1997, the "1997 Report on Japanese Government Policies in
Education, Science, Sports and Culture" or the so-called "White Paper on
Education Policies, 1997" with a subtitle "Scientific Research for the
Future."   This White Paper, 608 pages in total length, including a large
number of photographs, charts, graphs and statistical tables, is available
only in Japanese at this time.  Monbusho is said to be in the process of
translating the entire report into English for publication, hopefully, by
sometime in April, 1998.

Highlighted in this year's White Paper are the "scientific research
activities" in national universities, as described in detail in Part 1:
"Scientific Research for the Future," whereas Part 2 touches upon Monbusho
policies for education, sports and culture.

Provided below is an unofficial English summary translation prepared by
NSF/Tokyo of the "Part 1: Scientific Research for the Future" -- the part of
direct interest to NSF.


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            Table of Contents
            PART I:  SCIENTIFIC RESEARCH FOR THE FUTURE
Chapter 1:  Basic Philosophy for the Promotion of Science
Chapter 2:  Basic Policies for the Promotion of Science
Chapter 3: Development of New Systems for the Promotion of Science
Chapter 4: Trends in Scientific Research
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PART I:  SCIENTIFIC RESEARCH FOR THE FUTURE

Chapter 1:  Basic Philosophy for the Promotion of Science

Section 1:  Significance and Roles of Scientific Research

Scientific research is a highly sophisticated intellectual process, inspired
by the very basic human nature to seek after truth.   The role played by the
results of scientific research activities in sustaining and enriching the
quality of human life and in providing a sound base for development in all
sectors of society makes the promotion of these activities of paramount
importance.  Scientific research activities are "public assets" and they ought
to be supported by public funds; a notion well recognized in many OECD
countries.

Scientific research provides the key for Japan to establish herself as an
innovative advanced S&T nation.   For many years after the War, Japan had to
import numerous fundamental and original technologies from the United States
and other industrialized countries to "catch up" with them in S&T.   However,
now that Japan has "caught up" in many technology areas, it is of utmost
importance for Japan to expand her capabilities for R&D on both basic research
and innovative new technologies.   As universities are expected to play the
key role in basic research,  it is important for the government to take all
possible measures to support universities for this purpose.  Support for
research is an investment for the future.

The Basic Plan for S&T:

The Japanese government is implementing the "Basic Plan for Science and
Technology" for the next five years from Japan Fiscal Year (JFY) 1996 - JFY
2000, based on a 10-year projection through JFY 2005.  In compliance with the
Basic S&T Plan, as well as in line with the recommendations hitherto received
from Monbusho's Science Council, a variety of policy measures are being taken
by Monbusho to "upgrade" the nation's infrastructure for scientific research.
For example in JFY 1996, the first fiscal year after the promulgation of the
Basic S&T Plan, steps were taken for: i) the expansion of subsidies for
grants-in-aid for scientific research, ii) establishment of a new research
funding system called the "Research for the Future (RFTF),"  iii)  improvement
of the research environment by upgrading research equipment and research
support systems, iv) establishment of new Centers-of-Excellence,  v)
establishment of a new grant category (New Program) for creative basic
research, vi) ! expansion of postdoctoral fellowships to increase the total
number of postdoctoral fellows to 10,000 by JFY 2000,  vii) improvement of
infrastructure for science information services, viii) promotion of high
priority basic research in space science and other big science areas, ix)
establishment of "high tech research centers" in private universities,  x)
promotion of university-industry cooperation, and xi) promotion of
international scientific exchanges.  Also, in JFY 1997, arrangements have been
made to further increase subsidies for grants-in-aid for scientific research,
the capital investment to the Japan Society for the Promotion of Science
(JSPS) for the RFTF program, and for the 10,000 postdoctoral fellows program.

Section 2: Scientific Research to Sustain Japan as an Innovative
       S&T-based Nation

Scientific research requires systematization of knowledge, and universities
have always served as the center of this process, thereby providing the basis
for the development of human culture and civilization.  Japanese universities
have been playing the role of the primary performer of scientific research and
education with a full range of academic freedom.

In terms of the R&D expenditures spent during JFY 1995, universities accounted
for 53.0% of all the funds expended in basic research, 37.6% in applied
research, and 9.3% in developmental research.  For comparison, private
companies accounted for 6.6% of all the funds expended in basic research in
Japan, 22.0% in applied research and 71.3% in development.  This suggests that
universities are the main players of basic research in Japan.   Moreover,
basic research in universities is integrated, when appropriate, with applied
research and development, so that findings from basic research can also be
utilized in the education and training of students.

Whereas the importance of basic research has been widely recognized at both
national and international levels, the number of areas in which findings from
basic research can be used for practical applications, like in life sciences,
has been on the increase.   Other potential areas of close linkages between
basic research and applied or developmental research include "big sciences"
such as accelerator science and nuclear fusion research, as well as those
other areas like human genome analysis, brain research, cancer and AIDS
research, and environmental sciences; all calling for close collaboration of a
large number of researchers in a variety of research organizations with
expertise not only in natural sciences but also in humanities and social
sciences.  This points to the critical need for Monbusho to develop
well-balanced integrated policy measures for the promotion of scientific
research as a whole.


Chapter 2: Basic Policies for the Promotion of Science

Section 1: Improvement of Infrastructure for Scientific Research

1. Training and Securing of Research Manpower

According to the Annual Survey of R&D in Japan,  as of April 1, 1996, there
were 673,000 researchers in total in Japan.  Of this total, about one-half
(384,000) were those working for private industries, 243,000 were researchers
in universities, and 47,000 are those of other "research institutes."   A
comparison by disciplinary areas shows that about 90% or 588,000 researchers
are those belonging to the natural sciences and engineering.  If limited to
only the humanities and social sciences, more than 90% of all the researchers
are working in universities.

The total number of faculty members of universities and inter-university
research institutes in Japan is about 160,000 (as of 4/1/96).

Monbusho has been working together with the Science and Technology Agency
(STA), the Ministry of International Trade and Industry (MITI) and the
Ministry of Agriculture, Forestry and Fisheries (MAFF) to increase the total
number of postdoctoral fellows in Japan to 10,000 by the year 2,000 (from the
1997 level of 7,926 fellowships including those provided by Monbusho, STA,
MITI and MAFF).   To this end, Monbusho has secured funds for its share under
its JFY 1997 budget to support 5,701 fellows in total (including those under
JSPS postdoctoral fellowships program and the RFTF research associate
fellowships); an increase of 1,145 fellows from the previous year's level.

2. Expansion of research funds:

According to the government's annual R&D survey, the total R&D expenditure
(including those in humanities and social sciences) amounted to 14,408.2
billion yen in JFY 1995.  Of this total, 9,395.9 billion-yen or 65.2% was
spent in private industries, and 2,982.2 billion-yen or 20.7% in universities
and colleges.

According to a summary of the JFY'97 government budget, the overall total of
S&T-related budgets, as allocated under various ministries and agencies,
amounts to 3,002.8 billion yen (about $23 billion at an exchange rate of 130
yen per dollar.)   Of this total, 1,289.0 billion yen or 42.9% is accounted
for by Monbusho's S&T-related budget.

Monbusho's grants-in-aid for scientific research are provided to support a
large number of research projects in all disciplinary areas including
humanities, social sciences and natural sciences, through competitive review
processes of the proposals submitted from individual researchers or groups of
individual researches in universities and other academic research
institutions.   The total JFY 97 Monbusho budget for the grants-in-aid program
is 112.2 billion-yen.


"Research for the Future (RFTF)" Program:

A new farsighted program entitled "Research for the Future (RFTF) " was
launched in 1996 by Monbusho for implementation by JSPS, with funds provided
through "capital investment" by the government.  RFTF is intended to promote
highly creative, future-oriented research that will produce the "intellectual
assets" to form the scientific bases for advancing the development of various
sectors in the years leading up to the 21st century.  The research period of
an RFTF project is set at five years, and the annual funding for each project
is provided within a range of 50 to 300 million yen (US$0.38 million - 2.3
million).  In JFY'97, a total of 204 projects are supported in 26 research
fields (including 87 projects newly approved in JFY'97.)

3.  Improvement of Research Facilities and Equipment:

To cope with the ever-increasing demands for new facilities in national
universities and inter-university research institutes, the following measures
are being taken by Monbusho: i) promotion of the so-called "new campus"
development schemes to upgrade the teaching and research functions of a
university, ii) construction of a large-scale helical test equipment, and a
large-size dome for optical infra-red telescope (in Hawaii),  iii) provision
of research laboratories for concentrated research by researchers in projects
under the RFTF,  iv) development of regional (local)  joint research centers,
and venture-business-laboratories.  As regards research equipment, Monbusho is
making utmost efforts to upgrade the research equipment in universities to
meet the needs for sophisticated, higher precision, and larger-sized
experimental systems.

4.  Information and Other Materials Needed for Scientific Research:

As of March 1997, Monbusho's Science Information Network (SINET) is connected
to 613 institutions in total including 364 universities (89 national
universities, 38 municipal/prefectural universities, and 237 private
universities) and 249 other types of research organizations, with the National
Center for Science Information Systems (NACSIS) serving as the center for the
SINET.

Monbusho has been providing financial support (under the Grants-in-aid for
Scientific Research program) for the various databases developed by university
researchers and academic societies.

In JFY 97, Monbusho also provided financial support for the construction of a
"Biological and Genetic Resources Center" as well as a Center for Biogenetic
Resources Information.

As for improvement of experimental animal facilities, steps have been taken
(since 1971) to upgrade them into centrally-controllable modern animal
facilities.  Also, preparations are underway to establish a new center for the
preservation, supply and development of such genetically manipulated animals
as needed for research in brain sciences as well as in other advanced life
science areas.

Monbusho's Science Council suggested in January 1996 the idea of "university
museums" to exhibit various specimens used in scientific research for studies
by the general public as well as for use in educational programs for their own
students.   In response, Monbusho established in JFY 1996 two "university
museums" including one in the University of Tokyo and the other in Kyoto
University.

Section 2: Functional Enhancement of Research Organizations for Scientific
Research

1. Development of "Centers of Excellence (COE)"

A "Center of Excellence (COE)" is defined as a research center having
excellent capabilities in carrying out highly creative and cutting-edge
scientific research.  COEs can be classified roughly into four types: i) a
relatively large-scale center with well-defined research organizations, ii) a
collection of several loosely-linked research groups, iii) a group of
researchers centering around an excellent research leader, and iv) a group of
researchers sharing a particular research facility or research equipment.   To
help develop COEs, Monbusho has made available special funds for COEs'
research expenditures, facilities, equipment, and postdoctoral fellowships for
both Japanese and foreign researchers in COEs and for hosting international
scientific symposia.

2. Improvement of University Research Organizations and Mobility of
Researchers

In order to keep research organizations in universities always 'active' in
spite of the ever-diversifying and complex research activities, Monbusho has
taken various measures, including:  i) to help universities to re-organize
their traditional 'koza' or chair systems into larger departmental units, ii)
to establish highly flexible research units, iii) to enhance mobility of
researchers by establishing research chairs for visiting researchers or those
to be supported by donations from private industries, iv) to promote joint use
of existing inter-university research institutes and other facilities, and v)
to develop excellent research centers for international research cooperation,
such as the establishment (reorganization) of the High Energy Accelerator
Research Organization (KEK) in Tsukuba for international research cooperation
in particle physics and nuclear physics,  and the construction of a
large-scale optical infra-red astronomical telescope in Hawaii.

Another important policy introduced recently is the system to permit
"fixed-term" employment of researchers for national university faculty
positions.   As authorized by the new "Law Concerning Terms of Employment of
University Faculty Personnel" passed by the National Diet in its 140th Session
of 1997, each individual university may now choose to hire researchers for a
fixed period of time, thereby increasing mobility of researchers.


Section 3: Promotion of International Scientific Exchanges

Already, a variety of channels exist for international scientific exchanges,
including those through international scientific organizations such as ICSU,
UNESCO, OECD, etc., and those through bilateral arrangements for S&T
cooperation (for example, Japan has concluded bilateral agreements with 32
countries).  Another example is the initiation of Monbusho's Summer Program
for Young Foreign Researchers, as agreed to at the Summit Meeting between the
President of the United States and Japanese Prime Minister held in April 1996.
Monbusho is determined to take all possible steps to further promote these
international exchanges.

Other Monbusho-supported programs relevant to international exchanges include
i) JSPS postdoctoral fellowships for foreign scientists, ii) support for
Japanese scientists to attend international scientific meetings held overseas
and for assisting Japanese national universities in hosting international
meetings in Japan, iii) support to Japanese researchers for international
joint research or overseas scientific expeditions with grant support under the
grant category of "international scientific research" in the Grants-in-aid for
Scientific Research System, iv) financial contributions to major foreign
research centers, such as for the large-scale proton-proton collider of CERN
in Europe, and v) JSPS programs for supporting research collaboration with
Asian countries by the so-called "Core University" systems.

In order to further promote international scientific exchanges, additional
policy measures will be required including: i) improvement of various research
infrastructures in Japan to make them comparable in quality to those of other
advanced nations, including the development of new "Centers of Excellence,"
ii) development of a new organization for the promotion of international
exchanges, iii) systematic expansion of housing facilities for foreign
researchers in national universities, and iv) increasing the number of staff
personnel of JSPS to help fulfill its mandate for international scientific
exchanges.


Chapter 3: Development of New Systems for the Promotion of Science

Section 1: Concentrated Support of Priority Research

In order to meet the rapidly changing social needs, Monbusho has identified
certain "big science" programs for concentrated support as priority research,
including those of particle accelerator science, space science, astronomy and
nuclear fusion research.  In addition, Monbusho has various other systems to
provide concentrated support for priority research in selected research areas
including those under the Research for the RFTF program administered by JSPS.

Also, under Monbusho's "grants-in-aid for scientific research" program, there
are certain specific grant categories for providing support of sizable funds,
namely categories for "Specially Promoted Research," "Research in Priority
Areas,"  the so-called "New Program (for Creative Basic Research)," and the
grant category for developing "Centers-of-Excellence."

1.  Promotion of global environmental sciences:

A plan is being developed by Monbusho to create a new research center for
global environmental science.  The new center to be created is expected to
develop a comprehensive problem-oriented research system through the
integration of various research efforts by scientists not only in natural
sciences but also in humanities and social sciences.  More specifically, the
new center will be tasked:  i) to elucidate the interactions between the human
sphere and the global earth system as well as the mechanisms of global
environmental changes, ii) to make predictions of those global environmental
changes triggered by human activities, iii) to look into the question of how
human beings or the human civilization ought to be, in face of all the
problems being caused by mankind to the global environment, iv) to explore
countermeasures for resolving global environmental problems, and v) to study
local and regional environmental problems.

2.  Promotion of information sciences:

Steps are being taken by Monbusho i) to create a new research center for
information sciences, ii) to expand research capabilities of universities and
graduate schools in the area of information sciences, iii) to promote research
for systematizing "information-related" academic studies in universities,
including those pursued in natural science departments as well as those of
humanities and social sciences departments, and iv) to make available priority
research funds to support research in information-related areas.

3.  Promotion of research in humanities and social sciences:

In recent years, basic research, applied research and development are known to
be closely inter-related in certain disciplinary areas, calling for close
collaboration of researchers from a number of different types of research
organizations.  Moreover, the need for interdisciplinary research efforts is
also increasing, calling for closer collaboration of scientists not only in
natural sciences, but also in humanities and social sciences.   Thus, it is
important for the government to make well-balanced integrated policies for the
promotion of scientific research as a whole, by taking into account the
potential of all the disciplinary areas, as well as the interrelationships of
natural sciences, humanities and social sciences.

Section 2: Industry-University Cooperation

In view of the emphasis given in the Basic Plan for S&T, on
industry-university cooperation, an inter-agency liaison committee has been
organized by 12 ministries and agencies of the government, for the purpose of
promoting and coordinating various measures to be taken by different agencies
for increasing industry-university research cooperation.  While various
systems have already been in existence to support various forms of
university-industry cooperation (such as systems for joint research, contract
research, acceptance of industrial researchers for training, acceptance of
donations for scientific activities, and for operating "industry-university
cooperative research centers"), Monbusho has recently added the following new
measures to further promote industry-university cooperation:  i) a system to
permit a university scientist to perform research in the laboratory of his/her
counterpart private company,  ii) a new provision in the Special Law for
Government Employees in ! Teaching Profession, to rectify financial losses in
retirement allowances for those faculty members who are required to take a
leave of absence to engage in a joint research project with a private company,
and iii) a provision to permit faculty members to use off-duty hours to work
for a private company for additional income.   Additional steps are expected
to be taken as further inter-agency consultations are made by the inter-agency
liaison committee.

Section 3:  Improvement in Research Evaluation Systems

Up until now, research evaluation has been carried out for university
researchers roughly in two ways, including i) the peer-reviews of all the
research proposals submitted for support under Monbusho's "grants-in-aid for
scientific research" and ii) the self-evaluation processes carried out by
review panels established in many universities and research institutions.
However, based on the S&T Basic Plan, a new set of guidelines has been
suggested  by the Prime Minister in July 1997 for the evaluation of all the
R&D activities supported by public funds.   At the same time (July 1997)
Monbusho's Science Council released its interim report with suggestions for
evaluation of scientific research in academic institutions, and is currently
in the process of soliciting reactions of those concerned to the interim
report so as to develop the Council's final set of recommendations to the
Minister of Education.

Section 4:  Promotion of Public Understanding on Scientific Research

In pursuing their research activities, researchers are expected to pay due
attention to the potential social implications of the results to be obtained
from their research, and also to provide the public with as much information
as possible about their research findings.  Findings from scientific research
are considered to be the intellectual assets of human beings, which ought to
be utilized for the benefit of many people and be passed to the new
generations of researchers for further exploration and development.  To
achieve such a goal, it is important to provide a variety of opportunities for
the people to learn about science and technology, including, in particular,
programs for teaching science and technologies at schools, as well as programs
for social education for adults.  Specifically, several measures have been
taken by Monbusho to achieve these goals, including i) improvement of the
"course of studies" for elementary and secondary schools to help foster
scientific i! nterests of school children through direct observations of
various natural phenomena and through experiments, ii) improvement of
laboratory facilities and equipment in senior high schools to cope with the
social needs for industrial education, iii) a system to invite outside
researchers and engineers to give lectures at schools on part-time basis, iv)
development of cooperative arrangements between local schools and a number of
S&T oriented museums so as to utilize museum curators to make special
presentations on scientific topics, and v) a system to recruit volunteers from
among  university faculty members to help organize special lecture meetings
and laboratory experiments for young people.   In addition, some of the
national universities and inter-university research institutes hold "open
houses" for people in local communities to visit their laboratories once or
twice a year.

Chapter 4:  Trends in Scientific Research

Japan's Research Levels

The National Center for Science Information Systems (NACSIS) carried out in
1996 a study for international comparison of Japan's scientific research,
based on the data published in 4 major databases of abstracted research
papers.  From this study it was found that in terms of percentage ratios of
those research papers authored by Japanese researchers and abstracted in any
one of the 4 databases increased from 7% in 1978 to 10% in 1993, or from the
4th place in international ranking in 1978 to the 2nd place in 1993 (in all
cases, the United Stated ranked first.)    Another study based on the U.S.
"National Science Indicators on Diskette, 1981-1996" indicated that in terms
of the number of "citations" of papers published in 19 disciplinary areas
during the period from 1981 to 1996, papers authored by American scientists
accounted for about one-half of all the papers cited.  Japan was the 4th in
ranking following the U.S. (1st place), the U.K. (2nd) and Germany (3rd).
Also, a q! uestionnaire survey of about 500 Japanese researchers indicated
that about 32% of the respondents rated Japan's research levels to be on a par
with other advanced Western nations, 30% rated Japan a little higher, and 18%
rated Japan much higher than the other advanced countries.

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List of Contents of: PART II:  EDUCATION POLICIES -- Trends and Development
(Note:  No English summaries are available for this Part.)

Chapter 1:  Promotion of Reforms of Education Chapter 2:  Towards a Life-long
Learning Society Chapter 3:  Improvement of Elementary and Secondary Education
Chapter 4:  Diversification of Higher Education Chapter 5:  Promotion of
Private Schools Chapter 6:  New Development of Social Education Chapter 7:
Promotion of Sports Chapter 8:  Towards a Nation Rich in Cultural Activities
Chapter 9:  Internationalization of Educational, Cultural and Sports
Activities Chapter 10: Information Systems for Education, Science, Culture and
Sports Chapter 11: Development of New Generation Educational Facilities
Chapter 12: Improvement of Disaster-mitigation Measures