Emi OCHIAI
Scientific Research Aid Division
Research Promotion Bureau
Ministry of Education, Culture, Sports, Science and Technology (MEXT)
Grants-in-Aid for Scientific Research
(KAKENHI)
= Kagaku
Kenkyuhi
Hojyokin
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Content
1. What is “KAKENHI” ?
2. System Reform of KAKENHI
(a) Countermeasures against misuse
(b) Effective and efficient use
(c) Accountability and transparency
3. Hot Issues
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What is “KAKENHI” ? (1)
- Biggest funding program in Japan
KAKENHI in FY2008 amounts to 193.2 billion yen (1.2 billion EURO)
- 5% of overall government expenses related to science and technology
- 40% of overall competitive research funds
- 100,000 new applications
24,000 new proposals selected
(selection ratios of new proposals: 24%)
(FY2007)
- Over 56,000 research projects are supported by KAKENHI.
(FY2007)
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Time-trend of Competitive Research Funds
600
(bn. yen)
2.9 bn. EURO
500
400
Other Ministries
349.0
79.3
77.6
300
255.9
265.6
271.4
282.5
158.0
170.3
176.5
183.0
296.8
70.6
56.5
Grants-in-Aid for Scientific
Research
240.3
200
141.9
JST Basic Research
Program
100
Special Coordination funds for
Promoting S&T
0
Others
1ＥＵＲＯ＝160yen
470.1
106.3
111.7
360.6
358.4
358.4
344.9
326.5
467.2
476.6
107.7
368.9
78.2
34.7
32.4
31.3
40.4
42.7
44.7
46.3
34.3
23.2
36.5
16.1
37.7
12.5
38.6
14.5
2000
2000
2001
2001
2002
2002
2003
2003
2004
2004
1.2 bn.
EURO
188.0
189.5
191.3
2.3 bn.
EURO
47.6
48.0
48.6
39.5
39.8
36.8
85.8
79.7
92.2
2005
2005
2006
2006
2007
2007
MEXT Total
Grants-in -Aid
77% of total governmental
Competitive Research Funds
40% of total governmental
Competitive Research Funds
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What is “KAKENHI” ? (2)
- KAKENHI covers all research fields including the social
sciences and the humanities.
- KAKENHI supports “curiosity-driven research” (research
based on researcher’s creative ideas) .
- Almost all the researchers in Japan can apply to KAKENHI.
- Peer review (6,000 reviewers)
- Selection and grant disbursement: by MEXT and JSPS
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Position of KAKENHI within government’s
research framework
Mission-oriented research
Priority
research
national projects
Curiosity-driven research
Institutionally
targeted research
Openly recruited
Competitively
funded
research
projects on ministry-
KAKENHI
endorsed topics
Projects using
Scientistinitiated
research
university’s basic
research funds
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Categories for KAKENHI (FY2008)
Various grant categories are provided based on the objective and nature of the research.
Promotion of internationally apprised research
: recruitment and
selection by JSPS
Grant-in-Aid for Specially
Promoted Research
Scale of research cost /
development of research
Scientific Research
on Innovative Areas
Grant-in-Aid for Young
Scientists (S)
Grant-in-Aid for Young
Scientists (A),(B)
Grant-in-Aid for Young
Scientists (Start-up)
Grant-in-Aid for JSPS
Fellows
Self-reliance support for young researchers
Grant-in-Aid for Scientific
Research (S)
Grant-in-Aid for
Creative Scientific
Research
(no new applications
are being accepted)
Grant-in-Aid for
Scientific Research
on Priority Areas
(no new applications
are being accepted)
Grant-in-Aid for Scientific
Research (A),(B)or(C)
Grant-in-Aid for
Exploratory Research
Grant-in-Aid for
Special Purpose
Formation of new areas, challenging research
Securing diversity of research activities based on curiosity of researchers
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Content
1. What is “KAKENHI” ?
2. System Reform of KAKENHI
(a) Countermeasures against misuse
(b) Effective and efficient use
(c) Accountability and transparency
3. Hot Issues
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System Reform of KAKENHI
- Is it a good policy to
increase basic science
budget?
- Can researchers manage
public money?
- What kind of “outcome”
will you have?
- Increasing budget
- cases of misuse
System reform of
KAKENHI
(a) Countermeasures
against misuse
(b) Effective and
efficient use
(c) Accountability and
transparency
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(a) Countermeasures against misuse
Cause of Misuse
Lack of Organizational
Management
in Institutes
Moral Issue of
Researchers
Inflexibility of
Funding System
Countermeasures
Misuse of research fund
（ex）
・illegal money pooling
・fake travel
・fake personnel cost
Suspension from research funds (2 – 5 years)
- Suspensions from KAKENHI (since 2003)
- Suspensions from all MEXT’s competitive funds (since 2004)
- Suspensions from all governmental competitive funds (since 2006)
○ Penalties for researchers
Strengthening management system of institutes
○ Management system of institutes
- Obliging Institutional Management < for KAKENHI>(since 2004)
- “Guidelines for Management and Auditing of Public Research
Fund at Research Institutes” (2007) <for all MEXT’s Research Fund>
Checking “unreasonable overlap” and “excessive
concentration” through e-Rad system (since 2008)
○ Funding System
Funding System Reform
- Simplifying procedure for “carry over” <KAKENHI>
- Enlarging “Indirect Cost”
<all governmental competitive funds; aiming 30%>
- “Study Group for Efficient Use of Research Fund” for standardizing
rules of research fund (since March 2008)
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(b) Effective and efficient use
- System reform of KAKENHI
<Simplifying procedure for “carry over”>
A research activity cannot be completed within the year for an
un expected reason
- the research period can be extended
- the grant can be carried forward to the next fiscal year
<Changing the breakdown of use>
Breakdown of use of the initially set expenses can be freely changed
to a reasonable extent
(~ FY2007: 30%
FY2008 ~ : under 50%)
- Cross-ministerial approach
“Study Group for Efficient Use of Research Fund”
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Wall of rules for Research Funding
<Cross-ministerial approach>
Wall of rules
Decision making is always falling
Into safety (conservative) side, especially
when there are
- no clear criteria
- less training.
- Rules of concrete procedure of
money use
- Unit prices
etc.
- Regulations
etc.
Phase 0
Sharing up-to-date information of
rules of funding
- Matrix of rules
- FAQ
- positive/negative examples
PhaseⅠ
Improve management system
(sharing good practices)
Phase Ⅱ
Constructive discussion for better
rules of funding among Universities,
Funding Agencies, Ministries
- Standardization, Unification
- Clarifying definitions
etc.
Rules of public money
(Government)
- Laws for national budget
Phase Ⅲ
Revealing core issues
- Test case
- Basic rules for accounting
- Laws for Independent
Administrative Agencies
Rules of use
(Institutional)
Rules of management
(Funding Agency,
Ministries)
- Announcements
- Terms of Conditions
Virtual Barrier
due to
- Misunderstanding of rules
- Lack of communication
“Study Group for Efficient Use of Research Fund”
【since March 2008】
（Universities, Funding Agencies, Ministries)
- Voluntary base -
etc.
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(c) Accountability and transparency
- Open access to research results
<Retrieval of yearly progress reports on the website>
Reports of research progress supported by KAKENHI are
available using on-line search function. (http://seika.nii.ac.jp)
<Welcome to University Lab –Science That Inspires and
Inspirits>
School children visit and experience firsthand a university
laboratory.
The results of research supported by KAKENHI are described
in easy-to-understand language.
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Cross-ministerial R&D management system (e-Rad)
Accountability and Transparency
Cross-ministerial R&D
management system
- For Policy Analysis of
R&D activities
Ministries
CSTP
Project Data
Researcher Data
Institution Data
Funding Agencies
(Council for S&T Policy)
Ｔhe National R&D Database
for public research funds
have been used In January, 2008
For research institutes
- Research management
based on “effort” control
For applicants
- Easy apply via internet
- Easy find grant opportunities
- Checking
“current & pending research
projects”
- Checking
“unreasonable overlap” and
“excessive concentration”
Research Institutes
Researcher
Researcher
Researcher
Researcher
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Content
1. What is “KAKENHI” ?
2. System Reform of KAKENHI
(a) Countermeasures against misuse
(b) Effective and efficient use
(c) Accountability and transparency
3. Hot Issues
16
Hot Issues
- New category for innovating and challenging research
“Scientific Research on Innovative Areas” (FY2008~)
- To support the research which could lead a breakthrough
but uncertain of success
- “Masking” screening (trial)
(reviewers do not have applicant’s name, institute,
past achievement etc.)
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