JSPS A3 Foresight Program
FY2024 CALL FOR PROPOSALS< New Generation Databases and Data-Empowering Technologies >Notes:(1) This “FY2024 Call for Proposals” is an English translation of important points in the official
Japanese announcement. Applicants should observe the accompanying JapaneseApplication Guidelines (https://www.jsps.go.jp/j-foresight/01_boshuyoko.html). If there
should be any differences between the original Call for Proposals in Japanese and its
translation into English, the original Japanese text is valid.
(2) This “FY2024 Call for Proposals” provides the application guidelines on the JSPS side.
Please consult with JSPS’s counterpart organizations about the application guidelines in the
counterpart countries. (Please refer to “17. Information on China and Korea” for NSFC’s and
NRF’s contact information.)

1. Program Objective
The Japan Society for the Promotion of Science (JSPS) carries out the A3 Foresight Program tocreate world-class research hubs within the Asian region, which by advancing world-class research willcontribute to the solution of common regional problems, while fostering new generations of talented
young researchers. With A3 research/education institutions at their core, these hubs carry out highly
effective combinations of joint research activities, scientific meetings (seminars) and researcher
exchanges.
After funding under the A3 Foresight Program ends, the core institutions are expected to continuefunctioning as world-class research hubs within the Asian region.
2. Implementation Method
Based on an agreement among JSPS, National Natural Science Foundation of China (NSFC), andNational Research Foundation of Korea (NRF), the three countries (A3) support this collaborative
program under which their researchers carry out joint activities.
3. Targeted Research Fields
The research area to be covered in this fiscal year is “New Generation Databases andData-Empowering Technologies”.

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4. Eligible Countries
Japan-China-Korea trilateral collaborations

5. Eligibility of Japanese Applicants(1) Japanese universities and research institutions eligible to apply for this program as a core institution
are those specified in Article 2 of the Rules for the Handling of Grants-in-Aid for Scientific Research(Kakenhi), issued by the Ministry of Education, Culture, Sports, Science and Technology (MEXT). To
qualify, institutions or their departments must possess sufficient research funding, equipment/facilities,
and human resources, and be capable of establishing an organizational structure for implementing theoverall research project as a core institution.
Institutions specified as eligible in the Rules for the Handling of Grants-in-Aid for Scientific Research:①

Universities and inter-university research institutes②

MEXT facilities and other institutions engaged in scientific research③

Technical colleges④

Institutions designated by MEXT

(2) Core institutions play a leading role in conducting collaborative research exchanges under thisprogram. Each must have one project principal investigator (PI). S/he must be a full-time researcher ora researcher positioned as full time at the core institution. However, a researcher who is not employedfull-time may qualify as a PI if his/her affiliated institution guarantees the implementation of the project
including the provision of an appropriate research environment (e.g. laboratory, equipment, personnel).
In any case, the PI must be eligible to receive Grants-in-Aid for Scientific Research (Kakenhi). As the
PI plays a vital role in carrying out the project plan, care should be taken not to appoint a person to theposition who might loss his/her PI eligibility, or otherwise be unable to perform the PI’s duties during
the full period of the project’s implementation. In addition to the PI, the core institution must haveparticipating researcher(s) as it is the aim of this program to build sustained collaborative relationships
among the core institutions.

6. Project Period
Start from August 2024 (5 years)<From August 2024 through July 2029>
7.

Project Funding(1) JSPS provides Japanese core institutions with the following funding: Up to ¥10 million per fiscal year
(Total funding: up to ¥50 million over 5 years)2(2) JSPS covers the following expenses of Japanese core institutions:① International travel expenses② Domestic travel expenses③ Cost of goods④ Honorariums/personnel cost** Personnel costs are limited to short-term employment expenses associated with temporary
work. Continuous employment expenses are not covered.
⑤ Others(3) Provision Methods, etc.
① JSPS consigns the administration of projects to the Japanese core institution.
② The provision and use of funds is processed on a single fiscal-year basis.

※Please refer to Appendix 1 “Handling Expenses under JSPS A3 Foresight Program“ for moredetails.

8. Number of Projects Slated to Start in FY 2024
2 projects

9. Application Procedure at JSPS
(1) Application Documents:
Applying institutions submit the below forms to JSPS. JSPS receives applications only frominstitutions (not directly from individuals). The forms should be submitted as electronic data using thefile transfer system “Proself”. JSPS will provide the information on the use of this system to applying
institutions after receiving a request from them by e-mail.
① Application Form A for Project under A3 Foresight Program (Form A: Common among 3 countries)② Application Form B for Project under A3 Foresight Program (Form B: Supplement for Japaneseside)③ Cover Form (“Concerning Submission of Application Forms for A3 Foresight Program FY2024”)(2) Application Deadline:
Monday, 22 January to Wednesday, 21 February 2024 (no later than 17:30)※Please note that applicants’ affiliated institutions may set earlier deadlines.

(3) The PIs on the China and Korea sides are to submit Form A (common form among all 3 countries) to
NSFC and NRF respectively. Please note that all three countries’ applications will be invalidated if thecontent of any country’s Form A is not the same as the others. Though the application deadline is the3same for all 3 countries, the details of the recruitment and implementation methods are set by eachcountry and may differ. Please confirm the details through the PI in each country.
10．Points to Keep in Mind
(1) Counterpart core institutions should be a university or research institute in China and Korea.

(2) This program supports 5-year projects carried out through networks of collaborating organizations
and researchers among core institutions in the A3 countries. Note that each partner country is
required to bear equally the cost of the project. Please refer to Attachment 1 "Handling Expenses
under JSPS A3 Foresight Program" for the cost sharing information.

(3) Please take care to be sure that the content of Form A does not conflict with that of Form B. We willconsider Form A to be correct if there are any conflicts.

(4) Researchers eligible to receive JSPS financial support under this program:① Researchers employed at a university or research institute (In the case of Japan, researchers

eligible to apply for MEXT Grants-in-Aid for Scientific Research.)② Postdoctoral researchers at universities or research institutes③ Researchers enrolled in a postgraduate course, either master’s or doctoral

Researchers only from A3 countries are eligible to participate in this program. (For detailed rules
regarding researchers on the Chinese and Korean sides, please contact NSFC or NRF.)(5) Funding provided under this program is for implementing projects among the A3 countries. It is notfor supporting travel by Japanese researchers to China, Korea or other countries to conduct only
fieldwork or surveys.
(6) Under JSPS’s international programs, researchers who are already representing a project in one of
JSPS’s program categories are not eligible to concurrently represent a project in another category withsome exceptions. (Such researchers are those responsible for implementing an already-selected
project as its research representative, coordinator, chief seminar organizer or person in similarcapacity. However, the heads of institutions and/or departments who represent the implementing
organization are exempted.) For information on the approval of projects overlapping programcategories, see Appendix 2 “Table, Overlapping Program Restrictions.”
Once an application is submitted, the project’s representative may not be changed.

4(7) Japanese principal investigators who are now or have been supported under any of international
programs are required to describe those research activities and their relevance to the proposed
project.

(8) If the applying institution is receiving or is scheduled to receive funding from another funding
program* that is relevant to the proposed project, it must state so and clearly describe the relationshipof that funding to the project. Projects that are already receiving funding from another funding program
will not be supported in duplicated areas.
* Here, a "funding program" is a program for supporting an organization.

(9) Your application form will be printed out in black and white (gray scale) and mailed to reviewers.
Please be careful so that the contents you create can be clearly seen when printed out.

11. Screening Criteria in JSPS Reviews
Applications are screened from the following perspectives:(1) Scientific/academic merit- Degree to which the proposed project is recognized as being leading-edge and unique in the relevant
field.
- Whether there is a clear need and value to implementing the project with the proposed counterpart
institutions.
- Degree to which the collaboration between the core institutions in Japan and the counterpart countries
can be expected to yield results of sufficiently high academic value to contribute to the establishmentof a world-class research hub.
- Degree to which the project will build upon and expand the core institutions’ past international
research activities and accomplishments.

(2) Fostering young researchers- Whether the project includes a program for honing the skills and expertise of young researchers.

(3) Creating an implementation framework on the Japan side
- Plans to build a world-class research hub under the A3 matrix should be strategically placed within thecore institution’s overall education and research program.
- The Japanese core institution should have in place on an institutional level a system for ensuring thecontinual implementation of the proposed project.

5

- The project should be capable of enlisting the participation of an adequate number of researchers inJapan who are qualified to build a world-class research hub. It should also have an effective scheme
for mobilizing cooperation from researchers of different institutions in Japan.
- The Japanese core institution should be capable of continuing their operations as a world-classresearch hub after funding under this program has ended.
- A system should be established for accommodating gender balance in the project or a planestablished for achieving it.

(4) Network building with Chinese and Korean core institutions- The match-up of Japanese and counterpart institutions should hold good promise for sustained
research collaboration.
- A clear-cut framework for implementing the project, such as a signed cooperative agreement, shouldbe established between the core institutions.
- The project should be expected to contribute to the continuous development of collaboration between
the core institutions in the future.

(5) Appropriateness of collaborative research plan
- The project should have a clear vision of how to build a world-class research hub within the Asian
region with A3 research/education institutions at its core.
- Whether the plan is sufficiently concrete to achieve the project objectives and its contents are highlyattainable.
- Whether the research plan is practicable in terms of its fiscal and operational scope.

12. Selection Procedure
JSPS, NSFC and NRF conduct separate reviews of the applications they receive. Based on thesereview results, they make joint selections. The results will be sent to the applying institutions in or after
July 2024.

13. Post-selection funding request to JSPS
Upon selection, JSPS will inform the applying institutions of the implementation procedures and send
them the prescribed forms. Please submit the required documents, including implementation plan andfunding request, to JSPS by the specified deadline.

14. Duty of Core Institutions, etc.
(1) Core institutions are to establish a website and proactively post information about the project bothduring and after the funding period. Though JSPS does not participate in negotiations over rights to6results yielded through the project’s implementation, core institutions are to acknowledge JSPS’s
support by mentioning the “A3 Foresight Program”, when announcing the results.

(2) JSPS’s International Program Committee carries out an interim evaluation of projects at their 3-yearjuncture and also conducts a post-project evaluation. Japanese core institutions should provide all theinformation requested by JSPS to perform these evaluations, including project reports to performthese assessments. The amount of funding for the fiscal years after the interim evaluation will bebased on its results.
15. Measures Against Misuse of Research Funds and Handling of Personal Information, etc.
(1) JSPS will take appropriate measures (e.g. terminate project, require reimbursement of part or all of
allocated funds) in cases of misuse of research funds, improper practices (e.g. fabrication, falsification,
plagiarism), unjustifiable acts (e.g. discrimination, harassment), or violation of laws. Please refer toAppendix 3 “Rules for Responding to Misconduct and Misuse of Funds in Research Activities” formore details.
(2) Researchers participating in research activities under this program are obligated to complete before
the activity starts a research ethics education course so as to prevent research misconduct.
(3) Personal information provided by applicants will be handled according to the “Act on the Protection of
Personal Information” and JSPS’s “Personal Information Protection Policy,” and be used solely for the
purpose of implementing JSPS programs.
The names and affiliations of the PIs, project titles, budgets, implementation periods, annual
implementation reports and the evaluation results may be disclosed on JSPS’s website and in its
publications.
When a member of project is a resident of a country belonging to the European Economic Area
and/or the UK, his/her consent to process personal data in the manner described above should beacquired in line with the Regulation (EU) 2016/679 “General Data Protection Regulation (GDPR)”
and/or the “United Kingdom General Data Protection Regulation (UK GDPR).” For more informationon the GDPR, please go to the website: https://www.ppc.go.jp/en/index.html
16. Others(1) JSPS does not bear responsibility for any accident, sickness or other such incident that may occur
over the period of the project’s implementation.

7

(2) JSPS may discontinue support for a project if carrying it out becomes difficult or impossible due to anatural disaster or other unforeseen circumstances during the implementation period.

(3) As to the ownership of rights for research results obtained under the A3 Foresight Program, they are
to be determined by the core institutions based on pertinent laws and regulations in Japan and thecounterpart countries. JSPS does not intercede in this process. The core institutions are asked todecide in advance the rules pertaining to the ownership of intellectual property rights.

(4) Along with the development of information communication technology (ICT) over recent years,
scientific journals are using the Internet to provide free access to research papers. This “open access”
trend is proliferating rapidly across the globe. Many public grant institutions are either promoting or
requiring open access to the results of research projects they fund. Researchers who author papers
under the A3 Foresight Program are, within the degree possible, asked to proactively give open
access to their published papers.

(5) Ensuring Research Integrity Against New Risks as a Consequence of the Globalization andOpenness of Research Activities
In order to promote the augment of science, technology, and innovation in Japan, we must continue toenhance overseas joint research with various partners based on the principle of open science.
Concurrently, the new risks as a consequence of the globalization and openness of research activities
have been possible to impair the basis of research environment such as openness and transparency,
and to unknowingly involve researchers to take risk of a conflict of interest or a conflict of
responsibilities. In such climate, it is vital for our country to build a globally reliable research
environment to protect the values that constitute the basis of research environment while encouraging
necessary global collaboration and international exchanges.
Therefore, universities and institutions are required to establish regulations/rules and control
management related to the conflict of interest and the conflict of responsibility based on “Policy on
Measures to Ensure Research Integrity Against New Risks as a Consequence of the Globalization
and Openness of Research Activities (April 27, 2021, Decision of Council for Science, Technology andInnovation)." It is significantly essential for researchers and universities/institutions to proactively
ensure the research integrity in each research activity.

(6) Security Trade Control
Research is carried out on various advanced technologies at Japan’s research institutions. Along withinternationalization, the number of foreign students and overseas researchers in increasing at
Japanese universities. This is increasing the risk of advanced technologies and equipment or8materials used in research being leaked out and of them being used in the development andproduction of weapons of mass destruction (WMD). Accordingly, when research institutions conduct
research activities, including those commissioned to them, they should take systematic measures toensure that research results and technologies (etc.) that can be diverted for military purposes are notpassed to persons feared to carry out prohibited activities such as developers of WMD or members ofterrorist groups.
In Japan, export controls (*) are carried out under the Foreign Exchange and Foreign Trade Act (ActNo. 228 of 1949) (hereinafter referred to as “Foreign Exchange Law”). Therefore, in principle, in order
to export (provide) cargo and technology regulated by the Foreign Exchange Law, it is necessary to
first obtain permission of the Minister of Economy, Trade and Industry (METI). Please be sure to follow
the country’s laws, guidelines and directives beginning with the requirements of the Foreign ExchangeAct. If these laws or guidelines are violated in the implementation of research, in addition to legal
measures and penalties imposed, the allocation of project funding may be cancelled or the decision toallocate funding withdrawn.
(*) Japan's Security Export Control System, established on the basis of international agreements,
mainly consists of two components. ① “List rules” which require METI permission in principle
when exporting cargo or providing technology that carry specifications and/or functions higher
than certain levels, such as carbon fiber and numerically controlled machine tool (etc.), and ②“Catch-all regulation” which requires METI permission when exporting cargo or providing
technology that are not subject to regulation under the List rules but do fall under certain
regulatory requirements (application requirements, consumer requirements and/or informed
requirements).
Not only export of cargo but also provision of technology is subject to regulation under the Foreign
Exchange Law. When providing a “List rules” technology to nonresidents or providing it in a foreigncountry, prior permission for such provision is required. ”Provision of technology” includes not only
providing technical information such as design drawings, specifications, manuals, samples, andprototypes via paper, e-mail and storage media such as CD, DVD, USB memory, but also providing
work knowledge through technical instruction and skill training and through technical support provided
in scientific meetings (seminars) etc. Researchers should be aware that there may be cases in which
technologies subject to regulation under the Foreign Exchange Law are involved when mentoring
foreign students and/or conducting joint research activities with oversea groups.
Detailed information on security export control is posted on the METI website.
- Ministry of Economy, Trade and Industry: Security Export Control
https://www.meti.go.jp/policy/anpo/englishpage.html- Center for Information on Security Trade Controls
https://www.cistec.or.jp/english
9(7) Use of Generative AI
Using generative AI when preparing your application risks an unintentional infringement of copyrights
and leakage of personal or confidential information. It is the applicant’s responsibility to consider thisrisk when deciding whether to use generative AI.

17. Information on China and Korea
China: NSFC’s contact information:
Division of Asia, Africa and International Organization (亜非処及国際組織処)
Bureau of International Cooperation (国際合作局)
National Natural Science Foundation of China (NSFC)(Add) 83, Shuangqing-lu, Haidian-qu, Beijing, 100085, CHINA(Tel) +86 (0)10 6232 6998
(Fax) +86 (0)10 6232 7004
Korea: NRF’s contact information:
Global Exchange Program Team
Directorate for International Affairs
National Research Foundation of Korea (NRF)(Add) 25, Heolleung-ro, Seocho-gu, Seoul, 06792, KOREA(Tel) +82 (0)2-3460- 5682
(Fax) +82 (0)2-3460-5679

18. JSPS contact information
Japan Society for the Promotion of Science (JSPS)<Address> 5-3-1 Kojimachi, Chiyoda-ku, Tokyo 102-0083 Japan<E-mail> foresight*jsps.go.jp (Note: Please replace * with @)<TEL> +81 (0)3-3263-1826<URL> https://www.jsps.go.jp/english/e-foresight/index.html

10Appendix 1
Handling Expenses under JSPS A3 Foresight Program

1. Implementation Method
Under the A3 Foresight Program, JSPS entrusts research projects to the Japanese core institutions,and concludes a consignment contract with the institutions.

2. Handling Expenses Incurred in Implementing the A3 Foresight Program
1) Preamble
In implementing this program, the cost burden is mutually shared among JSPS, NSFC and NRF, witheach agency providing equal funds to cover the expense items. (For more information, please see thetables “Cost-sharing with China and Korea” below.)
When expending funds, please be sure to do so within the parameters and rules provided in Section 2),“Use of Funds,” below.

2) Use of Funds
The grant disbursed to the core institutions comprises “networking (research) funds” and a“consignment (administrative) fee.” The amount shown as the “Total funding” in the Call for Proposals
indicates only the amount of the “networking funds.”(1) Networking Funds① Travel costs: This cost is charged to the expense items “International Travel” and “Domestic Travel”

on Form A:
They include international and domestic travel (for research, holding scientific meetings (seminars),collecting documents, meetings to present research and results, etc.).
② Cost of goods: This cost is charged to ”Seminars and Meetings” (as one of their expenses),“Equipment” and “Materials” on Form A:
This includes the cost of purchasing goods and supplies.
③ Honorariums・personnel cost: This cost is charged to “Seminars and Meetings” (as one of theirexpenses) and “Others” on Form A:
This includes remuneration to persons cooperating in the project’s research and scientific meetings(seminars) (compiling materials, assisting in experiments, doing translations/reviews, providing
expertise, distributing/retrieving questionnaires, collecting research documents, etc.)1④ Others: This cost is charged to “Seminars and Meetings” (as one of their expenses) and “Others” onForm A:This includes costs for implementing projects not included in items ① to ③ (ex. printing, copying,
photo developing, communication (stamps, phone), meeting expenses, rental fees (PC, car,experimental equipment, etc.), equipment repair costs, presentation of research results (cost of
posting in journals, creating a website), overseas travel insurance fee).
⑤ Costs for which These Funds May Not be Appliedⅰ. Acquiring real estateⅱ. Maintaining the facilities of the core institutions and their overseas offices (Office rental fees,

water/utility fees, labor costs, etc.)
ⅲ. Purchasing capital equipment and office supplies usually provided by the institutions (Ex. desks,

chairs, copy machine, PCs for administrative use, research equipment, etc.)
ⅳ. Repair costs of equipment/facilities incurred by accidents/disasters during project implementation
ⅴ .Reparation for any accident, sickness or other such incident that occurs during project

implementation
ⅵ . Costs to employ researchers, students and/or administrative staffs (Excluding temporary

employment)
ⅶ. Expenses with no direct relation to the project⑥ Limitation on Research Expenditures

50% or more of the total project funding must be used for “travel.” Regarding lodging, however, if it
is judged to be more economical to contract lodging rather than pay per diem to individual
researcher, the lodging cost may be charged to other expense items. If this will result in the “travel”
expenses falling below 50%, JSPS should be consulted in advance.

(2) Consignment Fee
This is to cover administrative costs incurred in implementing a project. This fee is 10% of the“networking funds” and is allocated separately from them. Please use it strategically and efficiently under
the responsibility of the head of each institution.

(3) Consumption Tax
An amount equivalent to the national and local consumption taxes is included in the “networking funds”
and “consignment fee”.

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3．Basic Rules of Cost-sharing with Counterpart Countries
Under this program, the cost burden is mutually shared among JSPS, NSFC and NRF, with equalamount of funds provided by each agency to cover the expense items. The cost sharing method can bechosen by agreement between the PIs of the three countries from the following two patterns.
(1) Travel and Maintenance
Please choose [Pattern1] or [Pattern2] from the below.
[Pattern 1]
The sending side covers the cost of overseas travel, living expenses (accommodations, meals andmunicipal transportation) and domestic travel in the counterpart country.
[Pattern 2]
The sending side covers the cost of overseas travel to the nearest airport of the destination;
the receiving side covers living expenses (accommodations, meals and municipal transportation)and the domestic travel cost.
(2) Scientific meetings (seminars)- Scientific meetings (seminars) may be held in Japan, China and Korea, not in other countries.
- The cost of holding scientific meetings (seminars) is to be covered by the host country.
(3) Exchange between China and Korea
JSPS does not cover the cost of exchange between Chinese and Korean researchers.

3

Cost-sharing with China and Korea[Pattern 1]
Institution

JSPS

Cost Items
Japan-side researchers

Counterpart
AgencyCost of overseas travel✓

X

Living expenses* and the

✓

X

✓

X

Research grant✓

X

Counterpart-side

Cost of overseas travelX✓

researchers

Living expenses* and the

X

✓

X

✓

X

✓

Cost for holding scientific meetings (seminars) in Japan✓X

Cost for holding scientific meetings (seminars) in

X

✓

X

X

cost of domestic travel in the
counterpart country
Travel expenses withinJapan

cost of domestic travel inJapanTravel expenses in homecountry
Research grantcounterpart country
Research facilities costs at core institution* “Living expenses” covers the cost of accommodations, meals and municipal transportation.

4

[Pattern 2]
Institution

JSPS

Cost Items
Japan-side researchers

Counterpart
AgencyCost of overseas travel✓

X

Living expenses* and the

X

✓

✓

X

Research grant✓

X

Counterpart-side

Cost of overseas travelX✓

researchers

Living expenses* and the

✓

X

X

✓

X

✓

Cost for holding scientific meetings (seminars) in Japan✓X

Cost for holding scientific meetings (seminars) in

X

✓

X

X

cost of domestic travel in the
counterpart country
Travel expenses withinJapan

cost of domestic travel inJapanTravel expenses in homecountry
Research grantcounterpart country
Research equipment costs at core institution* “Living expenses” covers the cost of accommodations, meals and municipal transportation.

5

Appendix 2

Table, Overlapping Program Restrictions
This table shows the overlapping restrictions on the following two categories of applicants.
1. A researcher who applies for a project under Program A as a representative of a new project while
concurrently applying for an international scientific exchange project under Program B.
2. A researcher who already has been working as the representative of a project under Program A while
concurrently applying for an international scientific exchange project under Program B.

①
Bilateral
Programs（JointResearch
Projects/
Seminars）②
Internation
al Joint
Research
Program③
JapaneseGerman
Graduate
Externship④
JSPS Coreto-Core
Program

New
Proposal

New
Proposal

New
Proposal

New
Proposal

New
Proposal

New
Proposal

△

○

○

○

○

Continued

△

○

○

○

○

New
Proposal

○

―

▲

▲

▲

Continued

○

―

×

×

×

New
Proposal

○

▲

―

▲

▲

Continued

○

×

―

×

×

New
Proposal

○

▲

▲

―

▲

Continued

○

×

×

―

×

New
Proposal

○

▲

▲

▲

―

Continued

○

×

×

×

―

Program B⑤
A3
Foresight
Program

Program A①Bilateral Programs（Joint Research Projects/Seminars）②International Joint Research
Program③Japanese-German Graduate
Externship④JSPS Core-to-Core Program⑤A3 Foresight Program○: The researcher may be the representative of two projects in overlapping programs.
△: The researcher may apply for both programs but may not be the representative of two projects inoverlapping programs if they are with the same counterpart country.
▲: The researcher may apply for both programs but may not be the representative of two projects inoverlapping programs. (S/he must choose one of the overlapping programs.)
×: The researcher may not apply for the projects under Program B. Note that an application made in the last
fiscal year of the project duration under Program A is acceptable.
― : In principle, the researcher may apply with one and the same research topic under the same program.
(S/he shall work on a research topic proposed for a project under Program A when selected for a project
under Program A.)

Appendix 3

Only the original Japanese texts of these rules have effect. In the event of any
discrepancy between the Japanese version and the English version, theformer version shall prevail.

Rules for Responding to Misconduct and Misuse of Funds
in Research Activities

Enacted on December 6, 2006 (Rule No. 19 of 2006)
Revised on March 13, 2013 (Rule No. 4 of 2013)
Revised on April 1, 2015 (Rule No. 3 of 2015)
Revised on March 31, 2016 (Rule No. 35 of 2016)
Revised on August 8, 2017 (Rule No. 34 of 2017)
Revised on March 31, 2018 (Rule No. 40 of 2018)
Revised on March 11, 2022 (Rule No. 6 of 2022)

Article 1 (Purpose)
Misconduct in research by researchers and misuse of competitive research funds debases
science and hinders its advancement while shaking people’s trust in science and wasting
precious public funds. Accordingly, the Japan Society for the Promotion of Science (JSPS)
establishes and carries out procedures for responding to improper conduct in research
activities that use research funds and improper use of research funds, and it assuresthat research institutions exercise systematic management and responsibility overresearch funds. While strictly ensuring impartiality in research activities, JSPS takes
responsibility for the proper use of research funding, which have as their source precious
public funds.
JSPS’s operation to carry out this mandate is based on the Guidelines for Responding to
Misconduct in Research (Adopted by MEXT August 26, 2014)(hereafter referred to as“Guidelines on Misconduct in Research”), Guidelines for Supervision and Auditing of
Public Research Funds at Research Institutions (adopted by MEXT February 15, 2007;
revised February 1, 2022)(hereafter referred to as “Guidelines for Supervision and
Auditing”), and the Guidelines on the Proper Implementation of Competitive Funding(agreement by the liaison meeting of related offices and ministries on competitive1

funding, dated September 9, 2005; revised December 17, 2021).
Article 2 (Definitions)
In addition to definitions contained in the Guidelines on Misconduct in Research and the
Guidelines for Supervision and Auditing, the terms “research funds” and “research
misconduct” (specific research misconduct) are defined as follows.
(1) Research funds: All competitive funding, research subsidies and commissioned
funding disbursed by JSPS.
(2) Research misconduct: Violating research ethics when publishing research activities
and research results by distorting their substance or purport in ways that hinder
normal scientific communication. Committing “specific research misconduct”(fabrication, falsification or plagiarism) in submitted research papers, in the data
published in research results, or in survey results when done purposefully or out ofgross negligence of a researcher’s fundamental responsibilities.
(3) Improper use: Either purposefully or out of gross negligence, using research refunds
for unapproved purposes or in ways that otherwise violate the terms under which
the funds are disbursed.
(4) Improper use, etc.: Misuse of funds or receiving the disbursement of research funds
based on falsification or other improper means.
(5) Systematic discharge of management responsibility: Establishment by research
institutions of an effective management system for responding to specific research
misconduct and misuse of research funds.
Article 3 (Subject research activities)
All research activities for which research funding is disbursed.
Article 4 (Subject researchers, etc.)
All researchers and research groups carrying research activities for which researchfunding is received.
Article 5 (Subject research institutions)
Research institutions to which researchers who receive funding belong and research2

institutions that receive research funding.
Article 6 (Receiving complaints)
To file a complaint about specific misconduct or misuse of research funds or to seek
consultation on a matter prior to filing a complaint, the research institution to which theaccused is affiliated should be contacted. (If the accused does not have an affiliatedinstitution, then the specific institution where s/he is chiefly using research facilities.
When the accused has a Research Fellowship for Young Scientists, then the hostinstitution where s/he is chiefly conducting research activities.) If, however, the accused
is not affiliated to any research institution or if special circumstances are judged to exist,
JSPS may receive the complaint from the complainant.
Article 7 (Establishing a window for receiving complaints)
In addition to the provision in Article 6 above, a window is to be established for auditing
complaints and assuring research fairness in the Research Integrity and Auditing Office.
Complaints are filed/received as follows.
(1) Complaints may be filed in by letter, via phone, fax or email, or in person.
(2) When receiving a complaint, the Research Integrity and Auditing Office should do
the following. Ascertain the complainant’s name, affiliation and contact information;
the name of the researcher accused of specific misconduct or misuse of funds; thecircumstances of the violation; the basis and rationality of the complaint; the typeand name of the research grant in question; and whether the complaint was filed inother organizations besides JSPS. It should also be ascertained what thecomplainant desires to keep confidential. S/he should be informed of the rule
regarding false claims stipulated in Article 20.
(3) If the complaint was received by an office other than the Research Integrity and
Auditing Office, that office should contact the Research Integrity and Auditing Officeright away.
(4) Based on the type of research grant included in the complaint, the Research Integrity
and Auditing Office should contact the cognizant research grant section and inform
it of the content of the complaint.
Article 8 (Forwarding complaints)

3

When receiving a complaint regarding a matter of research misconduct for which JSPS
did not disburse the funding, JSPS will refer the matter to the funding agency that
disbursed the funds and inform the complainant of such.
Article 9 (Handling complaints)
The following procedure is followed in handling complaints.
(1) As a rule, JSPS only accepts complaints that clearly state the circumstances of
specific research misconduct, including the researcher(s) who committed specificresearch misconduct or improperly used research funds. Moreover, the content ofspecific research misconduct must have a rational scientific basis and a complaintof improper use of funding must be factually grounded.
(2) As a rule, JSPS only accepts complaints of specific research misconduct when thecomplainant’s name is stated. Depending on the content of the complaint, however,there are cases when an anonymous complainant can be treated as a named
complainant.
(3) When suspicion of specific research misconduct or the improper use of researchfunds is reported by the researcher community including the media and academic
societies, JSPS can handle the complaint if one is made.
(4) With regard to the complaints received by JSPS for which the organization that is
supposed to investigate and verify the veracity of its content (hereafter referred toas “investigation”) cannot not be identified, JSPS is to refer the complaint to theresearch institution corresponding to the investigating organization stipulated inparagraph 1 of Article 11. It is to notify that research institution that a complaint
has been filed and request it to handle the complaint. When it is expected that
another investigating organization is also involved, JSPS is to notify its
corresponding research institution of the complaint.
Article 10 (Projecting the confidentiality of complainant and accused)
1. JSPS is to protect the confidentiality of the complainant and the accused as well as
the content of the complaint and the content of the investigation of the matter up until
the time that an investigation report is publically released.
2. Notwithstanding the above stipulation, if the investigated matter should be leaked,
JSPS may, upon obtaining the consent of the complainant and accused, issue a publicstatement on the matter while the investigation is ongoing. If, however, the complainant4

or the accused is responsible for the leakage, JSPS will not be required to obtain theirconsent.
Article 11 (Investigating complaints)
1. Investigation of the matter contained in the complaint is, as a rule, to be conducted by
the research institution that the accused belongs to, or by the research institution wheres/he was carrying out research activities at the time the matter contained in thecomplaint occurred, or by the research institution where s/he was carrying out the
research activities subject to the complaint (hereafter referred to as “investigatingorganization”).
2. Upon receiving a decision or other report by an investigating organization to conduct
an investigation, JSPS may provide instructions to the organization on how to properly
conduct the investigation and request it to expeditiously clarify the entire matter andcomplete the investigation.
3. If the accused does not belong to a research institution when the investigation starts
nor does the accused any longer belong to the research institution where s/he wascarrying out research at the time the matter contained in the complaint occurred and
JSPS determines that it would be extremely difficult for an investigating organization
to conduct the investigation pursuant to paragraph 1 above, the matter is to be referredto the cognizant research grant section at JSPS for investigation.
4. Pertinent details on conducting an investigation pursuant to the paragraph above areprovided separately.
Article 12 (Taking temporary measures during an investigation)
1. JSPS may takes various measures with regard to the accused while an investigation
is being conducted. They include stopping the disbursement for research funds for the
subject project until an investigation report is received from the investigatingorganization or until the investigation result is determined pursuant to the rule set in
Article 11. 3 above. JSPS may also cancel the disbursement of research funds to a project
for which a decision of grant disbursal has been made or may put on hold decisions to
select or fund other projects for which the accused has applied.
2. The above notwithstanding, if it partially established that the specific misconduct ormisuse of funds has been committed or if the issuing of a report on the investigative
results is postponed due to the accused not bearing his/her responsibility to cooperate,
5

JSPS may put on hold decisions to select or to disburse funding, cancel disbursement, or
require the accused’s affiliated institution to stop implementation of his/her project.
Article 13 (Measures taken against individuals or groups who commit acts of specificmisconduct or misuse of research funds and taken against research organizations thatfail institutionally to exercise management responsibility)
The JSPS President is to immediately take appropriate measures when the following
cases occur.
(1) When the investigation results establish specific research misconduct or improperuse of funds.
(2) When the investigating organization does not submit its final report, for example on
a complaint regarding competitive funding administered by JSPS, within thefollowing prescribed periods.
1) With regard to specific misconduct, by the investigation deadline set pursuant to
the investigating organization’s rules and regulation
2) With regard to the misuse of funds, within 210 days from the date that thecomplaint was received
3) Irrespective of the above stipulations, when an investigation report is delayed fora rational reason recognized by JSPS, a different deadline may be set.
(3) When based on the Guidelines on Misconduct in Research and the Guidelines forSupervision and Auditing, MEXT judges the establishment of a management system
to be inadequate or when MEXT is dissatisfied with the implementation of action
required to improve the system or with the management of such implementation
timelines.
(4) When based on the Guidelines for Supervision and Auditing, MEXT judges there to
be large defects in the establishment of a research institution’s management systemor the misuse of funds to occur due to defects in the management system.
Article 14 (System for considering measures against individuals determined to havecommitted acts of specific research misconduct)
1. If specific misconduct is determined to have occurred in research activities, the JSPS
President is to refer the matter to a committee set up to deliberate the appropriate action
to take with regard to the violation (Deliberative Committee).
2. Based on the determination made by the investigating organization, the Deliberative
6

Committee considers the punitive measures that should be taken against the offending
party and issues a report on its conclusions. Receiving that report, the JSPS President
makes the final decision as to what punitive measures to impose. The offending party’s
explanation will not be heard and an appeal for redress by the offending party will not
be accepted after the punitive measures are decided.
3. The jurisdictional duties and organization of the Deliberative Committee areestablished separately.
Article 15 (Persons subject to punitive measures)
The following persons are subject to punitive measures.
(1) With regard to specific research misconduct:
1) Persons determined to have participated in acts of specific misconduct.
2) Persons not determined to have participated in the specific misconduct directly
but who bear some responsibility as an author of a paper on research identified
to involve specific misconduct and who failed to exercise due care as a person
responsible for the paper’s content.
(2) With regard to the misuse of funds:
1) Researchers who misuse funds and researchers who collude in the misuse offunds.
2) Researchers who by way of fabrication or other means of deception improperly
receive research funding and other researchers who collude in such improperacquisition of funding.
3) Researchers who do not directly participate in the misuse of funding but who use
the funding while neglecting to take the due care of a prudent manager.
Article 16 (Types of punitive measures)
1. Measures taken by the JSPS President pursuant to Article 13.1 include the following.
(1) Cancellation of the decision to disburse the subject research funding or requiring theoffending researcher to return all or part of the funding already disbursed.
(2) Not selecting projects applied for in which the offending researcher is the principle
investigator. Neither selecting projects in which s/he is listed as a co-investigatorunless s/he is excluded from the project.
(3) When research funding has already been disbursed to the offending researcher,requiring him/her return the unspent amount pursuant to the rules of the subject
7

research-funding system.
(4) Not disbursing research funding to the offending researcher for a set period of time.
As a rule, the period of funding stoppage starts from the fiscal year following the year
in which the punitive measures are determined. For specific research misconduct,
see Table 1, for improper use of research funds, see Table 2.
(5) Irrespective of the above stipulation, the periods of funding stoppage under the
program Grants-in-Aid for Scientific Research (KAKENHI) are establishedseparately.
2. Pursuant to the measures taken in Article 13. (2) to (4), the JSPS President may, as
stipulated in the Guidelines on Misconduct in Research and the Guidelines forSupervision and Auditing, reduce the amount of indirect competitive funding or stop its
disbursement.
Article 17 (Specific misconduct and misuse of funding unrelated to the subject researchfunding)
In addition to the penalties subject to these rules, JSPS may stop the disbursement ofresearch funding during the period while a researcher has had his/her application and/or
participation eligibility suspended due to specific misconduct or misuse of funds vis-àvis the following types of funding.
(1) Competitive funding disbursed by government ministries/agencies or independentadministrative agencies(2) Other than the above, funding disbursed from systems subject to the Guidelines on
Misconduct in Research and the Guidelines for Supervision and Auditing.
(3) Basic funding stipulated under the Guidelines on Misconduct in Research.
Article 18 (Notification and reporting of punitive measures)
1. JSPS will notify the complainant, accused and subject research institution along withthe research institution to which the accused is affiliated of the measures taken and theperson(s) subject to them.
2. JSPS will promptly report the measures taken to MEXT.
Article 19 (Public disclosure of measures taken)
As a rule, JSPS is to promptly make public disclosure of the measures decided to be8

taken.
Article 20 (Handling of malicious complaints)
If JSPS judges a complaint to be made with malicious intent, it shall disclose the nameof the complainant and lodge a criminal complaint against him/her.
Article 21 (Relationship between measures and lawsuits)
1. If a lawsuit is filed after punitive measures are taken, unless the court judges thecontent of the action to be inappropriate, the measures will remain enforce. When alawsuit is filed before measures are taken, if the basis for imposing them is seen to berational and objective, they may be put into effect without waiting for the results of thesuit.
2. If the measures are judged via the lawsuit to be inappropriate, part or all of them may
be withdrawn.
3. Pursuant to the above court decision, if the research funding has been returned to
JSPS, based on the state of the research, a determination is to be made whether or not
to re-disburse the funding.
Article 22 (Recording the content of measures taken in open recruitment guidelines)
When specific misconduct and/or misuse of research funds is committed or an
organization fails to take the due care of a prudent manager, the content and scope of
punitive measures taken, including the subject researcher(s), are to be recorded inapplication guidelines for new research funding and in contracts for commissioned
research (including in the document’s annexes) and circulated to researchers andresearch organizations.
Article 23 (Supplementary Provisions)
In addition to what is listed in each of the preceding articles, any other necessary
matters in responding to misconduct and misuse of funds in research activities areprovided for separately.

9

Supplementary Provisions (Rule No. 19 of 2006)
This Rule came into force as of December 6, 2006.
Supplementary Provisions (Rule No. 4 of 2013)This Rules came into force as of March 13, 2013.
Supplementary Provisions (Rule No. 3 of 2015)
This Rules came into force as of April 1, 2015.
Supplementary Provisions (Rule No. 35 of 2016)
This Rules came into force as of April 1, 2016.
Supplementary Provisions (Rule No. 34 of 2017)
This Rules came into force as of August 8, 2017.
Supplementary Provisions (Rule No. 40 of 2018)
This Rules came into force as of April 1, 2018.
Supplementary Provisions (Rule No. 6 of 2022)
This Rules came into force as of March 11, 2022.

10

Subject of Research Misconduct

Table 1 Measures related to specific misconduct (Appended art. 16 para. 1 item 4)
Period ofFunding
Subject of Measures
Extent of Misconduct
Stoppage
1. Particularly malicious
10 years
individual(s) who, for example,
had intention of research
misconduct from the very
beginning of the research
2. Author(s)Responsible
Cases where it is judged that the
5 to 7of paper(s),author(s) of the
impact on the progress of theyears
etc. related to paper(s) in
science in the field in question andthe researchquestion
the social impact are major, or thein which(corresponding
level of maliciousness involved inresearchauthor, leadthe acts is highmisconduct(s) author or otherCases where it is judged that the
3 to 5have beenauthors bearing
impact on the progress of theyears
identified
equivalentscience in the field in question and(otherresponsibilities)
the social impact are minor, or thethan(a)level of maliciousness involved inabove)
the acts is low
Author(s) of the
2 to 3
paper(s) inyears
question otherthan theresponsible
author(s)described above
3. Individual(s) involved who are
2 to 3
not the authors of the research
years
paper(s) for which research
misconduct(s) are identified
Responsible author(s) of paper(s),Cases where it is judged that the
2 to 3(corresponding author, lead author or
impact on the progress of theyears
other authors bearing equivalentscience in the field in question andresponsibilities) for which research
the social impact are major, or the
misconduct(s) are identified, but notlevel of maliciousness involved in
involved in the alleged research
the acts is highmisconduct
Cases where it is judged that the
1 to 2
impact on the progress of theyears
science in the field in question andthe social impact are low, or the
degree of severity of the acts is low

11Table 2 Measures related to misuse of funds (Appended art. 16 para. 1 item 4)
Subject of Measures
Level of Funding Misuse
Period ofFunding
Stoppage
I Researchers who
1. Misappropriation of research funds for
10 yearscommitted improper
personal gain
spending of funding
and researchers who
conspired in such
fraudulent act
II Researchers who
2. Other than(1) Cases of major
5 years
acquired funding by
misappropriation
seriousness andmaliciousness
deception or otherof research funds
fraudulent meansfor personal gain (2) Cases other than (1)2 to 4 yearsandand (3)
researchers who(3) Cases of minor
1 yearconspired in such acts
seriousness andmaliciousness
III Researchers who
5 years
acquired funding bydeception or otherfraudulent means
and researchers who
conspired in such acts
IV Researchers who The upper limit
were not directlyis 2 years andinvolved in thethe lower limit
improper spending ofis 1 year
funding, but failed todepending on
exercise due carethe degree ofthe breach of
duty by the
researchers who
have the duty ofcare as a goodmanager.
* For cases judged as subcritical to the punitive suspension measures, sharp
reprimand is administered to the individual(s) concerned.
The following cases are pertinent to the “sharp reprimand” penalty.
1. Among the case II above, the researchers in case that the influence on society andthe maliciousness of their conducts are judged to be insignificant and the amount ofmoney involved is small.
2. Among the case IV above, the researchers in case that the influence on society andthe maliciousness of their conducts are judged to be insignificant.

12