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Initiatives for Promotion of Research Integrity

April 2021
Office for Research Integrity Promotion
Ministry of Education, Culture, Sports, Science and Technology JAPANMajor Initiatives for the Prevention of Misconduct in Research in Japan
Aug. 2006 Guidelines for Responding to Misconduct in Research (First National Guidelines, MEXT) First national guidelines for dealing with misconduct in research The guidelines provide basic ideas, initiatives for preventing misconduct, responses to research misconduct, andsanctions for research misconduct, etc.

Aug. 2014 Guidelines for Responding to Misconduct in Research (Revised National Guidelines, MEXT)
 In the past, there had been a strong sense of leaving to the individual researcher the responsibility for avoiding
misconduct in research; from 2014, measures have been strengthened by having universities and other research
institutions assume responsibility for preventing misconduct in research.
・ Initiatives for preventing misconduct
・ Clarification of the management responsibilities of the organizations
・ Sanctions for specific research misconduct and management responsibility

Mar. 2015 Improvement of Research Integrity in Scientific Research (Science Council of Japan)
 The Science Council of Japan deliberated on the following issues and summarized their ideas.
・ Period and method of keeping experimental data
・ Basic precautions that researchers need to keep in mind
・ Scope of misconduct other than specific misconduct (fabrication, modification, plagiarism)（authorship, etc.）
・ Reference standard on research ethics education
・ Model rules for research misconduct at universities, etc.

Dec. 2018 Act on Activation of the Creation of Science and Technology Innovation（tentative translation）
 The “securing of research integrity” is provided in the “Act on Activation of the Creation of Science and Technology
Innovation” promulgated in 2018.
・ Responsibility of the researchers
・ Responsibility of the research institutions
・ Responsibility of the government
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The Research Integrity System in JAPAN (Focusing on MEXT)
Cabinet Office

Policies and initiatives related toresearch integrity throughout Japan

Other Ministries
Initiatives based on theguidelines of each ministry

Major Initiatives of the Japanese Government
 Establishment of the First National Guidelines in August 2006
 Establishment of the Revised National Guidelines in August 2014
 Establishment of the Office of Research Integrity, MEXT in April 2015
Promulgation of the Act on Activation of the Creation of Science andTechnology Innovation in December 2018

MEXT
【 Members of the Experts Meeting 】
 14 experts【 Role of the Experts Meeting 】
 Advice on improvement of the rules andExperts Meeting on Promoting Research Integrity
organizational structure of research institutions
 Advice on sanctions for research misconduct, etc.
（Established in April 2015）

Office of Research Integrity Promotion（Established in April 2015）＜MEXT Initiatives＞
・ Thorough establishment of regulations
and systems based on the guidelines
・ Consultation and advice on research
integrity
・ Checking of the investigation result
report on research misconduct
・ Listing and publicizing of cases of
misconduct
・ Investigation and publicizing of theefforts of research institutions (goodpractices), etc.

Major Initiatives of the Academic
Community【 Science Council of Japan 】
Code of conduct for scientists
Improvement of research integrity inscientific research･Model rules for dealing with research
misconduct, etc【APRIN】
Global standard e-Learning Program
・APRIN e-Learning program（eAPRIN）
・Proposing standardized investigationsof alleged research misconducts

Funding Organization
JSPS

JST

AMED

Research Integrity and
Auditing Office

Research Integrity
Division

Division of
Research Integrity andLegal Affairs

・Provision of educational materials for research integrity
・Dissemination of information through a research integrity portal site
・Establishment of a network of research integrity officers

・Mandatory participation in research integrity education
・Consultation and advice on research integrity
・Checking of the investigation result report on research misconduct
・Sanctions against research misconduct

Research Institutions ( Organizations receive funding from MEXT )Rules
Organizational
Structure

・Providing and disclosing appropriate rules(including investigation procedures and methods)
・Appointing an RCR education officer
・Forming of an investigating committee which includes outside experts.

・Periodic research integrity education
・Preservation, disclosure of research data・Appropriate investigation of research misconduct3

Initiatives for the Prevention of Misconduct in Research (Focusing on MEXT)【 2014 Guidelines 】【 Initiatives in the Funding Organizations 】
Research Integrity Promotion Program

Guidelines for Responding to Misconduct in Research(MEXT, August 2014)

・ Provision of educational materials for research integrity
・ Developing human resources for research integrity education
・ Establishing a network of research integrity officers, etc.

Applicable research activities:
Research activities based on MEXT’s budget allocation

Supporting
implementation ofeffective research
integrity education in
the research institutions

MEXT
Clarification of the management responsibilities
of universities and research institutions
・Setting up of the necessary organizational structure
and provision of periodic research integrity education
・ Provision of appropriate rules, mechanisms andorganizational structures

Support for implementationof RCR education

Responding to Specific Research Misconduct
・ Strict research misconduct investigations by research
institutions
・ Sanctions when research misconduct is found as aresult of an investigation
 Return of competitive funds (some or all)
 Restrictions on competitive funding applications【 Strengthening the Research Integrity System in MEXT 】

adviceJST

JSPS
・Promote development andutilization of e-Learningmaterials for research integrity
education

cooperation

AMED・ Provide cases of medical research
misconduct
・ Establish a network of research
integrity officers

・ Research Integrity Portal
・ Training of research integrity
education managers using
workshops

Enlightenment/
dissemination
Research
Institutions【 Thorough Efforts of the Research Institutions 】
Confirmation oｆ rules, mechanisms and organizational structures in the research institutions
・MEXT requires research institutions that conduct research using MEXT funding to submit
a checklist to confirm the status of efforts based on the guidelines every year.
・MEXT instructs research institutions with inadequate rules or an inappropriateorganizational structure to ensure that efforts are made based on the guidelines.

Apr. 2015 Establishment of the Office of Research Integrity Promotion
Apr. 2015 Establishment of the Experts Meeting on Promoting Research Integrity

・If the situation in research institution is not improved, MEXT will administer sanctions
such as imposing management conditions and reducing indirect costs.

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Guidelines for Responding to Misconduct in Research (Summary)
The responsibilities of researchers and research institutions with regard to misconduct
Basic Idea on Misconduct in Research○ Misconduct in research violates the true nature of research activities and publication of results, and is a betrayal of science itself. A strict stance must be taken against such misconduct.
○ Dealing with research misconduct must first of all be approached as self-correction based on the voluntary efforts of researchers themselves, of the scientific community, and of universities andother research institutions.
○ It will be necessary to strengthen the approach through greater assumption of responsibility by universities and other research institutions for preventing misconduct, so as to create an environment
to discourage misconduct. In particular, the management responsibilities of the organization should be clarified by establishing lines of responsibility, and efforts should be made to prevent
misconduct from occurring.

Responsibilities of Researchers

Responsibilities of Universities andOther Research Institutions

Integrity in Research

Establishing Lines of Responsibility as an Organization○ Conducting research with integrity, being aware that the pursuit of scientific research isdependent on the trust of and mandate from the public○ Carrying out responsible research and research management able to prevent misconduct
 Clarification of roles and responsibilities of each researcher in joint research Thoroughness in proper recording, preservation and strict handling of research data

○ Clarifying the management responsibilities of the organization and making efforts to prevent
misconduct.
 Providing and disclosing the rules and structure for responding when misconduct is suspected,
including investigation procedures and methods
 Taking effective measures (clarifying roles and responsibilities of researchers, having research
results confirmed by the principal researcher, assigning mentors to young researchers and making
other organized efforts)

Publication of Research Results

Preventing Misconduct○ Making public the results obtained from research to the scientific community, while
presenting data and materials that can be objectively verified (The publication of research
results subjects the contents to close examination and judgment among researchers, thereby
helping to build up intellectual resources .)Compliance with Laws and Regulations○ Observing laws and relevant regulations in conducting research

Accountability Regarding Suspicion of Misconduct○ Taking responsibility for presenting and explaining the scientific basis of research whenattempting to dispel suspicions of specific research misconduct

Sanctions for Violations○ Return of competitive funds, restrictions on new application(Applies not only to competitive funding but to specific research misconduct in research
conducted using administrative cost grants and other funding for basic operating expenses)○ Punishment in accordance with internal rules of the organization○ Creating an environment that discourages misconduct Providing RCR education
 Universities: Ensure awareness of responsible research practices by students. Provide students
with RCR education.
 Universities and other research institutions: Appoint a RCR education officer. Provide regular
RCR education to the wide range of personnel involved in research activities.
 Research funding organizations: Have all researchers involved in research receiving
competitive funding take a RCR education program, and thoroughly check participation in the
program.
 Mandating the preservation of research data for a set period and disclosure as necessary

Responding to Alleged Misconduct○ Receiving allegations of specific research misconduct (fabrication, falsification, or plagiarism),
conducting investigations, disclosing investigation results
 Introducing a third-party viewpoint in investigations (at least half outside experts; excluding
conflicts of interest)
 Setting approximate deadlines for investigations in each research institution
 Replacing or adding committee members in the case of appeals questioning expertise in theinvestigation

Sanctions for Violations○ Reducing indirect cost grants
 Assigning administrative conditions in the case of organizational inadequacies in the
research institution, and thereafter imposing sanctions if the conditions are not fulfilled orif the investigation is delayed without a legitimate reason

5Research Integrity Promotion Program
Funding organizations (JSPS, JST, AMED) collaborate to develop and disseminate research integrity education materials, a network for research integrity officers, and disseminate
information as part of MEXT’s Research Integrity Promotion Program.

Japan Science and Technology Agency (JST)Japan Society for the Promotion of Science (JSPS)
Text Learning Materials for
Research Integrity Educatione-Learning Course
on Research Ethics

 Provision of text materials and an e-Learning Course for research integrity education
 E-Learning materials that enable learning and thinking through examples can make it easier tounderstand situations that anyone is likely to fall into, and “what should not be done” and “whatshould be done more appropriately”

Video Teaching Material
for Research Integrity Education

JST Portal
on Research Integrity

 Provision of educational materials for research integrity (video teaching materials) andpamphlets
 Provision of educational materials and information on research integrity on websites

For the Sound Developmentof Science-The Attitude of a
Conscientious ScientistMARUZEN PUBLISHING,
2015.3（Japanese）
2015.5（English）

Japan Agency for Medical Research andDevelopment (AMED)CASEBOOK

Symposium on Research Integrity
A symposium on research integrity is held every year in collaboration with JSPS, JST and Collection and provision of cases of medical research
misconduct and cases of undesirable research Collection and provision of cases which prevented
research misconduct or undesirable action
 Distribution of a casebook through the RIO networkand on websites

AMED.

RIO NETWORK 3rd Symposium ( September 9, 2019 ) Establishment of a network for research integrity
officers
 Promotion of the sharing and exchange of information
through email magazines, symposiums, subcommittee
activities, etc.

 1st Symposium ( November 29, 2017 )“Thinking and Awareness” Research Integrity Education

 2nd Symposium ( November 2, 2018 )Learn from advanced examples of research integrity education

So as not to cause research misconduct and what to do if research misconduct occurs

 4th Symposium ( December 15, 2020 )Roles, qualities and training of key personnel who promote research integrity at research institutions※ AMED conducts development of materials for research integrity education and research on strengthening research integrity as “Research and Development Program for Enhancement of Research Integrity”,
in addition to the activities related to “Research Integrity Promotion Program” above.

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Initiatives for the Prevention of Misconduct in Research (1)1. Guidelines for Responding to Misconduct in Research (Adopted August 26, 2014 by MEXT) (2014 Guidelines) MEXT had been implementing necessary measures pertaining to responses by universities and other research institutions regarding research activities based on the“Guidelines for Responding to Misconduct in Research (compiled by the MEXT Council for Science and Technology’s Special Committee on Misconduct in Research
Activities in August 2006). （2006 Guidelines）
 In the past, there had been a strong sense of leaving to the individual researcher the responsibility for avoiding misconduct in research; from 2014, measures have beenstrengthened by having universities and other research institutions assume responsibility for preventing misconduct in research (formulation of 2014 Guidelines initiatedthrough a decision by the MEXT Minister).
・Initiatives to prevent misconduct (① Conducting education on research practices, ② Preservation and disclosure of research data)
・Clarification of the management responsibilities of the organization (providing and disclosing rules and an organizational structure)・Sanctions for specific research misconduct and management responsibilities※Misconduct in research: specific misconduct (fabrication, falsification, plagiarism) and conduct that violates research integrity (duplicate submission, inappropriate
authorship, etc.)

2. Organizational Arrangements for Promoting Research Integrity National Government: Office of Research Integrity, MEXT Funding Organization: Research Integrity and Auditing Office, JSPS
Research Integrity Division, JSTDivision of Research Integrity and Legal Affairs, AMED
3. Status of Organizational Provision in the Research Institutions based on the 2014 Guidelines MEXT monitors the status of organizational provision in the research institutions based on the 2014 Guidelines by conducting periodical surveys of institutions regarding
their implementation. When the surveys of the research institutions reveal inadequacies in organizational provision, guidance and advice is given such as by issuing
administrative conditions.
 MEXT confirmed in each survey from 2016 to 2019 that all institutions to which the 2014 Guidelines are applied have rules and an organizational structure based on theguidelines.
(※) Act on Activation of the Creation of Science and Technology Innovation (Last Version: Amendment of Act No. 94 of 2018) (tentative translation)（Ensuring Research Integrity）
Article24-2 (1) Researchers, having primary responsibility for ensuring research integrity and appropriate use of research funds, are to endeavor to conduct their research
activities with integrity and propriety, by improving their own knowledge and understanding of research ethics.
(2) Research institutions are to take necessary measures that enable researchers to improve their own knowledge and understanding of research ethics, and are to endeavor tohandle allegations of research misconduct (including inappropriate use of research funds; the same applies in the following paragraph) appropriately based on objective
evidence.
(3) In light of the fact that research misconduct undermines public confidence in science and technology and hinders scientific and technological progress, the national
government is to implement institutional improvement and the necessary policies to prevent research misconduct.

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Initiatives for the Prevention of Misconduct in Research (2)4. Support for Initiatives in Research Institutions(1) Initiatives for promoting research activities in research integrity (MEXT)
 Listing of publicized cases of misconduct (2015 - )・In cases where specific research misconduct has been confirmed, list to be prepared and publicized by MEXT Survey on the actual condition of organizational structures in research institutions (2016 - )・To promote the initiatives of research institutions by surveying and disclosing the status and characteristic efforts of other research institutions based on the 2014
Guidelines.
(2) Research Integrity Promotion Program (JSPS, JST, AMED)
JSPS, JST and AMED develop and disseminate teaching materials for research integrity education, improve them, and have also set up consultation service counters toprevent misconduct and to handle requests for consultation.
 Education for research integrity (2015 - )・A text version of “For the Sound Development of Science –The Attitude of a Conscientious Scientist- ” 【JSPS】
・e-Learning Course on Research Ethics（eL CoRE）【JSPS】
・Video teaching materials for Research Integrity Education (THE LAB) 【JST】
・Workshop on Research Integrity Education 【JST】
・Casebook to learn about RCR from misconduct in medical research 【AMED】
・Case Book of HIYARI-HATTO （Minor Incidents） against Responsible Conduct of Research 【AMED】
 Information on research integrity (2015 - )・ Research Integrity Portal 【JST】
 Personal connection of research integrity officers (2017 - )・ RIO NETWORK 【AMED】(※) APRIN e-Learning Program (APRIN: Association for the Promotion of Research Integrity)
MEXT supported for an inter-university collaborative education program which develops research ethics education programs and e-Learning materials suitable for the
research environment in Japan while being compatible with international standards. APRIN has been updating and running this program, “eAPRIN”, since FY2017.
・ Courses with more than 120 modules are RCR (Responsible Conduct of Research), RSE (Research in the Secondary Education), ICF (Introduction of college andfaculty), HSR (Human Subjects Research), BIO (Biosafety), ACU (Animal Care & Use), GCP, SEC (Security Export Control) and Reproducibility of Data etc.
(※) Websites
MEXT
https://www.mext.go.jp/a_menu/jinzai/fusei/index.htm
JSPS
https://www.jsps.go.jp/j-kousei/index.html
JST
https://www.jst.go.jp/researchintegrity/
https://www.jst.go.jp/kousei_p/en/ (Research Integrity Portal)
AMED
https://www.amed.go.jp/kenkyu_kousei/index.html
APRIN
https://edu.aprin.or.jp/8