[Feature: Thinking about Graduate Education] Masayuki Amagai: Escaping the Critical Situation of Japan's University Research Capabilities

The decline in the international competitiveness of Japanese academia is remarkable and shows no signs of stopping. Since the early 1990s, reforms of educational and research institutions, such as the prioritization of graduate schools at national universities and their incorporation, have been implemented one after another. Policies related to the promotion of science and technology in Japan have changed significantly, including the establishment of the Council for Science, Technology and Innovation (CSTI) within the Cabinet Office. While these policies have strengthened Japan's research capabilities compared to the past, the downward trend in international competitiveness is striking and creates a situation one would want to turn away from. This is because we have been completely unable to keep pace with the speed at which university research capabilities are increasing in Europe, the United States, and China. I would like to consider why we have fallen into this situation, whether there are countermeasures, and what Keio University should do.

・Researchers are overwhelmed by many research funding applications

・Administrative procedures for planning and changing research plans are extremely complicated

・Research administrative work takes up more than 20% of a researcher's time

・Research goals are narrow, and only research proposals with clear objectives are selected

・The deterioration of research planning is driving young researchers away from academia

These voices accurately describe the current research environment for us researchers. Who uttered these words, and when? In fact, they were spoken as a "lament" in 1977 by Derek Bok, a lawyer, educator, and the 25th president of Harvard University. These are words from 45 years ago. To improve the research environment, American universities began devising measures 45 years ago, enriching university endowments, expanding donation income, and establishing the "form" of research universities that grow autonomously. The effects began to appear in the 1990s and gradually became prominent. Japanese universities have also taken their own measures, but they remain in a state where no significant effects can be seen. The gap over these 30 years since 1990 has become enormous, creating the current situation. Japan has still not escaped the lament of Mr. Bok even today.

Let's look at the trends in research and development (R&D) expenditures by country from 1981 to 2020, divided into enterprises and universities (Figure 1). The unit on the vertical axis for enterprises is five times that of universities, and the increase or decrease in values in the enterprise sector has a large impact on the total R&D expenditure of the country. R&D expenditure in Japan's enterprise sector was 13.9 trillion yen in 2020, and since 2000, it has been almost flat or on a slight downward trend. In the United States, it has continued to increase significantly since around 2010, reaching 53.9 trillion yen in 2020. Compared to Japan, the upward trends in the U.S., China, and the EU27 countries are remarkable. South Korea is also steadily increasing its R&D expenditures.

Looking at R&D expenditures in the university sector, Japan's was 2.1 trillion yen in 2020. This is a decrease of about 10% compared to 2000, and Japan is the only major country showing a decrease. Looking at the situation in other countries, the U.S. maintains the largest scale among major countries, reaching 8.2 trillion yen in 2020. Germany has been on an upward trend since the late 2000s, surpassing Japan at 2.6 trillion yen in 2020. Similar to the enterprise sector, the upward trends in the U.S., China, and the EU27 countries are remarkable compared to Japan. South Korea also shows a steady upward trend.

R&D expenditure is merely one indicator, but the reality is that while other major countries show an upward trend, Japan has been unable to keep up with that trend, and it is decreasing particularly in universities.

The number of graduate school enrollees in Japan is on a long-term downward trend (Figure 2). The number of master's program enrollees peaked in FY2010, and the number of Doctoral Programs enrollees peaked in FY2003, both showing long-term declines with no signs of an upward trend. The number of Doctoral Programs enrollees in FY2021 was 15,000. Looking at the number of doctoral degree recipients by country, the U.S. has the highest at 29,000, followed by China at 66,000 and Germany at 26,000. Japan's figure is 15,000, the same as the number of enrollees. Comparing FY2000 with the latest fiscal year, the numbers in the U.S., China, and South Korea have more than doubled. Japan's long-term downward trend stands out.

Research papers are one output of research activities. When evaluating scientific research capability, there are quantitative and qualitative perspectives. The number of papers is used for the quantitative perspective, and the number of papers frequently cited by other papers (Top 10%, Top 1% adjusted papers) is used for the qualitative perspective. The fractional counting method for the number of papers considers the contribution of each country in international co-authored papers. For example, in the case of a co-authored paper by University A and University B in Japan and University C in the U.S., each institution is weighted by one-third, and Japan is counted as two-thirds of a paper. Top 1% papers are those whose number of citations falls within the top 1% for each year and field (22 fields in Clarivate). Calculations are made by field because citation patterns differ by field. Top 1% adjusted papers refer to the number of papers after extracting Top 1% papers and applying adjustments so that the number becomes 1/100th of the actual number of papers. The number of Top 1% (Top 10%) papers serves as an indicator of how many influential papers are being produced and the contribution to the academic community, and is used in university evaluations.

Figure 3 shows the trends in the number of papers and Top 1% adjusted papers by country over three periods: 1998-2000, 2008-2010, and 2018-2020. Looking at the trends over these three periods, the number of papers from Japan is not decreasing; the number itself is increasing. However, the rate of increase in other major countries far exceeds that of Japan. In 1998-2000, Japan was second after the U.S., but in 2008-2010, it was overtaken by China and fell to third. In 2018-2020, China overtook the U.S. to take first place, while Japan dropped to fifth.

However, in Top 1% adjusted papers, the downward trend is even more remarkable. Japan was 4th in 1998-2000, 7th in 2008-2010, and 10th in 2018-2020. Even in the Top 1% category, China overtook the U.S. to take first place in 2018-2020. Japan is certainly working hard, but it is being left far behind in terms of international competitiveness.

Why has the situation become so critical? As a researcher who has spent over 35 years in the field of research, what I feel is that although researchers exist to do research, "the time available for research is becoming shorter." At universities, the tasks surrounding research that must be organized to conduct research activities have become too large. To conduct research activities correctly, one must make various applications and obtain approvals. Some require only internal institutional approval, while others require ministerial approval. One must deal with a vast amount of paperwork. The time spent in front of a computer hitting a keyboard has become overwhelmingly greater than the time spent at an experimental bench. Researchers themselves are on the verge of being crushed by systems that were originally supposed to be created to protect them. Staff to support research activities are necessary, but their numbers are completely insufficient. How can we regain the natural environment where researchers can do the research they want to do?

Japan was once hailed as a "Science and Technology Nation," but it is now falling behind China and India. The decline in Japan's research capability has been pointed out everywhere. Both the government and the private sector have undertaken and planned various initiatives to regain Japan's original status as a science and technology nation. Currently, the most attention is focused on the selection of Universities for International Research Excellence, which will receive support from a 10-trillion-yen university fund.

Amid the government's difficult fiscal situation, it is hard to increase budgets for universities and researchers. Therefore, the plan is to manage a 10-trillion-yen fund primarily sourced from fiscal investment and loans, and to provide 300 billion yen annually from its 3% investment profit to several schools selected as Universities for International Research Excellence. Preparations have already been underway since FY2020 to establish the university fund within the JST. Starting with 4.5 trillion yen, the goal is to form an investment principal of 10 trillion yen at an early stage. It will be managed safely and efficiently from a long-term perspective, with thorough risk management including diversified investment and strengthening of the governance system. Management began in 2022, and the selection of Universities for International Research Excellence will begin this autumn.

If 300 billion yen in annual investment profit is distributed, and assuming six schools are targeted, each would receive 50 billion yen in support per year. This support would continue for 25 years. Even if ten schools are targeted, it would be 30 billion yen per year. The gap between universities selected as Universities for International Research Excellence and those that are not will widen endlessly.

What is the image of a University for International Research Excellence (Figure 4)? It aims for an ideal university environment that possesses world-class research environments in terms of treatment, research equipment, and support systems, where world-class human resources gather. It will build a world-standard education and research environment that uses English and Japanese as common languages and collaborates daily with top overseas universities. For graduate students in the Ph.D. program, tuition will be waived, living expenses will be provided, and an environment for research to their heart's content will be offered. Furthermore, it will provide a diverse and inclusive environment to create new knowledge and innovation. It aims to be a research university that continues to grow autonomously, creating a virtuous cycle of funds along with a virtuous cycle of human resources and knowledge. It is truly a utopia for researchers.

High standards are required for selection.

(1) Creation of internationally excellent research results (research capability)

(2) Highly feasible and ambitious business and financial strategies (3% annual growth)

(3) Autonomous and responsible governance system (collegial body)

Furthermore, seven quantitative and qualitative criteria for becoming a candidate for support were also established.

Keio University is a private university with a long tradition, possessing its own characteristics and "form" as Keio University. Looking back over the past 10 years, the successive Juku administrations and each faculty/graduate school have collaborated and, through tireless efforts, have been selected for numerous center-forming projects, developing the foundation as a research university from various perspectives.

In the Program for Promoting the Reform of University Research, which has been supported for 10 years since 2013, efforts were made to build cross-disciplinary research fields, develop researcher information databases, and promote international joint research and industry-government-academia collaboration through the introduction of Keio-style URAs (University Research Administrators). In the Top Global University Project, supported for 10 years since 2014, a cluster system for Longevity, Security, and Creativity was introduced. Aiming for the sustainable development of a super-mature society, the proportion of international faculty has been increased through the introduction of Guest Professor (Global) positions, promoting internationalization. In the Open Innovation Platform Program, supported for five years since 2018, the system for managing large-scale joint research with industry was strengthened, and the Office of Innovation and Entrepreneurship was established, building a Keio-style industry-academia collaboration system. Since 2021, the Support for Pioneering Research Initiated by the Next Generation (JST-SPRING) has been adopted, providing living and research expenses to Ph.D. program students and building a mechanism to challenge cross-disciplinary issues across graduate schools. In the Program on Open Innovation Platform for University-Associated Startups and Ecosystem (COI-NEXT), adopted in 2021, the university takes the lead in involving diverse stakeholders such as companies, local governments, and citizens to build autonomous and continuous industry-academia-government co-creation centers. In 2022, an application is being made for the World Premier International Research Center Initiative (WPI). (★)

The basic concept of the Keio University Action Plan announced by President Kohei Itoh in 2021 is "Pursuing the Ideal as Future Leaders and Global Citizens." In nurturing future leaders, it is a major pillar for faculty members to produce internationally excellent results as scholars and to strengthen their contributions to international society. The "form" of the research university that Keio University has aimed for and will aim for in the future overlaps significantly with the future vision of Universities for International Research Excellence (Figure 4).

Several details regarding the selection process have also become clear. In selection, judgment will not be based solely on past achievements and accumulation, but rather on whether there is a vision and commitment to "transform" toward the future image. The first round of applications will begin this autumn, but not all schools will be selected this fiscal year; second and third rounds of applications will be held, with selection occurring in stages. There is sufficient time to prepare for the application.

Within Keio University, various research activities are conducted, and there are many research results that are highly evaluated internationally. It is also possible to formulate highly feasible and ambitious business and financial strategies with social implementation in mind. We are also working to strengthen our system to make the autonomous and responsible governance system even more robust.

On the other hand, fusion research across the boundaries of faculties and graduate schools must be further accelerated. Cross-graduate school programs must also be developed for master's and Ph.D. programs. We must build a system where English correspondence can be handled normally in various departments, including administrative sectors. We must develop an environment where overseas researchers can conduct research and education without feeling barriers. We must strengthen the intellectual property department, select patents for social implementation, and build a system that can utilize intellectual property with a sense of speed. We must build a platform that can store various data generated by research activities and utilize it across faculties and graduate schools. There are many challenges to overcome.

The more challenges there are, the stronger the organization becomes. We must move forward toward the major goal of escaping the critical situation of Japan's university research capabilities. And we possess sufficient power to "go beyond the insurmountable." If faculty, staff, Keio students, Keio University alumni, and everyone involved with Keio University unite and deepen the bonds of the Keio Gijuku Shachu to address this, nothing is impossible. It is a natural progression for Keio University to aim for the status of a University for International Research Excellence.

★ After publication in this magazine, Keio was selected as a WPI center for FY2022, the first for a private university.

https://www.keio.ac.jp/en/news/20221013-1

*Affiliations and titles are as of the time of publication.