Evaluation of Operating Results for National Institute for Materials Science Estimated at the End of the Third Medium to Long-Term Objective Period

Transcription

1 Evaluation of Operating Results for National Institute for Materials Science Estimated at the End of the Third Medium to Long-Term Objective Period August 2015 Minister of Education, Culture, Sports, Science and Technology

2 Form / Estimated Evaluation / Overview of the Evaluation 1. Items related to the evaluation Agency National Institute for Materials Science Evaluation period Estimated evaluation Period for the third medium to long-term objectives of medium to long-term objectives (achievement evaluation of medium to long-term objectives) Medium to long-term objective period Items related to the assessor The Competent Minister Minister of Education, Culture, Sports, Science and Technology, Hirofumi Shimomura Incorporated jurisdiction dept. Research Promotion Bureau Dept. and person in charge Director, Advanced Medical and Radiological Science Division, Masaaki Nishijo Evaluation and Inspection dept. Science and Technology Policy Bureau Dept. and person in charge Planning and Evaluation Division, Takahisa Murakami 3. Items regarding implementation of the evaluation On June 16 and July 7, the members of National Institute for Materials Science Sub-Committee carried out field investigations. At the first meeting of the NIMS Sub-Committee of National Research and Development Agency Council of MEXT on July 8, 2015, we heard opinions and explanations from the chief director and the auditor about the results of the NIMS self-evaluation, and received advice in line with scientific knowledge from the committee, regarding the implementation of evaluation conducted by the competent minister. At the second meeting of the NIMS Sub-Committee of National Research and Development Agency Council of MEXT on July 27, 2015, we heard additional opinions about the results of the NIMS self-evaluation, and received advice in line with scientific knowledge from the committee, regarding the implementation of evaluation conducted by the competent minister. At the second meeting of National Research and Development Agency Council of MEXT on August 21, 2015, we received the advice in line with scientific knowledge from the committee, regarding the implementation of evaluation conducted by the competent minister. 4. Important items and others relating to the evaluation On May 15, 2015, the National Research and Development Agency Council was established to advice the competent minister in line with scientific knowledge regarding the evaluation of the achievements of the National Research and Development Agency of MEXT. And, under the Council, a Sub-Committee (National Institute for Materials Science Sub-Committee) was established to discuss the issues involved in the Agency. 2

3 Form / Estimated evaluation / Overall rating 1. Overall evaluation Rating*1 (S,A,B,C,D) Reasons for rating A: Based on the National Research and Development Agency s aims, businesses, medium to long-term objectives and so on, as a result (Reference: estimated evaluation) of comprehensive consideration based on some circumstances regarding the agency s business achievements, efforts and so on through its activities, the creation of considerable achievements, anticipated creation of achievements in the future and so on toward maximization of research and development under the conditions of appropriate, effective and efficient business management are recognized. Among the itemized ratings, important items are all B or higher grade for efficient operations, improved financial condition and other operational management, and also most of the other items for the maximization of R&D achievement and other operational management are A or higher grade. Therefore the creation of considerable achievements, anticipated creation of achievements in the future and so on toward maximization of research and development under the appropriate, effective and efficient administration of operations are recognized. Hence the Agency is evaluated as grade A, based on the criteria for the evaluation of Incorporated Administrative Agency of MEXT. 2. Evaluation of the whole agency - As a core institute of basic and fundamental research and development for materials science which supports various social subjects, the Agency made remarkable results and continuously implemented such efforts as prioritization of research fields, contribution of practical usage of research results, internationalization, enhancement of development of human resources and enhancement of internal control. - While governmental operational funds are gradually decreasing, it is demanded that the Agency makes further efforts for managing its business operations and acquisition of external funds. It is also demanded that the chief director provides strong leadership to implement business operations effectively and strategically by taking a long view to play a role expected by society during the next period of medium to long-term objectives and plans, with keeping the issues to be solved and/or improved pointed out through past annual evaluations in mind. - As a national research and development agency in charge of research of materials science, the hub function to implement fundamental research to fulfill social needs to be enhanced. Also, enhancement of intellectual foundation, development of human resources, amassment and commoditizing of research infrastructure, as well as enhancement of internal control for efficient management are required. 3. Issues to be solved and /or improved for each subject - It is demanded that the management of research activities develops creative research in order to maximize research and development achievements by orienting itself around how to deliver the value of research achievements to society from the original idea, suggestion and purpose of each researcher. - While self-initiative of researchers should be valued and respected, it is demanded not to excessively expect individual ability of certain researchers and to structure a system to ensure succession and inheritance of techniques in the organization. 4. Other items Main opinions from National Research and Development Agency Council Auditor s special - An appropriate plan and viewpoint for research activities toward the maximization of research and development achievements should be applied to the management during the period of the medium to long-term objectives and plans. The contents of medium to long-term objectives and plans should be reviewed continuously based on changes in the situation, and drastic revision should be considered as needed. - Networks should be structured in collaboration with other university research institutes and through exchanges of human resources to make up the best research team at any time. - In conjunction with efforts to maximize the function as a hub, it is demanded to maintain the ability to share the highly advanced facilities and equipment for broad common use. - The intellectual foundation such as the materials database and creep data are highly strategical resources, and should be enhanced and maintained to contribute to the enhancement of our nation s internationally competent ability, taking the current status of various countries and industrial points of view into account. - Flexible ways to employ women researchers, young researchers and medium-career workers should be considered taking social changes like longer life span into account. - Regarding the Agency s administrative work procedures, there is no material fact violating the Act on General Rules for Incorporated Administrative Agencies and the Act of National 3

4 comments Institute for Materials Science. - In future audits, the auditors will evaluate the Agency s operation as a whole, including collaboration with external organizations, more efficiently by focusing on implementation of risk management and improved governance and in light of new ordinances for reforming the Incorporated Administrative Agency, recent national demands for the Agency, as well as its social responsibility, activities at the pivotal bases and an expanded business scale. *1 S: Based on the National Research and Development Agency s aims, businesses, medium to long-term objectives and so on, as a result of comprehensive consideration based on some circumstances regarding the agency s business achievements, efforts and so on through its activities, especially the creation of considerable achievements, anticipated creation of special achievements in the future and so on toward maximization of research and development under the conditions of appropriate, effective and efficient business management are recognized. A: Based on the National Research and Development Agency s aims, businesses, medium to long-term objectives and so on, as a result of comprehensive consideration based on some circumstances regarding the agency s business achievements, efforts and so on through its activities, the creation of considerable achievements, anticipated creation of achievements in the future and so on toward maximization of research and development under the conditions of appropriate, effective and efficient business management are recognized. B: Based on the National Research and Development Agency s aims, business, medium to long-term objectives and so on, as a result of comprehensive consideration based on some circumstances regarding the agency s business achievement, efforts and so on through its activities,,a certain degree of expectation for the creation of achievement and creation of achievement in the future toward maximizing the achievements of research and development were recognized, and steady business operations have been also recognized. C: Based on the National Research and Development Agency s aims, businesses, medium to long-term objectives and so on, as a result of comprehensive consideration based on some circumstances regarding the agency s business achievements, efforts and so on through its activities, the creation of achievements, further drastic efforts and improvements toward maximization of research and development or the appropriate, effective and efficient administration of the operations are anticipated. D: Based on the National Research and Development Agency s aims, businesses, medium to long-term objectives and so on, as a result of comprehensive consideration based on some circumstances regarding the agency s business achievements, efforts and so on through its activities, special efforts and improvements including a fundamental drastic review, toward maximization of research and development or the appropriate, effective and efficient administration of the operations are required. 4

5 Form / Estimated Evaluation / Ratings Summary Table by Each Item Medium to long-term objectives Evaluation No. of Rema Medium to long-term objectives Evaluation No. of Rema (Medium to long-term plan) of the docume rks (Medium to long-term plan) of the documen rks medium to nt each medium to t each Ratings* long-term item Ratings* long-term item objective. objective period period Estimated rating results during the period Evaluation of the operating Estimated rating results during the period Evaluation of the operating I. Measures to be taken for II. Measures to be taken for achieving the objectives achieving the objectives concerning the improvement of A A A A A - concerning the efficiency of the A A A B B - the service to the nation and the administration of the operations quality of the operations 1. Basic research and 1. Basic policy on research fundamental R&D of materials science technology organization and business operations A A A B B II 1.1 Basic research and fundamental R&D of focused research area Promotion of cross-departmental advanced R&D aimed at a breakthrough toward the creation of new materials and products 1) Advanced shared technology area S S S S S I Basic policy for business operation (1) Enhancement and reinforcement of internal control A A A B B I-2-(1) (2) Third-party evaluation to affect the administration of the operations of A A A B B II-(2) agency 2) Nanoscale material area S S S A A I (3) Effective evaluation of business performance of staff A A A B B II-(3) 5

6 1.1.2 Promotion of R&D of material sophistication in response to social needs 1) Environment, energy and resources (EER) domain A A A S S I (4) Efficiency of the overall operations 1 Streamlining and efficiency of operational expenses A A A B B Promotion of seeds oriented research A A S A A I Proposal and application for publicly offered research 2. Promotion of transmission and utilization of research achievement 2.1 PR and outreach activity A A A A A I-1.3 and information use 1 Promotion of PR and outreach activity S S S S S I Transfer of information on research achievement 2.2 Promotion of use of intellectual properties A A A A A I A A A A A I Streamlining and efficiency of personnel expenses 3 Appropriateness of contract 4 Review of holdings (5) Other efforts relating to the administration of the operations III. Budget (Including personnel expenses)/ income and expenditure plan, and funding plan IV. Limit amount of short-term borrowing V. If the agency has any Unnecessary Property or any property that is expected to be Unnecessary Property, a plan for disposal of such property II-2-(4)- A A A B B II-2-(4)- 2 A A A B B II-2-(4)- 3 A A A B B II-2-(4)- 4 A A A B B II-2-(5) A A A B B III IV A A A B B V 3. Activity as a core institute VI. If the agency intends to transfer or provide as collateral any important property other than the property provided for in the preceding item, a plan therefor; VI 3.1 Shared use of facilities and VII. Purpose of using accumulated S S S S S I-3.1 A A A B B VII equipment profit 3.2 Development and quality A A A B B I-3.2 VIII. Other matters concerning the 6

7 improvement of researchers and engineers administration of the operations specified by ordinance of the competent ministry 3.3 Preparation and enhancement of intellectual infrastructure A S S A A I Construction of global networks and international research bases for materials A A A B B I-3.4 science research 3.5 Construction of industry-academia-agency collaboration for materials S S S A A I-3.5 science research 3.6 Analysis, strategic planning and information transfer for A A A B B I-3.6 materials science research 4. Others 4.1 Cooperation for accident investigation A A A B B I-4.1 * For items that are set to "high" level of importance, a circle shall be marked next to each comment. For items that are set to "high" level of difficulty, each comment shall be underlined. 1. Plans for equipment and facilities A A A B B VIII-1 2. Plans for personnel A A A A A VIII-2 3. Debt burden over the medium to long-term objective period A A A B B VIII-3 4. Use of a reserve fund A A A B B VIII-4 * Evaluations up to 2013 were made based on the basic guideline regarding business results evaluation for Incorporated Administrative Agency under MEXT s jurisdiction (The Evaluation Committee for Incorporated Administrative Agency under MEXT s jurisdiction on March 22, 2002). Also, the evaluations after 2014 are made based on criteria relating to the evaluation for Incorporative Administrative Agency under MEXT s jurisdiction (decided by the Minister of MEXT in June, 2015). The details are as follows. Ratings up to 2013 Ratings after 2014 [Administrative and projects related to research and development (I)] S: Outstanding achievements are fulfilled. (Without providing a cross-cutting objective standard for the agency in advance, S is rated according to the characteristics of the agency's business operations.) A: Achievements are in line with the medium-term plan, or beyond, or are steadily being implemented toward a medium-term objective, or beyond (achievement rate for a medium-term plan should be over 100% in a given.). B: In some ways the plan is not being implemented in line with medium-term plan, however, a medium-term objective may be achieved by means of ideas and efforts (achievement rate for the medium-term plan should be 70% to 100%.) C: The implementation of the plan is behind the medium-term objective, therefore, improvement of business is necessary in order to realize the achievement of the medium-term objective (achievement rate for the medium-term plan in a given is less than 70 %.) F: The Evaluation Committee needs to warn an agency concerning the improvement of its business management and others (Without providing an objective standard in advance, F is rated as a result of judgement that a warning concerning business improvement is necessary.) S: Based on the National Research and Development Agency s aims, businesses, medium to long-term objectives and so on, as a result of comprehensive consideration based on some circumstances regarding the agency s business achievements, efforts and so on through its activities, especially the creation of considerable achievements, anticipated creation of special achievements in the future and so on toward maximization of research and development under the conditions of appropriate, effective and efficient business management are recognized. A: Based on the National Research and Development Agency s aims, businesses, medium to long-term objectives and so on, as a result of comprehensive consideration based on some circumstances regarding the agency s business achievements, efforts and so on through its activities, the creation of considerable achievements, anticipated creation of achievements in the future and so on toward maximization of research and development under the conditions of appropriate, effective and efficient business management are recognized. B: Based on the National Research and Development Agency s aims, business, medium to long-term objectives and so on, as a result of comprehensive consideration based on some circumstances regarding the agency s business achievement, efforts and so on through its activities, a certain degree of expectation for the creation of achievement and creation of achievement in the future toward maximizing the achievements of research and development were recognized, and steady business operations have been also recognized. C: Based on the National Research and Development Agency s aims, businesses, medium to long-term objectives and so on, as a result of comprehensive consideration based on some circumstances regarding the agency s business achievements, efforts and so on through its activities, the creation of achievements, further drastic efforts and improvements toward maximization of research and development or the appropriate, effective and efficient administration of the operations are anticipated. D: Based on the National Research and Development Agency's aims, businesses, medium to long-term objectives and so on, as a result of comprehensive 7

8 consideration based on some circumstances regarding the agency's business achievements, efforts and so on through its activities, special efforts and improvements including a fundamental drastic review, toward "maximization of research and development" or the appropriate, effective and efficient administration of the operations are required. [Other than administrative work and projects regarding research and development (After II)] S: Through the activities of the Agency Managed under Medium-term Objectives, considerable achievements more than the original medium-term objective from a quantitative and qualitative point of view have been recognized (in terms of quantitative index, the achievement rate against the medium-term objective is over 120% and significant achievement has been recognized from a qualitative point of view). A: Through the activities of the Agency Managed under Medium-term Objectives, more achievement than the original medium-term objective has been recognized (in terms of quantitative index, achievement rate against the medium-term objective is over 120%). B: The original medium-term objective has been achieved (in terms of quantitative index, the achievement rate against the medium-term objective is between over 100% and less than 120%). C: Operating performance has been less than the original medium-term objective. As a result, improvement is needed (in terms of quantitative index, the achievement rate is between over 80% and below 100%). D: Operating performance has been below the original medium-term objective. As a result, drastic improvement including abolition of projects is required (in terms of quantitative index, the achievement rate against the medium-term objective is below 80%, or improvement of business management and other necessary measures ordered by the competent ministry are recognized). 8