JST Basic Research Programs

Advanced Low Carbon Technology Research and

Development Program （ ）

2014

Application Guidelines

[Application period]

Tuesday, April 1, 2014 to Noon Wednesday, May 28

Department of Green Innovation Japan Science and Technology Agency (JST)

April 2014

The invitation for research proposals is made under the precondition of the revisions of the "Guidelines of Management and Audit of Public Research Funds in Research Institutes (Implementation standards)" (decided by the Minister of Education, Culture, Sports, Science and Technology in February 2007 and revised in February 2014) and the "Guidelines for Responding to Misconduct in Research Activities" (August 2006; Council for Science and Technology "Special Committee on Scientific Misconduct") that are currently being considered in response to the interim report*1 of the MEXT Task Force on Misconduct in Research and Inappropriate Use of Research Funds. Depending on the revised content of the guidelines that will be used from FY2014 onwards changes may be made to the application requirements for research proposals, the contract research agreements and the directions for executing contract research agreements after the selection of proposals.

*1: http://www.mext.go.jp/b_menu/houdou/25/09/1339981.html

◆Technology areas to be publicly invited

Technology areas (Number of teams to be selected: total about 10)

[Technology area A] Solar cell and solar energy systems [Technology area B] Superconducting systems [Technology area C] Electricity storage devices [Technology area D] Ultra heat-resistant materials and high quality recycled steel [Technology area E] Biotechnology [Technology area F] Innovative energy-saving and enery-producing chemical process [Technology area G] Innovative energy-saving and enery-producing systems and devices

◆Main schedule up to the start of R&D projects

Technology areas A ~ G

Call for proposals start Tuesday, Apr. 1, 2014

Application guidance (Tokyo)※

Wednesday, Apr. 16 JST Tokyo Headquarters Annex 2F 10:00~12:00 Friday, Apr. 25 JST Tokyo Headquarters B1 13:00~15:00

Deadline for proposal applications (Deadline for acceptance by e-Rad)

Wednesday, May 28 12 AM (Noon) <No delay allowed>

※Note: For more information on application guidance and participation application, please see the website of ALCA.

Documentary screening period Early June to late June

Notification of documentary screening result Early July to mid July

Screening Interview period Mid- July to mid- August

Notification and publication of selected subjects Late August

R&D projects start October and after *All schedules of document screening period and after are provisional. They may be hereafter subject to change. *The screening interview schedule will be made available from ALCA website as soon as it is fixed.

Reference Website of Advanced Low Carbon Technology

Research and Development Program (ALCA) http://www.jst.go.jp/alca/

Table of Contents

I. Outline of Advanced Low Carbon Technology Research and Development (ALCA) ······· 1 1. Features of Advanced Low Carbon Technology Research and Development (ALCA) · 1

(1) Purpose of ALCA Program ........................................................................................ 1 (2) Eligibility requirements for proposals of R&D project ................................................ 3

2. Promotion system of ALCA ············································································· 7 3. Features of management by ALCA ·································································· 7

II. Important Information on Call for Proposals ························································· 10 1. Technology areas to be publicly invited ···························································· 10 2. Eligibility requirements for applicants ······························································· 24

(1) Eligible applicants .................................................................................................... 24 (2) Limitation on multiple applications for JST project .................................................. 24

3. Period and budget size of R&D projects ··························································· 25 (1) Period of R&D project .............................................................................................. 25 (2) Size of R&D budget ................................................................................................. 25 (3) Implementation framework for R&D project ............................................................ 26 (4) Planned number of proposals to be adopted .......................................................... 26 (5) Eligible research expenses for R&D projects .......................................................... 26

4. Screening policy ·························································································· 28 (1) Flow of the screening process ................................................................................. 28 (2) Screening criteria ..................................................................................................... 28 (3) Screening without potential conflicts of interest ...................................................... 28 (4) Notification of screening review result ..................................................................... 29 (5) Main schedule leading up to the start of R&D projects ........................................... 29

5. Responsibilities after being adopted ································································ 30 (1) Responsibilities of R&D Director ............................................................................. 30 (2) Responsibilities of research institution .................................................................... 31

6. Procedures for filling Technology Area (A through G) Proposal (form)····················· 33 III. General Information regarding Call for Proposals’ ················································ 50

1. Application procedures ················································································· 50 2. Eligible research expenses for R&D projects ····················································· 50 3. Indirect costs ······························································································ 52 4. Carryover ·································································································· 52 5. Important notes for applicants ········································································ 52

(1) Handling of information provided in research proposals, etc. ................................. 52 (2) Unreasonable duplication and excessive concentration ......................................... 53 (3) Measures against Inappropriate usage of research funds ...................................... 56 (4) Regarding management and auditing systems and responses to misconduct at

research institutions ............................................................................................... 59 (5) Measures regarding Misconduct in Research Activities .......................................... 62 (6) Measures for protecting civil rights and complying with laws and regulations ........ 65 (7) Security export control (Measures against the leakage of technology

internationally)........................................................................................................ 66 (8) Cooperation with the National Bioscience Database Center .................................. 68 (9) Regarding registration with researchmap................................................................ 68

(10) Efficient promotion of research and development through effective use of currently available research facilities and equipment ............................................ 69

(11) Regarding the Results of JST’s Development of Systems and Technology for Advanced Measurement and Analysis Program ................................................... 70

IV. Recruiting via the Cross-ministerial R&D Management System (e-Rad) ···················· 71 1. Recruiting via the Cross-ministerial R&D Management System (e-Rad) ················· 71 2. System availability and where to direct questions ··············································· 72 3. Detailed submission instructions and precautions ·············································· 73

V. Other ··········································································································· 76 1. Key points in submitting proposals ····································································· 76

(1) Gender equality ....................................................................................................... 76 (2) Dialogue with citizens on science and technology .................................................. 76 (3) Open Access ............................................................................................................ 77 (4) Development of research base network toward the construction of a low-carbon

society (three hub bases and 15 satellite bases) .................................................. 77 (5) Career paths for young research staff with doctoral qualifications ......................... 77 (6) References ............................................................................................................... 77

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I. Outline of Advanced Low Carbon Technology Research and Development (ALCA) 1. Features of Advanced Low Carbon Technology Research and Development

(ALCA) (1) Purpose of ALCA Program 1) Purpose of the Advanced Low Carbon Technology Research and Development (ALCA)

Today, environmental and energy problems are urgent issues on which many countries are focusing most. In particular, it is required to realize a low carbon society based on industrial and life systems that emit small amounts of greenhouse effect gas, such as carbon dioxide. To solve the big issue of creating technologies (so-called mitigation strategies1) that would greatly contribute to the creation of green innovations necessary for realizing such an ideal social structure and would help significantly reduce greenhouse effect gas emissions continuously and steadily over the medium and long term (2030 to 2050), it is insufficient to depend on problem solution-oriented research and development based on theoretically or conceptually proven technologies or those starting to take shape. Neither is it sufficient to simply promote research and development for reducing greenhouse effect gas emissions by around 2020. In other words, it is essential to achieve R&D results that would help a significant reduction of greenhouse effect gas emissions by the next stage, namely around 2030.

In response to such circumstances, the Advanced Low Carbon Technology Research

and Development (ALCA) is promoting ambitious research and development to create technologies that would significantly reduce greenhouse effect gas emissions, thereby making significant contributions to the realization of a low carbon society based on the “Low Carbon Society Creation Research and Development Strategy of the MEXT” (determined by the Minister of MEXT on August 11, 2009)1 and the strategic targets set by the MEXT (targets with great social influence). We intend to create “Game Changing Technologies” 2 that will realize technological breakthroughs and change existing concepts widely by promoting ambitious research and development that seeks new principles supported by systematic science to be newly established instead of developing existing technologies of which future prospects have already been clarified and applying that principle.

1 Low Carbon Society Creation Research and Development Strategy of the MEXT http://www.mext.go.jp/b_menu/houdou/21/08/1282824.htm 2 Indicates technologies that create drastically new concepts and rules for society and that realize a low carbon society.

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2) Features of ALCA - Widely invites public proposals of themes for technological development (so-called mitigation strategies) that contribute to a significant reduction in the greenhouse effect gas emissions to prevent global warming and promotes it as an R&D project.

- Challenging research and development aiming at creating game changing technologies

- Integration of research in the various areas and cooperation of researchers and engineers having a variety of experience will be welcomed.

- Comprehensive research and development from fundamental research to development stage

- Solving specific issues viewing long-term prospects (long-term research and development for a maximum of 10 years)

- Determination of continuing or terminating research and development based on the concept of the Stage Gate Review

- Positively adopting new additional subjects - Positive promotion of developing the research and development achievements

a. We will focus on ambitious research and development aiming at creating game

changing technologies that greatly changes the existing concepts, such as realization of technological breakthroughs, and, for example, process innovation in association with the evolution of nano-technology. In addition, we welcome the integration of research in various areas and the cooperation of researchers and engineers with various experiences (including young researchers and engineers) and expect that an ambitious research and development system will be established.

b. In order to promote comprehensive research and development from the stage of performing fundamental research targeting element science and technology that brings the creation of new principles, concepts, and breakthroughs to the research and development stage that leads to the creation of technologies capable of greatly contributing to greenhouse effect gas emission reductions by developing and enlarging produced technological seeds, we provide a long-term research and development period of a maximum of 10 years.

c. Expecting that technologies to be created via research and development are introduced to real society, we promote research and development to provide solutions to specific issues toward long-term prospects. Standing on long-term prospects that in the future determine how we develop technologies leading to a significant reduction of greenhouse effect gas emissions in the society, we set and promote research and development issues to solve spending about 10 years from now to realize the above.

d. We will positively take up ambitious R&D issues that are considered extremely difficult to realize in the initial stage. On the other hand, in order to perform sharp operations, such as continuing the research and development of which the initially set R&D period is over or extending or terminating current research and development, we will perform research and development management, such as determination of continuing or terminating the research and development based on the concept of the Stage Gate Review. Thus, we try to create technologies that can provide feasibility about 10 years after starting the research and development.

e. In order to timely and continuously accept newly born promising R&D projects,

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including research achievements produced by the fundamental research system, we perform positive adoption of new additional subjects.

f. As for R&D projects that have created the results of which further research and development is desired or created remarkable results from research and development, we decided to positively promote the development of R&D achievements. In addition, as for achievements that enabled new approaches toward commercialization by enterprises, we will take proper action, such as handing them over promptly to other R&D systems and R&D by enterprises.

(2) Eligibility requirements for proposals of R&D project

Applicants for the ALCA Program are expected to pay attention to the following requirements for proposals to prepare the proposal documents of R&D projects and, after adoption, to assume the responsibility for autonomously performing the PDCA, including from the promotion (Do) of research and development and the research and development management (Check and Action) based on the research and development plan (Plan) of which commitment for the adopted project was assured.

1) Prospect of long-term research and development and setting of subjects It is necessary to clarify the series of research and development scenarios established

based on the long-term prospect until the introduction of technology to real society, the proper setting of issues to solve to obtain the prospect and the targets to achieve for the time being, and a clear approach with the necessary means and processes for realizing these solutions.

a. Prospect, issue and target

▪ Prospect: Long-term image of the kind of technology that will be created and how the technology will be introduced to real society, leading to a significant reduction in the greenhouse effect gas emissions by research and development.

▪ Issue: Scientific and technological issue to resolve by spending about 10 years after starting the research and development toward the realization of the prospect.

▪ Target: Specific research and development target in the initial R&D period (two to five years) necessary to proactively realize the prospect and the project.

b. Approaches, menus, and processes ▪ Approach: Setting of subjects necessary for realization of the prospect and process necessary for solving the issues.

▪ Means and processes: Specific measures, means, procedures, process, etc., necessary for achievement of the target.

2) Securing multi-scalability

Since the research and development of ALCA is required to reach the stage where development in society is possible in the future, it is important to secure multi-scalability applicable to the scale at a practical level without leaving the created technological scale at the laboratory or microscopic level. For example, in the engineering field, it is necessary to clearly describe the size as bulk and the scenario until obtaining the required performance in volume and area.

3) Advantage of research and development results to be created

It is necessary to be a project capable of the possibility of commercialization around

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2020 based on the research and development achievements of ALCA and capable of creating advantageous technology from the viewpoints of efficiency (conversion efficiency and energy balance ratio in energy generation, reduction of energy loss in energy storage and transportation, etc.), economical performance (material cost (including avoidance of resource-wise restrictions), manufacturing cost, introduction cost, life, disposal cost, etc.), and environmental load characteristics in comparison with the technologies around 2030 expected from the current technologies. When any factor that trades the above advantage is anticipated, they shall be clearly described in the R&D project proposal.

4) Participation of researchers in the various areas and young researchers We expect that, in addition to researchers involved in research in the area concerned,

researchers in various areas, researchers and engineers having a variety of experience, and young researchers will submit proposals or participate, leading to the establishment of ambitious research and development systems that produce new knowledge and ideas.

(Reference)

In addition to ALCA, the Low Carbon Society Strategy Center (LCS) in JST is simultaneously promoting the social scenario study for realization of a low carbon society based on “Low Carbon Society Creation Research and Development Strategy of the MEXT” (determined by the Minister of Education, Science and Culture on August 11, 2009). In the promotion of the social scenario study in LCS, a picture of desirable society is drawn

to contribute to the realization of a low carbon society leading to continuous progress in the economy and society of our country, and the proposals are made concerning the innovation of the social system for achieving the realization and the direction in which the research and development of low carbon technology should be promoted. As a part of such an activity, in the “Comprehensive strategy and scenario for creating a low carbon society” prepared in July 2012, a social scenario considering the preferable course of research and development to be taken hereafter and the expandability of specific technologies (quantitative technological scenario) based on the quantitative evaluation of element technologies and cost mechanism in the manufacturing process using low carbon technologies was presented to show the basic way of thinking to contribute to the realization of a bright and rich low carbon society. Since FY 2013, including the latest findings, LCS has sequentially issued the specific proposals for the policy making of the low carbon society in parts as “Proposals for innovation policy based on the quantitative technological and socio-economic scenario towards the low carbon society”. To realize this social scenario, the research and development achievements of ALCA are essential and the successful realization is greatly expected.

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Toward establishment of bright and rich low carbon society

- Introduction of “Comprehensive strategy and scenario for creating low carbon society

The quantitative technological scenario of LCS estimates the amount of cost reduction toward 2020 and 2030 taking into consideration the manufacturing technologies and the enlargement of production scale from the manufacturing cost calculation in the accumulation method taking solar batteries, fuel cells, and storage batteries as main examples to propose the future course of research and development.

(a) Solar battery From the manufacturing cost calculation in the accumulation method for solar batteries of

Si type, CIGS type, etc., it is anticipated that the price will be 97 yen per watt (11 yen per kilowatt hour) in 2020 and will be 57 yen per watt ( 5 yen per kilowatt hour) in 2030. When taking into consideration the stabilization of the power supply, it is necessary to further aim for the module manufacturing cost of 40 yen per watt or less. It is necessary to promote the technological development of the manufacturing process with high efficiency (module power generation efficiency of 40% or more), high productivity (for example, film making speed of 1 μm/min or more, about five to ten times the current speed in compound semi-conductor production), and low cost while considering resource conservation and safety restrictions.

(b) Fuel cell (solid oxide fuel cell, SOFC) Although the development of SOFC has been promoted so as to release products for

household use, it is necessary to reduce the system cost to one tenth or less of the current price (300 yen per watt). Promotion of research and development projects regarding, such as development of new materials, control of boundary face structure, improvement of stack output density (for example, realization of cell module volume of one-third or less in comparison with the current one), creation of cell stack with long life dealing with short time power fluctuation, and reduction of auxiliary equipment to one-tenth to realize the compact, easy-to-use, and low cost system with performance of power generation efficiency of 55% or more.

(c) Storage battery It is anticipated that the cell cost of a storage battery for charge and discharge capacity is

realized to be 7 yen per watt/hour at an energy density of 340 watt-hour per kilogram contributed by the enlargement of production scale and the improvement of yield in 2020. Furthermore, it is important to improve energy density to reduce the cell cost to 4 yen per watt/hour or less and reduce the weight of a storage battery for electric vehicle use in order to contribute to the stabilization of the system power supply in 2030 and after. Although the course of technological development is unclear, ambitious research and development activities for new materials and composite materials made of cathode and anode active materials aiming an energy density of 600 watt-hour per kilogram or more, stabilization of crystal structure of cathode active materials enabling extension of life to four times or more the current value, and additives for electrolyte are required.

Base on the above assessment in LCS, especially in order to further accelerate the

promotion of development of solar batteries, fuel cells, and storage batteries of which

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practical use is already started, the challenge to the development of element technologies to contribute to the promotion of the above contents is required. For example, the reduction of amounts of an alternative to the platinum catalyst and platinum base catalyst for fuel cells, and innovative battery materials as an alternative to lithium ion batteries and system establishment for storage batteries are required. Proposals of themes with game changing challenges more outstanding than this target assessment are expected.

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2. Promotion system of ALCA The Japan Science and Technology Agency (hereafter referred to as “JST”) assigning the

Program Director (PD) for presiding over research and development in general and the Program Officers (PO) involved in the operation of individual research and development, such as evaluation and management of research and development issues in each technology area, makes efforts toward efficient operations (Fig. 1).

When implementing research and development, the Advanced Low Carbon Technology Development Project Promotion Committee (hereafter referred to as “Promotion Committee”), where the PD is assigned to the chairperson and the Program Officers (PO) and external intellectuals and intellectuals are assigned to members, deliberates items required for the promotion of research and development, such as the setting of technology areas for which a public invitation is to be performed, the screening of adoption finalist proposals and the whole adjustment of the budget for R&D projects, and perform management. In addition, the Promotion Committee establishes the subcommittees where the Program Officers (PO) are assigned to the chiefs in each technology area (hereafter referred to as “Subcommittee”) to implement detailed deliberation as required.

Figure 1. Promotion system of ALCA

3. Features of management by ALCA 1) Implementation of Stage Gate Review

ALCA intends to adopt ambitious research and development themes matching the purpose of the project, and the Promotion Committee evaluates the possibility of attaining the target based on the Stage Gate Review at the intermediate stage or at the end of the research and development period initially planned. The Stage Gate Review is performed

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to secure the diversity of research seeds at the time of adoption and further implement research and development under a competitive environment to allow the whole ALCA to obtain more effective research and development achievements.

As a result of the Stage Gate Review, as for the R&D themes that are determined to have a prospect capable of obtaining excellent R&D achievements, it is decided to perform R&D as a new stage, and the continuous implementation of the ALCA project is approved. On the other hand, R&D projects that may have difficulty in providing the targeted R&D achievement will be terminated at the end of the initial intended period or during the intermediate stage. In addition, although ALCA performs the termination of R&D based on such Stage Gate Review, it also intends to additionally adopt new R&D projects.

2) Promotion of collaboration and integration of R&D projects

The Promotion Committee will introduce the information on each technology area and organize communication meetings between the relevant R&D Teams to positively promote the sharing of technologies, achievements, etc., between the R&D projects. Furthermore, we are considering collaboration among R&D Teams and the integration of teams and the reorganization of teams corresponding to the situation and progress of R&D projects.

Flow of adoption and promotion of projects by ALCA is as shown below: 1) Open call for proposal and selection a. JST shall issue a call for proposals for ambitious R&D projects that may create

technologies having great potential for contributing to the reduction of greenhouse effect gas emissions based on new scientific and technological knowledge in the technology areas specified by the Promotion Committee.

b. The Promotion Committee shall review submitted proposals based on the evaluation criteria for selection and shall select adoption finalist proposals. In addition, documentary and interview screenings are performed in the Subcommittee where the PO is the chief. Then, JST determines the adoption of R&D projects based on the selection results of adoption finalist proposals provided by the Promotion Committee.

2) Promotion of R&D projects a. JST shall determine the R&D plan submitted for each adopted R&D project after

obtaining the approval from the Program Officers (PO). b. JST shall conclude a commissioned R&D contract based on the R&D plan with the

research institution to which the R&D project leader and others of the R&D in the R&D project belong as a rule, in order to further promote R&D.

c. The selected R&D projects shall be implemented according to their R&D plans to obtain R&D results that may lead to the creation of green innovations. During this time, the Program Officers (PO) shall play the central role in the progress management of the R&D projects.

d. The R&D Director may be requested to periodically submit R&D progress reports and R&D expenditure reports to facilitate progress management under the operation policy of the Program Officer in charge. More details shall be provided after the determination of adoption.

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4) After ending Stage Gate Review a. When significant R&D achievements leading to the creation of green innovation

have been obtained in an R&D, a new research plan can be formulated after considering the prioritizing, acceleration, etc., of the R&D if necessary to proceed with an R&D in the new stage. The R&D period including that for the new stage shall be a maximum of 10 years.

b. Post evaluation is performed at the end of the R&D period. In addition, a follow-up evaluation is performed several years after the end of the R&D period.

3) Stage Gate Review a. The Promotion Committee shall evaluate each R&D project (Stage Gate Review),

either during their implementation period or at the end of its initially set period, to determine whether it should be continued further. The Stage Gate Review shall be performed in order to secure the diversity of research seeds present at the time of selection and further to implement the R&D project under a competitive environment to obtain more effective R&D achievements by the whole ALCA.

b. The timing of the implementation of the Stage Gate Review shall be determined within one or two years from a negotiation held between the Program Officer (PO) in charge and the R&D Director at the time of adoption and upon the formulation of the R&D plan. As for projects scheduled to undergo a Stage Gate Review within one year, capital investments shall be allowed on the condition of passing the Stage Gate Review. (The Stage Gate Review may be performed multiple times during the R&D period. Therefore, please bear the Stage Gate Review in mind and propose an R&D plan with milestones set to allow measuring the progress of the research easily at appropriate stages.)

c. To implement the Stage Gate Review fairly, the Promotion Committee’s Program Director, Program Officers, Subcommittee Members, et al., may hold a hearing, make a site visit, or take some other measures as required.

d. The Stage Gate Review shall evaluate each selected R&D project not only on the bases of the Stage Gate target values set for it and its degree of achievement; but in terms of its expected degree of contribution to greenhouse effect gas emission reduction and its likelihood of success (outcome of the Stage Gate Review with a view to the final objective). The evaluation is NOT exclusively scientific.

e. Depending on the results of the Stage Gate Review, an R&D plan may be significantly changed during the implementation period of the R&D, or the R&D project may be terminated. In addition, extension of R&D projects at the end of their initial proposed R&D periods shall also be considered along with whether new R&D projects should be selected.

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II. Important Information on Call for Proposals (Technology areas A through G)

1. Technology areas to be publicly invited In FY 2014, proposals of R&D subjects as for the following seven technology areas are

publicly invited.

Technology areas where proposals are publicly invited <A through G> A. Solar Cell and Solar Energy-based Systems B. Superconductivity system C. Electricity storage device D. Heat resistant material and high performance material using recycled steel E. Biotechnology F. Innovative energy conservation and creating chemical process G. Innovative energy conservation and creating system device

The proposals for R&D subject in accordance with the following guidelines are

particularly expected in each technology area. Multi-disciplinary proposals are also encouraged as well as mono-disciplinary ones, and these have to be applied to the most appropriate technology area (A-G) based on future merit to it.

Meanwhile, please note that your proposal might be reviewd or adopted in the different technokogy area you have made an application for due to the decision making by the Promotion Committe.

A. Solar cell and solar energy systems

It is estimated that by 2017, solar power generation could cost 14 yen/kWH, equal to the

current cost of industrial sector electricity production. By 2025, this is expected to fall to 7 yen/kWh, equal to the current cost of electricity generation in the commercial sector. However, to achieve a stable electricity supply, generation costs need to fall below 5 yen/kWh by 2030. This will require the development of resource-saving, innovative technologies that meet safety restrictions, with module conversion efficiency better than 40%, production costs less than 40 yen/W, and an operational life of over 30 years.

This is a call for innovative proposals to reduce power generation costs to less than 5 yen/kWh. We are not seeking for improvements on existing technologies, rather we hope for proposals for game-changing ideas that will lead to a breakthrough in solar cell technologies.

Proposals should include expected conversion efficiency, production costs and operational life for modules capable of generating electricity at a cost of less than 5 yen/kWH. Any technological bottlenecks and proposed solutions should also be identified.

We suggest some possible themes below, but we welcome any proposal that meets the above requirements. 1. Solar cells with innovative light-absorption layers for ultra high-efficiency power generation

(based on use of new materials, principles and an innovative generating system. Basic preliminary research data should be included)

2. Innovative solar cell systems for ultra high-efficiency power generation (such as ultra-thin cell structures, new multi-junction structures)

3. Ultra-low cost production processes for high-efficiency solar cells (such as non-vacuum processing, ultra-high speed/large-area film forming processes)

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4. Innovative solar power generation systems with the potential for major cost reductions, or systems providing dramatic improvements in photoelectric conversion. Proposals for solar heat utilization are acceptable, providing these have the potential of

becoming innovative technologies.（Supplement: the ways to unlock the technological bottolenecks in reducing costs, p 18）

B. Superconducting systems

Superconducting systems with zero electrical resistance substantially reduce power loss, and thus have enormous potential for realizing a low carbon society.

Superconductivity is already being applied in the research and development of electric generators, power cables and energy storage devices. It has important applications for transportation, industrial and information-related devices. Superconductivity has enormous potential as a next-generation systems technology. There is great potential for superconducting motors in long-distance/large-capacity transmission systems, high-efficiency energy convertors and high-speed/low consumption electrical signal processing systems. Combining superconductivity with cutting-edge components technology can greatly enhance energy efficiency. At present, however, superconducting systems are highly likely to reduce the effectiveness of power loss reductions (low carbonization) and cannot currently provide a reliable energy infrastructure because there are still performance problems with the essential freezing and cooling systems. We also do not have enough data on extended operations. These factors are among the bottlenecks to developing and promoting the spread of large-scale superconducting devices and facilities. With liquid nitrogen cooling systems, it is essential to develop systems technologies as well as highly efficient and reliable low maintenance, high-temperature insulated transmission cables capable of reducing freezer refrigeration load and having a long operational life.

At present, refrigerating systems have a Carnot efficiency of less than 30% and have problems with degradation over time. Technological innovations capable of maintaining a Carnot efficiency of over 50% for long periods could be applied not only to cables but to a wide-range of superconducting devices to accelerate low carbonization.

With regards to superconducting systems, we are seeking motivated proposals that could include: Systems applications of superconducting technologies for achieving major reductions in greenhouse gas emissions; Technologies for developing high-performance devices that make the most of the characteristics of superconductivity; New conceptual technologies that combine or integrate superconductivity with other existing technologies; Interfacing technologies that allow for such multifunctional technologies; Research into fundamental technologies for superconducting systems, including refrigerator cooling technologies, that will lead to innovative low carbonization; and new applications for superconducting materials.

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C. Electricity storage devices

Research into electric vehicles and smart grids is progressing steadily, driven by increasing

environmental awareness and calls for low carbonization. The key to practical implementation is the development of high-performance, low-cost power storage devices. In order to make progress in this field, we need to improve energy density, output, operational life, response time and safety while reducing costs. But it is also important to take the long view, so we are seeking proposals for R&D aimed at producing breakthrough technologies in the next five years so that advanced power storage devices will be widely available 10 years from now.

We also welcome proposals for developing new materials to enable the creation of next generation storage devices; academic and basic science related proposals for designing such materials; and proposals for complementing team efforts through the development of component technologies seen as bottlenecks in ALCA next generation battery projects*1.

While there is an obvious need to improve upon today’s lithium ion batteries, fuel cells and capacitors, we also seek proposals for developing innovative storage devices to surpass the objectives envisaged in the 2013 NEDO Roadmaps*2 for developing technologies for secondary batteries and for innovative battery technologies. We are also looking for proposals and concepts for completely new principles and systems, and for game-changing R& D proposals including the search for next-generation new materials and the analysis of the mechanisms of such materials. *1 http://www.jst.go.jp/pr/info/info964/sankou1.html *2 http://www.nedo.go.jp/library/battery_rm.html

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Reference. Science and technology roadmap for electricity storage devices (Source：JST Low Carbon

Society Strategy Center)

D. Ultra heat-resistant materials and high quality recycled steel In Japan, the combined greenhouse gas emissions from the thermal power generation, metal

processing and transportation industries account for around 50% of total greenhouse gas emissions. In order to achieve a low carbon society, these three industries need to achieve the following goals for 2030 and beyond.

The thermal power generation industry must develop generators with a generation efficiency of over 50%. The metal processing industry must develop technologies to increase the recycling rate of raw materials and develop manufacturing processes with enhanced energy efficiency to create high-performance materials with a high strength-to-weight ratio. The transportation industry must slash energy consumption by reducing the weight of transportation equipment.

In this field of research, we look for proposals for innovative technologies and systems for boosting energy efficiency that go beyond improving existing technologies. We are also seeking proposals for boosting the productivity and reliability of the processes involved in designing, manufacturing and processing innovative materials with outstanding characteristics.

Before submitting a proposal, it will be necessary to organize a team of specialists in material design, process design and reliability evaluation. In addition to the expected generation efficiency rate, recycling rate, and weight reduction rate to be achieved by your proposal, you will need to define your productivity and reliability goals.

We suggest the following example themes, but we welcome any proposals meeting the above requirements.

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Example 1. Innovative technologies for developing highly tough and highly corrosion-resistant high heat-resistant materials.

In designing high heat-resistant materials for devices such as steam turbine blades (700ºC class and above) capable of withstanding the high temperatures and mechanical stress of harsh environments over long periods without compromising stability, it is necessary to achieve overall superiority over existing high heat-resistant materials in terms of high heat-resistance, reliability and durability. Most materials, including intermetallic compounds, that demonstrate superior heat-resistance are lacking in other areas. We hope to see proposals for innovative technologies that will boost toughness and corrosion resistance while maintaining heat-resistant properties. Example 2. Heat-resistant coating technologies based on innovative heat shield principles

In order to improve the heat-resistance of materials for gas turbine blades (1700ºC class and above) and other devices used in ultra high temperature environments, another possible approach in addition to materials design could be to develop a heat-resistant coating to protect the base material. With existing methods that use materials with low thermal conductivity it is difficult to achieve long-term stability. Innovative thermal shield principles and base material cooling technologies are needed to tackle these issues. We therefore seek proposals for technologies that boost the reliability and durability of ultra heat-resisting materials through methods such as strengthening the bonding interface between coating and base materials, and strengthening the mechanical properties and corrosion resistance of coating materials. Example 3. Innovative processes for eliminating tramp elements

Compared to blast furnace steel production from iron ore, recycling steel scraps in electric furnaces uses less energy per unit weight. However, contamination by tramp elements means the recycled product is considerably inferior in quality. If the quality of recycled materials could be improved, recycling could play a more significant role in the life cycle of steel, reducing the total amount of energy used for steel production. We therefore seek proposals for innovative processing technologies to improve the quality of recycled steel through the elimination or detoxification of tramp elements in the scrap recycling stage. Example 4. Innovative technologies for realizing high energy-efficiency in the production of non-ferrous materials (titanium, magnesium, etc.)

Titanium and magnesium are lighter than iron and are both promising resources. The use of these two metals could enable considerably lighter transportation equipment. However, since the two metals have a very high affinity for oxygen and are difficult to process, production processes tend to be high energy consuming. We are therefore seeking proposals for innovative technologies that will greatly reduce the manufacturing energy consumption of titanium, magnesium and other non-ferrous metals. We would also like to see proposals for new, environmentally harmonious recycling technologies. Example 5. Innovative lightweight metal matrix composites that are both highly strong and highly ductile

In order to use lightweight metals in the production of automobile or aircraft parts, not only do they have to have the strength appropriate for each part’s function, they must also meet requirements for ductility, processability and reliability. However, with existing lightweight metals, there tends to be a trade-off between strength and ductility. We therefore hope to see technological proposals for designing highly productive innovative lightweight metal matrix composites that are both highly strong and ductile. This also applies to manufacturing and

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processing processes. Example 6. Innovative manufacturing processes for boosting the processability of ceramic-carbon fiber composites

Although ceramic-carbon fiber composites are super strong and lightweight, since they are very difficult to process (to cut, to drill holes, etc.), usage is limited to certain components. Improving processability through the development of innovative manufacturing processes is of extreme importance and is in high demand Any proposals that have the potential for achieving innovation in applying high

energy-efficiency technologies are most welcome.

E. Biotechnology

We are seeking inspirational proposals for applying and developing cutting-edge research in omics, systems biology, synthetic biology, new molecular breeding and other fields of biotechnology to develop low carbon technologies using living organisms (plants, microalgae, microorganisms etc.) and biomolecular groups. This would include proposals for pioneering CO2 fixation technology through biomass breeding, and broad-based proposals for producing energy, next-generation biofuel and matter directly from biomass or CO2. Listed below are some specific examples of the research and technology developments we are seeking. Shale gas innovation has led to the development of new fossil fuel resources to a world-changing extent, but we also seek proposals that include concrete scenarios for creating low carbon societies that take economic efficiency into consideration. Such proposals would have a major impact in realizing low carbonization and should include concrete estimations for the amount of CO2 reduction that can be expected. If realizing the scenario calls for cooperation with scientists in different fields, a description of the team setup should be included if possible. Example 1. Pioneering CO2 fixation technology through biomass breeding

CO2 fixation technologies for breeding plant biomass for use as industrial materials in a way that does not compete with food production, enabling high productivity in areas unsuitable for agricultural cultivation; the development of fundamental technologies for molecular breeding that enhance the application of diverse biomass conversion technologies; and the development of component technologies that provide solutions to bottlenecks in the practical implementation of plant biomass. Proposals should, if possible, include scenarios on where to cultivate what sort of plants in order to support social implementation of the developed technologies. Example 2. Biomass conversion technologies

The development of pioneering technologies for utilizing microorganisms and biomolecular groups to achieve high-efficient conversion of biomass into energy, next-generation bio fuel, chemical raw materials, innovative materials and substances. While the shale gas revolution has revolutionized fossil fuel resource availability, the development of biomass conversion technologies is still needed, particularly in the following areas: the production of chemical raw materials such as base compounds and aromatic compounds with a higher carbon content than C3, the production of long-chain alcohols with fuel properties superior to ethanol, and the production of next-generation biofuels such as olefin. Also, the development of component technologies for solving bottlenecks in the practical implementation of biomass conversion technologies, and the development of technologies for the cascade use of biomass to improve economic efficiency.

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Example 3. Direct conversion technologies The development of technologies for achieving highly efficient direct conversion of CO2

through the utilization of plants, microalgae and microorganisms. The development of technologies for converting CO2 directly into alternative energies to oil, through the hybridization of chemical and biotechnologies. Possible hybridization could include the use of microorganisms to produce chemical raw materials from base materials chemically extracted from CO2. Example 4. Conversion technologies for diverse organic materials

The development of technologies to reduce CO2 by efficiently converting diverse organic materials such as organic waste, synthetic gases and inexpensive C1 compounds into energy, fuel and oil-alternatives.

F. Innovative energy-saving and energy-producing chemical process

Since the Industrial Revolution, vast quantities of fossil fuels have been used, producing massive CO2 emissions that have steadily increased the concentration of CO2 in the atmosphere. The understanding of this issue and fears of the depletion of fossil fuel resources have led us to develop renewable and unused energy resources. However, these energy sources tend to be more expensive than conventional fuels, and output is also unstable. Meanwhile, innovations in extraction technology have given rise to a new source of fossil fuel in the form of shale gases and shale oil, somewhat reducing the risk of fossil fuel depletion.

Amid the current energy situation, while the research and development of renewable energy still remains a priority, the driving force for promoting a rapid transition toward natural energy resources is less powerful than it was. Instead, there is now growing awareness of the importance for realizing a low carbon society of achieving higher energy-efficiency in chemical processes that consume huge amounts of fossil energy.

In order to improve energy efficiency in chemical processes, we seek proposals for new processes that utilize fossil energy more effectively. For instance, processes that utilize active low temperature catalysts and waste heat, and the development of equilibrium shift mechanisms utilizing phase conversion or film. Proposals for energy-saving distillation and separation processes and chemical heat storage systems are also welcome.

Obviously, the retrieval and utilization of CO2 are also important themes. We look forward to seeing ambitious proposals for extracting useful chemical substances from CO2. Scientists have been dreaming about artificial photosynthesis for many years and have now reached the stage of basic research in many areas. We look forward to innovative proposals for fixed bed biomass refineries, biomass gasification and the production of bioethanol and other biofuels.

Biotechnologies for converting biomass into bioethanol through saccharification and fermentation are already being validated. However, in order to make wide use of biomass resources in realizing low carbon societies, it is necessary to improve efficiency and introduce the mass processing and mass production technologies developed by the petrochemical industry. We therefore seek innovative processes for efficiently breaking down various forms of biomass to enable the mass production of chemicals and polymers with specific structures and functions.

The shale gas revolution has led to increasing diversification of fossil fuel resources. The extracted gases are lower alkanes such as ethane, methane and propane, so they contain

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higher atomic ratios of hydrogen and carbon than petroleum. This means that compared to other fossil fuels, they produce less CO2. Added to that is the potential for mass procurement. Technologies for efficiently converting extracted gases into value-added chemicals definitely conform to ALCA requirements. Proposals are therefore not limited to plant-derived fuels or the conversion of CO2 to useful chemicals. We look forward to receiving breakthrough proposals for energy-saving and energy creating chemical processes that will contribute to the realization of low carbon societies.

G. Innovative energy-saving and energy-producing systems and devices

We are seeking proposals for game-changing, energy-producing, energy-saving and energy

transportation technologies based on physical principles with the potential for practical implementation. For example: (1)Epoch-making energy-producing technologies utilizing natural energy (geothermal, wave,

wind, vibrations etc.) (2)High-efficiency energy conversion technologies, energy transportation systems,

energy-saving systems and devices (3)Heat insulators, accumulators and other systems and devices based on advanced principles

that improve the efficiency of heat utilization Concrete examples would include breakthrough proposals for energy-saving lighting,

low-power displays, super lubricants, high-efficiency vibration-powered generation, heat pumps, and waste heat generation technologies that will also reduce greenhouse gas emissions during their production and maintenance. Also, problem-solving exit strategies.

For example, for proposals on thermoelectric conversion (generation) technologies, please begin by clarifying the problems of practical implementation. Follow with an explanation of your innovative approach to solving these problems, along with a practical implementation plan that provides the expected results for reducing greenhouse gases. Finally, provide quantitative data on how your proposed technology will eventually surpass existing technologies in both performance and cost-efficiency.

The above is simply an example of the type of proposal we are looking for. We welcome any other proposals for cutting edge, problem-solving technologies.

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In addition, as for the above technology areas, when proposing an R&D subject from the

transverse viewpoint common to multiple technology areas other than subjects in a single technology area, apply for the invitation in a technology area considered to have the highest degree of contribution among the above technology areas A through G.

Furthermore, R&D proposals from the viewpoint concerning the traverse technology areas (“Basic technology for manufacturing and raw material process,” “Structuralization and functionalization in nano and meso scales,” “Creation of new substance materials and element control,” “Substance and material simulation technology,” “Proposals of new principle and theory” in the Structural Diagram), such as those described in the following “Examples of technology areas from elements to system in each technology area,” (“Structural Diagram of Technology Area to be Publicly Invited” and “Interrelated Map of R&D Subjects for Structuralization in Technology Area to be Publicly Invited,” hereafter “Structural Diagram”) (Fig. 2) are also invited. Moreover, since the individual R&D subjects described in the Structural Diagram are only examples, proposals same as those are not necessarily required.

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Figure 2. Examples of research areas from elements to system in each technology area

Source：JST Low Carbon Society Strategy Center (http://www.jst.go.jp/lcs/en/activity/result/22-year.html)

Mapping out the themes of the four technologies and five research fields

Organization structure of the four technologies and five research fields eligible under the program

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The following R&D proposals are not invited as ALCA.

・ Those corresponding to Strategy 5 (Research concerning highly accurate estimation of effects brought by environmental change associated with climate change and effective measures against their effects (adaptation measures)) of a low carbon society Creation R&D Strategy by MEXT

・ Those corresponding to Strategy 6 (Systematic observation for continuously identifying global environment) of a low carbon society Creation R&D Strategy by MEXT

・ Those concerning nuclear power generation and nuclear fusion ・ Those concerning underground or under-seabed burying of CO2 ・ Those for the purpose of useful resource development existing in underground,

seawater and seabed ・ Those for the main purpose of forming a research and education hub or bringing up

young researchers even if the R&D subject is included in the above technology area ・ Those as an assembly of multiple subjects for the purpose of forming researcher

community itself even if the R&D subject is included in the above technology area ・ Those non-scientific, such as perpetual-motion machine

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Supplement: the ways to unlock the technological bottolenecks in reducing costs

The Center for Low Carbon Society Strategy (LCS) is an independent administrative

institution of the Japan Science and Technology Agency (JST). According to our analysis of low carbon technologies using evaluation platforms, production costs of solar power generation systems should fall from the current 163 yen/W to 97 yen/W (11 yen/kWH) to 97 yen/W (11 yen/kWh) by 2020, and to 57 yen (5 yen/kWh) by 2030 (Figure 3). We have identified the technological bottlenecks in reducing costs and have placed in hierarchical order the research themes for solving these issues. This has enabled us to develop a scientific and technological roadmap that clarifies objectives and milestones (Figure 4). In order to unblock various technological bottlenecks, researchers need to refer to the hierarchical and chronological order of research themes to clarify their objectives.

Figure 1 shows that improving existing technologies will enable production costs of all solar power systems to fall below 100 yen/W (solid line). However, further cost reductions will be difficult to achieve merely by improving existing technologies. With regards to crystal silicon and compound silicon (CIGS, etc.) solar cells, productivity has improved to the extent that mass production has become feasible. The cost of raw materials, however, remains a major bottleneck. Cost reductions call for high-efficiency technologies that allow for the use of fewer materials. Focusing on the list of important technologies will lead to the development of new solar power systems to help realize even greater cost reductions by 2030.

Specifically speaking, high efficiency generation will be difficult to achieve with

single-crystalline silicon solar cells. In order to reduce the necessary amount of the main material, silicon, the material yield at each production stage must be increased. To achieve production costs of 5 yen/kWh, we must aim for a module conversion efficiency of 23% and improve material yield, especially by reducing wafer thickness plus kerf loss in the wafer slicing stage to less than 100μm. In principle, compound silicon solar cells have room for improved efficiency, and the development of high-efficiency technologies that take into account resource-saving and safety restrictions could effectively reduce costs. Production technologies for developing crystalline silicon-based thin film tandem solar cells with a module conversion efficiency of over 30% will enable cost reductions to less than 5 yen/kWh. In both cases, the solar cell module must have a service life of over 30 years.

With regards to organic thin-film and III-V type solar cells, which are still not so popular, productivity as well as cost reductions of raw materials must be taken into account. For new organic thin film solar cells such as perovskite solar cells, the costs of the manufacturing the main materials are not so great. What is essential then is the development of high efficiency materials (with a module conversion efficiency of over 25%) having a service life of over 20 years. With regards to III-V and other highly efficient materials, it is necessary to develop technologies that improve both productivity (100-fold increase in film production speed) and allow for less use of raw materials. Advanced film producing technologies should also take into consideration the thickness and yield of the finished product. Proposals for breakthrough technologies must clearly stipulate the principles and methods that will lead to realizing a target production cost of less than 5 yen/kWh by 2030.

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References: Proposals for Innovation Policy Making Based on Quantitative Technological, Economic and Social Scenarios for the Realization of a Low Carbon Society（http://www.jst.go.jp/lcs/documents/publishes/）

Figure 3. Future prospects of production costs of solar power generation systems

(Source：JST Low Carbon Society Strategy Center)

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Figure4. Science and technology roadmap for solar cell (Source：JST Low Carbon Society

Strategy Center)

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2. Eligibility requirements for applicants (1) Eligible applicants 1) The applicant shall be a researcher who can promote the R&D project concerned as an

R&D Director in the most appropriate implementation system based on his own R&D concept, and under the best implementation system.

In addition, note that multiple applications by replacement of the R&D Director with a member of the R&D Team are not permissible.

2) The applicant shall be able to implement the research and development while belonging*2 to a domestic research institution.*1 *1 “Domestic research institution”: Institute implementing research and development

among university having juridical personality domestically, incorporated administrative agency, national and public research institution, privileged juridical person, public service corporation, enterprise, etc.

*2 One of the following can apply: ・ Researcher with foreign nationality belonging to a domestic research institution. ・ Researcher who does not currently belong to any particular research institution,

but, when adopted by ALCA, can belong to a domestic research institution to accept a system to implement research and development in that research institution.

・ Researcher who is a Japanese currently living overseas and when adopted by ALCA can belong to a domestic research institution to accept a system to implement research and development in that research institution.

<Note>

A team leader, who reaches the mandatory retirement age during the implementation period of the R&D project, is asked to fill [Special Remarks] in the Proposal Form with a view or plan regarding the R&D implementation framework after retirement. The finalist may be asked during the screening interview to describe the specific framework in detail. Note also that the finalist may be asked at the time of the screening interview to submit, if possible, a written consent signed by the head of the institution of affiliation (or affiliation is planned) and stating the guarantee of the person’s status in the institution. (Here, the “head of the institution of affiliation” shall be understood as the president, chief director, or the like but not as the head of a so-called subordinate organization, such as division director, department chair, center director, or the like.)

3) Applicants shall be researchers who do not violate the restriction of qualification for application relating to inappropriate accounting.

(2) Limitation on multiple applications for JST project

As for this invitation for proposals, the following limitations about multiple applications have been decided in the JST Strategic Creation Research Promotion Project. 1) Multiple applications to the public invitation of ALCA in FY 2014 are prohibited. 2) Multiple applications to the public invitation of Strategic Creation Research Promotion

Project (CREST and Sakigake) in FY 2014 are possible; a proposal to any one of ALCA, CREST and Sakigake is accepted.

3) When the multiple number of applicants participate in the research project etc.

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throughout all the competitive grant programs operated by JST, adjustments, such as reduction of research cost and selection of only one research project to be implemented by the researcher concerned may be performed (excluding the case that the research period of the research subjects adopted in FY 2013 or earlier will end within FY 2014). Those to be subjected to the adjustment are not only the proposer himself but also participants in the research studies.

3. Period and budget size of R&D projects (1) Period of R&D project

The initial period of a proposed R&D project shall be in five years. The R&D project shall be allowed to continue until the end of the final fiscal year of the proposed period (e.g., a five-year period R&D project shall be allowed to continue until the end of March 2020).

JST shall determine the actual R&D period of each selected R&D project through the deliberation by the Promotion Committee on the basis of the content and period of the proposed R&D project. The determined period shall be stated in the R&D plan. At a certain stage of the R&D project, the Promotion Committee may evaluate its progress, and the R&D period may be changed.

At the time the initially set R&D period ends, the Promotion Committee shall evaluate the results of the R&D project. If it is determined that the R&D project deserves to continue further, the R&D Director shall be allowed to develop a new R&D plan according to which the applicant can continue the R&D project. The maximum total R&D period approved by ALCA is 10 years.

(2) Size of R&D budget The upper limit of the total budget of an R&D project shall be 150 million for 5 years

during the R&D period. The average R&D budget per year shall be about 30 million yen (excluding indirect costs). However, the upper limit of the budget for the first year (2014) shall be about 20 million yen (excluding indirect costs).

R&D budget*

Total of 150 million yen or less (about 30 million yen per year)

However, the upper limit of the 1st year shall be 20 million yen

[Supplement] The actual R&D budget size may be greater than stated above depending on the outcome of the Stage Gate Review or the progress in the R&D project.

* Indirect costs shall be budgeted separately from R&D expenses. JST shall determine the actual R&D budget size for each R&D project through

deliberation by the Promotion Committee, while referring to the content and period of the proposed R&D project. The determined amount shall be stated in the R&D plan. The annual amount of R&D budget shall be based on the research and development plan, and shall be determined individually depending on the progress in the R&D project and the size of yearly budget.

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(3) Implementation framework for R&D project An R&D project shall be implemented mainly by an R&D Group consisting of the R&D

Director and the members belonging to a research institution to which the R&D Director belongs. A Support Group consisting of researchers belonging to research institutions, such as laboratories, universities, and enterprises, different from that of the R&D Group may be organized under the direction of the R&D Director in the following cases where the Support Group is necessary to achieve the target of the R&D project, the content and progress of the R&D project necessitates the Support Group, or the R&D project is difficult without integration of interdisciplinary expertise or of researchers and engineers with diverse backgrounds Fig. 5). As a rule, a Support Group shall belong to a domestic research institution unless the R&D project is difficult to carry out without the participation of an overseas research institution.

Any Support Group that may be organized shall be evaluated strictly by the Promotion Committee for its necessity and appropriateness.

Figure 5．Implementation framework for R&D project (Technology areas A through G)

(4) Planned number of proposals to be adopted The planned number of proposals to be adopted in FY 2014 is about 10 in the entire

technology areas A through G. This may, however, vary depending on the application situation and the scale of each R&D project.

(5) Eligible research expenses for R&D projects The budget for the R&D project shall cover the following eligible expenses (direct costs)

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As a rule, the total amount of indirect costs shall not exceed an amount corresponding to

30% of that of the direct costs. The indirect costs shall be used to help improve the R&D environment of the R&D project members and to help enhance the overall function of the institution to which they belong.

a. The following are eligible direct costs incurred in implementing the R&D project

concerned: 1) Cost of goods and supplies: Purchasing new facilities, equipment, consumables, etc. 2) Travel expenses incurred by R&D Director and other members, and other expenses,

such as travel expenses for visitors directly necessary to carry out that R&D project. 3) Salary, gratuities and honoraria, etc.:

Personnel expenses for fixed-term, full-time employees (researchers, technicians, et al.) to be newly employed on an annual salary basis for the purpose of implementing the R&D project, labor costs for fixed-term and hourly-paid employees (technicians, research assistants, et al.) for performing data organization and other functions; and gratuities and honoraria for guest lecturers, etc.

4) Others: In addition to the above, cost necessary for implementing the R&D project. Publication costs for R&D results (paper submission fees, printing costs, etc.),

equipment lease costs, transport costs, etc. Specific definitions of costs shall be as per the rules and regulations of the R&D grant

recipient institution. b. Costs incurred in association with Science and Technology Outreach activities are

eligible as direct costs. c. The following cost items are ineligible as R&D costs (direct costs):

1) Costs not matching the purpose of the R&D project concerned. 2) Costs to be accounted for as indirect costs. 3) Personnel expenses of the R&D Director and the Main Research Collaborator of the

Support Group. Note: JST requests research institutions to ensure flexible and efficient use of the research grant. Because the grant is state-funded, some rules and guidelines for some expenses are contained in the commissioned research contract with JST and the clerical procedural manual issued by JST to help each research institution to ensure proper management of the research grant.

Reference Documents relating to ALCA Commissioned Research Contract http://www.jst.go.jp/kisoken/contract/top2.html

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4. Screening policy (1) Flow of the screening process

1) Formal examination

Submitted proposals shall be examined for eligibility. Failure to meet the eligibility requirements shall result in immediate exclusion from the screening process.

2) Documentary screening The Subcommittees examine the submitted proposal documents and select

proposals to be subjected to screening interview.

3) Screening interview Each Subcommittee conducts screening interviews. Applicants themselves should

attend the screening interview in person. Note that, as a rule, the applicants will be interviewed in Japanese. Applicants unable to be understood well in Japanese may take an interview in English.

4) Final screening The Promotion Committee conducts screening of finalist proposals based on the

results of the document- and interview-based screenings in Subcommittee.

5) Adoption of R&D projects JST determines the adoption of the R&D projects based on the selection results of

the finalist proposals. The whole screening process shall be performed behind closed doors. Those involved in the

screening process shall never leak any information obtained in the course of the process to any third party and shall control the information with due care of prudent managers to ensure confidentiality. Finally, it should be noted that no inquiries regarding progress in the screening process shall be accepted at all.

(2) Screening criteria The screening criteria for prior evaluation are as follows:

1) The proposal is consistent with the purpose of ALCA. 2) The proposal is consistent with the purpose for the relevant technology area. 3) The proposal has high feasibility of creation and practical application of technologies

enabling contributing to significant reductions in greenhouse effect gas emissions. 4) The target and plan of the R&D project are appropriate. 5) The proposed R&D project is appropriate in terms of implementation system, budget,

and implementation scale.

The applicant is required to demonstrate that the proposal is based on solid scientific principles. The applicant must provide some data that serve as a basis for the proposal and prove that the proposal is not groundless.

(3) Screening without potential conflicts of interest

Those with potential conflicts of interest shall be excluded from the screening process of the applicants.Those with potential conflicts of interest are in any of the following relationships with the applicant: ▪ Family members or relatives of the applicant ▪ Members of the same department, laboratory, etc., of a research institution, such as a university and a national institute, or the same company, as the applicant

▪ Close joint research project partners of the applicant (More specifically, those deemed as members of the same research group as the applicant or the like, including joint project partners, co-authors of joint research papers,

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research staff with the same purpose, and researchers partially involved in the R&D project proposed by the applicant or the like.)

▪ Those in a close mentor-apprentice or direct employer-employee relationship with the applicant

▪ R&D project proposers in direct competition with the applicant, and ▪ Those determined by JST as having potential conflicts of interest Finally, members of Subcommittees cannot apply to the Subcommittee

(technology area in charge) to which they participate.

(4) Notification of screening review result 1) All applicants that have submitted a proposal shall be notified of the results of documentary screening. Applicants who passed the documentary screening shall be informed of the procedures, schedule, and other specifics of the screening interview. Even if the formal examination has found a submitted proposal to be formally incomplete, the applicant shall be notified to that effect.

2) All applicants who had a screening interview shall be notified of the results as soon as the list of selected proposals is complete. At the same time, the titles and outlines of the adopted R&D projects and the names and institutional affiliation of the R&D Director shall be announced on the website, etc.

3) Applicants whose proposals were screened out will be notified of this fact, and of the reasons they were screened out. The fact of their application and the contents of their proposals shall never be disclosed to anyone other than the applicants.

(5) Main schedule leading up to the start of R&D projects Call for proposals starts Tuesday, April 1 Deadline for proposal

applications (Deadline for acceptance by

e-Rad)

Wednesday, May 28 12 AM (Noon) (No delay allowed)

Documentary screening period Early June to late June Notification of documentary

screening results Early July to mid July

Screening interview period Mid July to mid- August Notification and publication of

adopted projects Late August

R&D projects start October and after *All the dates above are for the FY 2014. *All the schedules after documentary screening period are provisional and may be subject to change.

*The screening interview schedule will be made available from the ALCA website as soon as it is fixed

Reference Website of Advanced Low Carbon Technology Research and Development Program (ALCA)

http://www.jst.go.jp/alca/

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5. Responsibilities after being adopted (1) Responsibilities of R&D Director

1) Promotion and management of R&D

a. An R&D Director shall be responsible for the management of the R&D planning, its promotion, and the entire R&D groups or, when support groups are organized, both the groups (hereafter “R&D team”).

b. The R&D shall be promoted according to the policy of R&D clarified by the Program Officer (PO).

c. Various documents, such as the R&D reports to JST should be submitted without delay.

d. The team leader is asked to appropriately deal with the Stage Gate Review, the R&D evaluation of ALCA projects, the investigation of accounting by JST, the audit to be irregularly performed by government, etc.

e. The team leader should follow the commissioned research contract between JST and the research organization and various provisions stipulated by JST.

2) Management of R&D expense

The team leader shall, jointly with the affiliated research institution, ensure proper management of the R&D budget allocated to the entire R&D Team (expenditure planning, its implementation, etc.).

3) Management of R&D team members

a. The R&D Director shall pay due attention to the research/work environment and conditions of the R&D Team staff, and particularly researchers or the like employed using this R&D grant.

b. JST follows the intent of the “Basic Policy on Promotion of Diversification of Career Paths for Young Postdoctoral Researchers Employed with Public Research Funds from the MEXT” (Council for Science and Technology’s Committee on Human Resources, Dec. 20, 2011), and recommends the R&D Director and the main co-researcher to make active efforts to provide diverse career path opportunities at home and abroad for young postdoctoral researchers employed with public research funds. At the screening interview, the action plan for promoting diversification of career paths for young postdoctoral researchers employed with public research funds is reviewed. In addition, the status of making efforts to provide the above opportunities and the course etc. of young postdoctoral researchers after ending the term of research shall be evaluated in the Stage Gate Review and the post evaluation.

4) Handling of R&D achievements

a. Positive publications of achievements domestically and overseas are recommended. However, since the R&D project is performed at the national budget, the acquisition of intellectual property right should be sufficiently taken into consideration prior to start the project.

b. Patents for intellectual property right should be applied from the affiliated organization based on the commissioned research contract as a rule.

c. Whenever any achievement obtained by the ALCA is published as research papers

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or presented in a scientific society, always clearly describe that the achievement belongs to the Advanced Low Carbon Technology Research and Development Program (ALCA).

d. The team leader shall participate with the R&D Team staff in JST-sponsored workshops and symposia at home and abroad to make presentation of the R&D achievements.

e. The team leader should positively attend liaison meetings between the R&D projects relating to JST and provide information obtained there to a possible extent.

5) Providing various information

a. JST provides necessary information, including R&D project name, R&D Team members, R&D expenses, and so forth, to the Cross-Ministerial R&D Management System (e-Rad) and the Government Research and Development Database. The R&D Director or the like may be asked to provide such information.

b. Please deal with the provision of a variety of information, the interview, etc. at the time of follow-up evaluation performed after a certain period elapsed from the end of R&D.

6) Scientific and technical dialogue with the nation

Positive approach scientific and technical dialogue with the nation is recommended to obtain understanding and support of science and technology.

[Supplement]

Responsibilities of the group leader and the members of the element technology group should follow the above.

(2) Responsibilities of research institution

The responsibilities of a research institution (a research institution to which an R&D Director promoting an adopted R&D project belongs; when organizing a support group, including its research institution) are as shown below. Proper arrangements, including prior explanation to related organizations and acquisition of prior permission thereof, shall be made prior to application, as needed.

1) Management of R&D grant

As a rule, the R&D grant shall be expended exclusively for the commissioned research project in accordance with the commissioned research contract. Hence, the research institution shall assume the responsibility of R&D grant management in accordance with the principle stipulated in the “Guidelines for Managing and Auditing Public Research Funds at Research Institutes (Implementation Guidelines)” (MEXT Minister’s Decision, Feb. 15, 2007) (hereinafter “Guidelines”), which states that “proper management of competitive grants shall be at the responsibility of the research institution.”

The research institution shall, in accordance with the Guidelines, establish a management and audit system for commissioned research funds, submit a progress status report concerning the implementation of such a system to the MEXT, and cooperate in an on-site inspection regarding the establishment of such a system. As a rule, articles or the like purchased using the R&D grant shall belong to the research institution (except when the research institution is privately run; then, such articles or the like shall belong to JST in

32

accordance with the contract).

2) Cooperation concerning procedures for concluding commissioned research contract The research institution shall cooperate in procedures for smoothly concluding

commissioned research contract to promote effective R&D. When the commissioned research contract cannot be concluded, the research institution may not be able to implement the R&D.

3) Proper accounting and dealing with investigation With making sure flexible and efficient use of the R&D grant, the research institution shall

ensure proper accounting in accordance with the commissioned research contract and “Guide to Commissioned Research Contract Administration Procedures” defined by JST. The research institution shall submit required reports or the like to JST and cooperate in JST-accounting investigation and government audit.

4) Article 19 of the Industrial Technology Enhancement Act (Japanese version of the Bayh-Dole Act) Whenever the research institution files for patent protection and/or registration of

establishment of intellectual property rights that belong to it under Article 19 of the Industrial Technology Enhancement Act (Japanese version of the Bayh-Dole Act), the research institution shall present a report to that effect to JST in accordance with the commissioned research contract. If such intellectual property rights are transferred or exclusively licensed to any third party or otherwise disposed of, prior approval and consent of JST shall be required.

5) Belonging of intellectual property rights

The research institution shall conclude with each researcher or the like to be involved in the research project concerned a contract stating that any intellectual property rights resulting from the commissioned research project shall belong to the research institution. Alternatively, the research institution shall establish institutional regulations to that effect.

6) Review concerning eligibility of commission and method of commissioning Prior to the conclusion of a commissioned research contract with an applicant

profit-making organization or the like (private enterprise or research institution designated by JST), JST shall hire a rating agency or the like to conduct a review to determine the eligibility of the applicant organization for contracting and the method of commissioning the project. Depending on the outcome of this review, JST may specify the method of contracting out. If determined to be extremely financially unstable or otherwise ineligible, the applicant research institution may not be allowed to implement the R&D project as planned. In this case, the research institution shall be asked to take appropriate corrective actions including reviewing the R&D implementation framework. In case of the failure to cooperate with the JST-designated rating agency or the like, the applicant research institution shall be ineligible for the research contract

33

6. Procedures for filling Technology Area (A through G) Proposal (form) Create a proposal according to the procedures for filling shown in the following pages.

34

Category4

(ALCA - cover)

Proposal for FY 2014 ALCA R&D Project（A～G） R&D project name (Approx. 20 characters)

Name of R&D Director

Affiliation/Dept./Position

Researcher ID (Enter the 8-digit Researcher ID issued at the time of researcher data registration to e-Rad.)

Summary of R&D project

Summarize the “Outline of Proposed R&D Project” (ALCA - Form 1) in approximately 400 words.

Technology area (Select one that

applies.)

A Solar cell and solar energy-based system B Superconducting system C Power storage device D Heat resistant materials and high performance recycled steel materials E Biotechnology F Innovative energy-saving and -producing chemical processes G Innovative energy-saving and -producing systems and devices

R&D period Initial From Oct. 2014 to Mar. 2020 (5.5 years)

Max. ( years)

R&D budget size ¥ thousand for year 1 (Do not put a decimal point.)

Total R&D budget: ¥ thousand

(Do not put a decimal point.)

(Continues to next page)

35

(Continued from previous page)

• R&D period The initial intended R&D period necessary to achieve the goal of the R&D project shall be five (5) years. The final year

of the R&D period shall be construed as continuing up to the fiscal year end. (For example, a five-year R&D period shall be understood to continue until the end of March 2020.) Depending on the evaluation(s) and other factors during the R&D period, the R&D project may be extended for up to ten (10) years (until the end of March 2025). Write in the lower box the maximum period required to solve challenges.

• R&D budget size Write in the left box the total R&D budget for the first year of the R&D period, and in the right box the total R&D budget for the R&D period. The upper limit on the total R&D budget for a maximum period of five years shall be ¥150 million. As a rule, an R&D project shall have an approximate annual budget of ¥30 million for each year during its period (excluding indirect costs). Note, however, that the annual budget for the first year (FY 2014) shall not exceed ¥20 million (excluding indirect costs).

36

（ALCA - FORM1）

1. Outline of Proposed R&D Project

(1) Prospects for practical application (approx. 10 years) after the R&D period

(2) Challenges to be worked on over next approximate 10 years

(3) Current R&D targets

(4) Current R&D plan and approach

(Continues to next page)

To achieve “(1) Prospects for practical application (approx. 10 years) after the R&D period,” • What challenges should be overcome? • Which of such challenge(s) will be worked on in this proposed project? • Is/are the challenge(s) a new and original initiative(s) of the applicant? Or, is/are they based on an

existing one(s)? • Where do(es) the challenge(s) need a breakthrough(s) for its/their solution? What approach will be

taken for the challenge(s)? To what extent will the challenge(s) be worked on? • What is/are the current obstacle(s) to the solution of the challenge(s)?

• Describe the project to be undertaken clearly enough for evaluators to understand. Graphics and tables may be included as necessary.

• Form 1 must not exceed six (6) A4 pages. • Be aware that the e-Rad system cannot accept files over 5MB.

Assuming that R&D challenges are solved, describe the technology expected to become available. Provides a currently foreseeable scenario for how that technology could help reduce greenhouse gas emissions when it was introduced into society.

• State specific targets to be achieved to overcome “(2) Challenges to be worked on over next approx. 10 years,” by the end of the initial intended R&D period (five years).

• Outline the current time schedule with R&D milestones (criteria and timings for R&D progress evaluation) that show your vision and plan specifically and how to attain the targets.

To achieve “(3) Current R&D targets” and the milestone, define the R&D scope and plan for the initial intended R&D period. • The R&D scope and plan must include detailed methods and processes for achieving targets and

milestones, and any anticipated problems and solutions. • Such specifics can be given separately for each research item. • Describe your strategy for conducting research with a view to acquisition (patent application,

licensing, and protection) of intellectual property rights foreseeable at this stage of the proposed R&D project. Describe relevant intellectual property rights already obtained (if any).

37

（ALCA - FORM1(continued)）

(Continued from previous page)

(5) Background and advantages of the proposed R&D project

(6) Positioning on multi-scale levels and in Structured Charts

(7) Foundation and readiness for implementing R&D project

To show the importance and necessity of the proposed R&D project, describe the scientific and technological needs (as well as any social, economic, and industrial needs to be mentioned) it can meet; recent developments in the relevant and related fields at home and abroad; and its advantages over other technologies currently and expected to be available in the next approximate 10 years (and factors that may, if any, trade off with such advantages).

Give specific descriptions of the following items that provide the foundation for promoting the proposed R&D project: • Applicant’s relevant research projects and achievements in the past (and those of another that may

participate in the R&D project as required) • Any other preliminary findings and data (if any)

ALCA-funded R&D projects are expected to produce results that can make bulk properties, such as size and area, available. Accordingly, clarify where the R&D theme is positioned on multi-scale levels ranging from atomic and molecular scales via nano- and mesoscales up to the bulk scale; and outline the scenario for making such bulk scale properties available.

38

（ALCA - FORM2-1）

2-1 Implementation framework (i) for R&D project (Organizational composition of R&D Group)

R&D Group

(Example)

Research institution Department of XX, Graduate School of YY, ZZ University

R&D participants from the research institution

Name Name Name

(R&D Director→) John Doe John Doe John Doe

Jane Roe Jane Roe

John Roe John Roe

○ Notes

○ R&D items and overview

• R&D items

• R&D overview

• Role in proposed R&D project

Briefly outline the research items that the R&D Group will be in charge of.

• “Effort” is the percentage (%) of the total hours worked by the researcher for carrying out the research project to the annual total hours worked (100%) (including hours spent on teaching, medical, and other activities as well as research activities)

• Carefully consider the role and functions played by each R&D Group member. • Any prospective members whose participation may be unclear at the time of application may be

indicated as, e.g., research associates with their expected number. • Add rows for additional R&D participants as necessary.

• When special duties (managerial positions, such as dean of graduate school, chairperson of an academic society, etc.) take up a substantial portion of working hours (effort), explain the situation and reason.

• List the R&D participants working at the same institution as the R&D Director. • If R&D participants belonging to the same institution as the R&D Director will participate with research items and an overview clearly different from those of the R&D Group, they may be listed as Support Group members in the “Implementation framework (ii) for R&D project” (ALCA - Form 2-2).

Describe the role and functions played by the R&D Director to realize the intent of the proposed R&D project.

39

（ALCA - FORM2-2）

2-2 Implementation framework (ii) for R&D project (Organizational composition of R&D Support Group)

Support Group (1) (Example)

Research institution name of Support

Group XX Laboratory, YY Institute (Institution code1))

R&D participants from the research institution

Name

R&D participants from the research institution

Name

(Main Research Collaborator→)

John Doe (Researcher ID2))

(Main Research Collaborator→)

Jane Roe

- 3)

○ R&D items and overview

• R&D items • R&D overview

• Role and necessity in proposed R&D project

(Continues to next page)

Briefly outline the R&D items that the Support Group will be in charge of.

• List and sort by institution all researchers joining from R&D institutions (joint research institutions) other than the R&D Director’s affiliated one.

• A Support Group can be selected from various industrial, academic, and governmental research institutions.

• There is no specific restriction on the number of Support Groups, but be sure to organize an R&D Team optimal and necessary for implementing the proposed R&D project. If the R&D Director does not play the central role, or if the roles and positions assigned to a Support Groups are unclear, the R&D Team shall be deemed as inappropriately organized.

• Inclusion of a Support Group(s) in the R&D Team is optional for the R&D Group.

Describe the reason why this Support Group is necessary to realize the intent of the proposed R&D project, the role assigned to the Support Group (including, e.g., functions in relation to R&D Director, R&D Group, etc.), and so forth.

1) The Main Research Collaborator shall fill in the e-Rad institution code of the affiliated institution. 2) The Main Research Collaborator shall fill in the researcher ID number of Grant-in-Aid for

Scientific Research. Otherwise, the 8-digit researcher ID number issued at the time of researcher information registration to e-Rad shall be filled in.

3) Add or delete rows for R&D participants as necessary.

40

（ALCA - FORM2-2(continued)）

(Continued from previous page)

Support Group (2) (Example)

Research institution name of Support

Group YY Laboratory, XX Institute (Institution code1))

R&D participants from the research institution

Name

R&D participants from the research institution

Name

(Main Research Collaborator→)

John Doe (Researcher ID2))

Jane Roe

- 3)

○ R&D items and overview

• R&D items • R&D overview

• Role and necessity in proposed R&D project

○Changes to implementation framework for R&D project due to progress in R&D

project

1) The Main Research Collaborator shall fill in the e-Rad institution code of the affiliated institution. 2) The Main Research Collaborator shall fill in the researcher ID number of Grant-in-Aid for

Scientific Research. Otherwise, the 8-digit researcher ID number issued at the time of researcher information registration to e-Rad shall be filled in.

3) Add or delete rows for R&D participants to the table as required.

Briefly outline the R&D items that the Support Group will be in charge of.

Describe the reason why this Support Group is necessary to achieve the intent of the proposed R&D project, the role assigned to the Support Group (including, e.g., functions in relation to R&D Director, R&D Group, etc.), and so forth.

Assuming that the Project Stage progresses smoothly, necessitating the reinforcement of the initial R&D Team with a new Support Group, etc., describe the area and subtheme to be assigned to the reinforcement members, the timing of the reinforcement, etc. (No names of candidates have to be mentioned here).

41

（ALCA - FORM3）

3. R&D Budget Plan

(Example) ○ Planned R&D budget by expense type (of entire R&D Team) [Unit: ¥1 thousand]

○ Notes

(Continues to next page)

Year 1

(Oct. 2014 to Mar. 2015)

Year 2 (Apr. 2015 to

Mar. 2016)

Year 3 (Apr. 2016 to

Mar. 2017)

Year 4 (Apr. 2017 to

Mar. 2018)

Year 5 (Apr. 2018 to

Mar. 2019)

Final year (Apr. 2019 to

Mar. 2020) Total

Equipment 10,000 15,000 15,000 5,000 5,000 0 50,000

Materials and

consumables 2,000 5,000 5,000 5,000 5,000 3,000 25,000

Travel 2,000 3,000 3,000 3,000 3,000 1,000 15,000

Compensation

and honoraria

(No. of research

staff members)

5,000 （2）

10,000 （3）

10,000 （3）

10,000 （3）

10,000 （3）

10,000 （3）

55,000

Miscellaneous 1,000 1,000 1,000 1,000 1,000 0 5,000

Total 20,000 34,000 34,000 24,000 24,000 14,000 150,000

• Provide a year-on-year R&D budget estimate of the whole R&D Team for the initial R&D project period by expense type. Also, provide another year-on-year R&D budget estimate by Group

• Submit a more detailed R&D budget plan if allowed to proceed to the interview stage of the screening. • An approved R&D budget may be subject to revision during the R&D period, depending on such factors as the overall

ALCA budget situation, management by the Program Operator (PO), the stage gate evaluation results, etc. • Be sure to organize an R&D Project Team sufficiently and optimally to achieve the proposed R&D project. If a Support

Group is organized, its necessity, share of budget allocation, cost-effectiveness, etc., shall also be important aspects to be evaluated in the screening process.

• Delete “Year” columns from the table as appropriate for the proposed R&D period.

R&D expenses are itemized as follows: • Equipment: Expenses for purchasing equipment • Materials and supplies: Expenses for purchasing materials and consumables • Travel: Travel expenses for R&D Director and other participants • Compensation and honoraria: Compensation for researchers, technicians, research assistants, et al., and

other honoraria • (Number of research staff members): Planned number of researchers, technicians, and research assistants

to be paid from R&D expenses • Miscellaneous: Expenses other than the above (expenses for research results presentations, equipment

lease expenses, transportation expenses, etc.)

• Optimize the size and proportion of budget for each expense item. If equipment expenses or compensation exceeds 50% of the total R&D budget, or if materials and consumables expenses or travel expenses exceed 30% of the total R&D budget, provide here justification for that. • If R&D expenses exceed ¥100 million in any fiscal year, provide here the reason for the need of a large amount of R&D expenses.

42

(ALCA - Form 3(continued))

(Continued from previous page)

○ Planned R&D budget by Group (Example)

(Unit: ¥ 1 thousand)

○ Principal equipment to be used (name and location of equipment) (Examples)

AAAAAA XX University BBBBBB XY University CCCCCC XZ University DDDDD Research Institute of YY EEEEEE YZ University(Eqt. at Research Infrastructure Network Hub)

○ Principal equipment to be purchased (¥5,000 thousand/pc or more, name and approx. price of eqt.) (Examples) FFFFFF ¥15,000 thousand

GGGGGG ¥5,000 thousand HHHHHH ¥10,000 thousand IIIIIII ¥5,000 thousand JJJJJJ ¥10,000 thousand KKKKKK ¥5,000 thousand

Institution

Year 1 (Oct. 2014 to

Mar. 2015)

Year 2 (Apr. 2015 to

Mar. 2016)

Year 3 (Apr. 2016 to

Mar. 2017)

Year 4 (Apr. 2017 to

Mar. 2018)

Year 5 (Apr. 2018 to

Mar. 2019)

Final year (Apr. 2019 to

Mar. 2020) Total

R&D Group 10,000 20,000 20,000 15,000 15,000 6,000 86,000

Support Group(1) 5,000 7,000 7,000 5,000 4,000 3,000 31,000

Support Group(2) 5,000 7,000 7,000 4,000 5,000 5,000 33,000

Total 20,000 34,000 34,000 24,000 24,000 14,000 150,000

• Whether the R&D budget is appropriately planned with consideration of R&D cost-effectiveness to achieve the proposed R&D project and whether an appropriate share of budget is allocated to each Support Group shall also be important aspects to be evaluated in the screening process.

43

（ALCA - FORM4）

4. List of publications (of R&D Director)

○ Main publications

Authors (and all co-authors), published paper titles, and titles of journals carrying the

papers (volumes and numbers, pages, and years of publication)

○ Other publications Authors (and all co-authors), published paper titles, and titles of journals carrying the

papers (volumes and numbers, pages, and years of publication)

Select and list in reversed chronological order the most important recent publications of the R&D

Director, such as books and papers contributed to journals, etc., which are considered to be relevant to

the proposed project. The list preferably should fit in one A4 sheet. The information to be provided

regarding each publication is as shown above. List these information items in no particular order.

Add additional related publications (if any) of the R&D Director, which would help better understand

the proposed project. The information to be provided regarding each publication is as shown above.

List these information items in no particular order.

44

（ALCA - FORM5）

5. List of publications (of Main Research Collaborator)

Authors (and all co-authors), published paper titles, and titles of journals carrying the

papers (volumes and numbers, pages, and years of publication)

Select and list in reversed chronological order the most important recent publications of each Main

Research Collaborator, such as books and papers contributed to journals, etc., which are considered

to be relevant to the proposed project. Each list preferably should fit in one A4 sheet. The information

to be provided regarding each publication is as shown above. List these information items in no

particular order.

45

（ALCA - FORM6）

6. Patent lists (of R&D Director and Main Research

Collaborator)

○ Main patents Application number/inventor/title of invention/applicant/filing date

• R&D Director

• Main Research Collaborator

Select and list the most important patents recently applied for by each person concerned, which are

considered to be relevant to the proposed project. Each list preferably should fit in one A4 sheet. The

information to be provided regarding each patent is as shown above. List these information items in

no particular order.

46

（ALCA - FORM7）

7. List of Grants Received from Other Programs

The R&D Director and the Main Research Collaborator(s) must provide information on

any competitive research grants currently received or (to be) applied for from any national competitive grant program or any other research grant source. Tabulate below, for each program, research project title, research period, role, grant amount received/receivable by the person concerned, effort, etc. Any false, inaccurate, or incomplete information may later result in revocation of grant decision. <Notes>

• If the information contained in this form should change during the screening process of the proposed R&D project, for example, due to the approval or denial of any other grant application (to be) made, update and correct the form and contact via the Email address at the end of this volume.

(Example) Name of R&D Director (Applicant): Jane Roe

Program1

Research project title (Director’s

name)

Research period

Role2 (Director/Function)

(1) Grant received/receivable3

(whole period) (2) Ditto (received in FY 2013) (3) Ditto (receivable in FY

2014)

(4) Ditto (receivable in FY

2015)

Effort4

(%)

Grant-in-Aid for Scientific Research (S)

AAAAAAAAAA

Apr. 2011 to

Mar. 2016 Director

(1)¥100,000 thousand (2)¥25,000 thousand (3)¥25,000 thousand (4)¥5,000 thousand

20

Special Coordination Funds for Promoting Science and Technology

BBBBBBBBBBB (John Doe)

Apr. 2010 to

Mar. 2015

Function assigned

(1)¥32,000 thousand (2)¥8,000 thousand (3)¥8,000 thousand (4)¥8,000 thousand

10

AA Foundation BB Research Grant (Applied for)

CCCCCCCCCC

Apr. 2013 to

Mar. 2014 Director

(1)¥15,000 thousand (2)¥5,000 thousand (3)¥10,000 thousand (4) -

5

…5)

(Continues to next page)

1) List grants received or receivable by the person concerned in descending order of total amount (for the whole period). Then, list grants ( to be ) applied for ( and indicate each as, e.g., “ ( Applied for ) ” in the “Program” column box ).

2) Fill each “Role” column box with your position, e.g., director or any other function assigned to you. 3) Fill each “Grant received/receivable” box with an amount received/receivable by the person concerned (direct cost). 4) Assuming that your proposal is selected for this program, enter as “effort” an estimated percentage (%) of your total

hours worked for carrying out the proposed research to your annual total hours worked (100%) (including hours spent on teaching, medical, and other activities as well as research activities) [in accordance with the definition given by the CSTP].

5) Add or delete rows as necessary.

47

(ALCA - Form 7(continued))

(Continued from previous page) (Example) Main Research Collaborator’s name: John Doe

Program1 Research project

title (Director’s name)

Research

period

Role2 (Director/Func

tion)

(1)Grant received/receivable3

(whole period) (2) Ditto (received in FY 2013) (3) Ditto (receivable in

FY 2014)

(4) Ditto (receivable in

FY 2015)

Effort4 (%)

MHLW Grant-in-Aid for Scientific Research

AAAAAAAAAA

Apr. 2010

to Mar. 2015

Director

(1)¥45,000 thousand (2)¥10,000 thousand (3)¥5,000 thousand (4)¥5,000 thousand

20

…5)

(Example) Main Research Collaborator’s name: Jane Doe

Program1 Research project

title (Director’s name)

Research

period

Role2 (Director/Func

tion)

(1) Grant received/receivable3

(whole period) (2) Ditto (received in FY

2013) (3) Ditto (receivable in FY 2014)

(4) Ditto (receivable in

FY 2015)

Effort4 (%)

Grant-in-Aid for Scientific Research on Priority Areas

BBBBBBBBBBB (John Roe)

Apr. 2009

to Mar. 2015

Function assigned

(1)¥25,000 thousand (2)¥5,000 thousand (3)¥5,000 thousand (4)¥5,000 thousand

15

…5)

1) to 4) Refer to the parentheses in the previous page.

5) Add or delete rows as necessary.

48

（ALCA - FORM8）

8. Curriculum Vitae of Applicant R&D Director:

Name

Academic background

(University and higher)

(Example) 19xx: Graduated from Dept. of XX, YY University.

19yy: Completed Master’s studies in XY at Graduate School of XZ, YY

University.

(Advisor: Professor XXXX)

19zz: Completed Ph.D. studies in YZ at Graduate School of ZZ, ZX University.

(Advisor: Professor YYYY) [Required*]

19xy: Received Ph.D. in (YZ) (from ZX University).

* In order to exclude any potential conflicts of interest, state the name of the

advisor and that of the chief of the laboratory to which you belonged.

Research experience

(Main appointments and research themes)

(Example) 19xx to 19yy: Assistant professor at Dept. of XX, YY University

Engaged in research of AAAAA at Professor BB’s laboratory.

19yy to 19zz: Research associate at CC Institute

Engaged in research of DDD at Dr. EE’s laboratory.

19ZZ to 2011: Professor at FF Dept., GG University.

Engaged in research of HHH

Reference (Potential conflicts of interest shall be

mentioned.)

Give the names of at least three researchers with familiar knowledge about your research (foreign nationals are also acceptable). Give the name, institutional affiliation, and points of contact (phone number and email address) of each reference person. During the course of the screening process (ex-ante evaluation), the evaluators (Promotion Committee member, et al.) may contact them regarding the proposal. Provide information on any potential conflict of interest that may arise from the relationship between you and any of the reference persons. (For the definition of potential conflicts of interest, refer to II.5.(3) “Screening without potential conflicts of interest.”) (Examples) Jane Roe: Graduate School of Engineering, XX University

Phone: XX-XXXX-XXXX, E-mail: XXXX@XX.ac.jp

Conflict of interest: None

John Doe: YY Laboratory, ZZ Institute

Phone: XX-XXXX-XXXX, E-mail: XXXX@XX.or.jp

Conflict of interest: Joint project (NEDO) in progress

49

（ALCA - FORM9）

9. Policy on Human Right Protection and Legal and Regulatory

Compliance Describe the measures and actions to be taken for a research plan that cannot be

implemented without involving research that demands due process in accordance with applicable laws and regulations, more specifically research that requires the consent or cooperation of a counterpart, careful handling of personal information, or appropriate measures for bioethical and safety issues. Typically, such measures and actions shall be taken for an investigation, research, experiment, or the like that must undergo an approval process at intra- and extra-institutional ethics committees and the like with regard to the following: questionnaire or interview-based investigations involving the handling of personally identifiable information, use of donor samples, human gene analysis research, recombinant DNA experiments, and animal experiments. If the above is not the case, state to that effect.

10. Special Remarks

• Please freely write the reasons why you have applied for the ALCA Program, any requests concerning your R&D project, or any exceptional circumstances under which you might be in.

• If your R&D Team must invite any collaborators from a foreign institution, state the reason why the Team needs the collaborator.

• If your R&D project will take place at an institution different from your current affiliated institution, state the reason for that.

• If you have won any significant prizes, give their name here. • An R&D director, who reaches the mandatory retirement age during the implementation period

of the R&D project, is asked to fill in here the view or intention regarding the R&D implementation framework after retirement. The candidate may be asked during the screening interview to describe the specific framework in detail. Note also that the candidate may be asked at the time of the screening interview to submit, if possible, a written consent signed by the head of the institution of affiliation (or prospective affiliation) and stating the guarantee of the person’s status in the institution. The “head of the institution of affiliation” shall be understood as the president, chief director, or the like but not as the head of a so-called subordinate organization, such as division director, department chair, center director, or the like.

50

III. General Information regarding Call for Proposals’ 1. Application procedures

Application for the call for proposals shall be made through the Cross-Ministerial R&D

Management System (e-Rad). The R&D Director is required to enter the e-Rad login ID

and password.

The R&D project proposal form file is available from the e-Rad portal site and can be

downloaded after logging in. There may be heavy traffic to the e-Rad portal site

immediately before the deadline. In addition, proposal form upload may fail depending

on the PC environment used for form preparation. Complete the whole process by the

date before the deadline, unless impossible to do so.

2. Eligible research expenses for R&D projects The budget for the R&D project shall cover the following eligible expenses (direct costs):

a. The following are eligible direct costs incurred in implementing the R&D project

concerned:

1) Cost of goods and supplies: Purchasing new facilities, equipment, consumables, etc.

2) Travel expenses incurred by R&D Director and other members, and other expenses

such as travel expenses for visitors directly necessary to carry out that R&D project.

3) Salary, gratuities and honoraria, etc.:

Personnel expenses for fixed-term, full-time employees (researchers, technicians, et

al.) to be newly employed on an annual salary basis for the purpose of implementing

the R&D project, labor costs for fixed-term and hourly-paid employees (technicians,

research assistants, et al.) for performing data organization and other functions; and

gratuities and honoraria for guest lecturers, etc.

4) Others: In addition to the above, cost necessary for implementing the R&D project.

Publication costs for R&D results (paper submission fees, printing costs, etc.),

equipment lease costs, transport costs, etc.Specific definitions of costs shall be as per

the rules and regulations of the R&D grant recipient institution.

b. Costs incurred in association with Science and Technology Outreach activities are

eligible as direct costs.

c. The following cost items are ineligible as R&D costs (direct costs):

1) Costs not matching the purpose of the R&D project concerned.

2) Costs to be accounted for as indirect costs.

3) Personnel expenses of the R&D Director and the Main Research Collaborator of the

Support Group.

51

(Note) JST requests research institutions to ensure flexible and efficient use of the

research grant. Because the grant is state-funded, some rules and guidelines for some

expenses are contained in the commissioned research contract with JST and the clerical

procedural manual issued by JST to help each research institution to ensure proper

management of the research grant.

Reference Documents relating to ALCA Commissioned Research Contract

http://www.jst.go.jp/kisoken/contract/top2.html

When it is unclear whether a particular expense is appropriately considered a research

cost (direct cost), ask JST for assistance.

For certain items, JST has created rules and guidelines from sources like the contract

research agreement, administration manuals, and a common governmental expense

categorization table, and asks that these rules and guidelines be applied appropriately.

Universities and other organizations (including public research institutions operated by

the national government and independent administrative agencies, and public-service

corporations and other organizations recognized by JST) and companies (mainly

research institutions operated by private companies and other non-university

organizations) may differ in their handling of administrative matters. For more details,

please refer to the following URLs (only in Japanese).

http://www.jst.go.jp/kisoken/contract/ top2.html

*1 In hiring research staff, please give consideration to supporting the career paths of

people who have recently completed their doctoral programs. For more details, please

refer to “II.5. Responsibilities after being adopted“ and “V.1(5)Career Paths for Young

Research Staff with Doctoral Qualifications”.

*2 Considerations in Hiring Research Assistants (RAs)

・Focus on people in the latter stages of doctoral programs.

・It is recommended that annual compensation approximate 2 million yen per year, or

170,000 yen per month, so please estimate research budgets based on these figures.

・Judgments regarding the specifics of payment amounts, payment timing, etc. will be left

to research institutions. There are no requirements concerning the payment of amounts

either above or below the levels mentioned above.

・It is assumed that employment as an RA is not considered an impediment under either

the system through which the RA receives scholarship funds or for the research

institution with which he/she is affiliated. JST imposes no limits on the receipt of multiple

payments by RAs.

52

・Please refer to the guidelines on RAs in “2.3.9 Other Considerations”.

3. Indirect costs As a rule, the total amount of indirect costs shall not exceed an amount corresponding to

30% of that of the direct costs. The indirect costs shall be used to help improve the R&D

environment of the R&D project members and to help enhance the overall function of the

institution to which they belong.

4. Carryover In principle, research activities are to be pursued in accordance with annual research

plans. However, in consideration of the occasional difficulty of using the entirety of a

particular year's research budget and the waste and inappropriate accounting practices that

can emerge from unreasonable efforts to use the entirety of a particular year's research

budget, JST has adopted a simple carryover system that requires no troublesome

application and approval procedures for carrying over to the following year budgeted funds

that were not used because progress in implementing the research plan did not warrant

them. (The carryover system is for universities and other organizations that have entered

into multi-year agreements.)

5. Important notes for applicants Any violation of the guidelines given below or any other misconduct may result in

revocation of selection of a research project, discontinuation thereof, full or partial

reimbursement of the R&D grant, and the public release of that fact. Any R&D project

implemented in violation of relevant laws, regulations, or the like may result in cancellation

or termination of the R&D grant.

(1) Handling of information provided in research proposals, etc. ○ From the standpoint of maintaining the interests of the applicant, the “Act on the

Protection of Personal Information Held by Independent Administrative Agencies, etc.”,

and other standpoints, research proposals shall not be used for any purpose other than

the selection process. Confidential information regarding research proposal details shall

be strictly maintained. For details, please refer to the following website.

http://law.e-gov.go.jp/htmldata/H15/H15HO059.html

○ Handling of Information Regarding Selected Projects

Information regarding individual projects that have been selected (name of system,

53

name of research project, name of affiliated research institution, name of Research

Director, budget amount, implementation period, etc.) shall be deemed to be

“information that is scheduled to be made public” as prescribed under Article 5,

Paragraph 1, Item (a) of the “Act on Access to Information Held by Independent

Administrative Agencies” (Act No. 140 of 2001).

The name of the researcher, name of the affiliated research institution, name of the

research project, and the research project overview summary are scheduled to be

made public. In addition, the research proposals of selected applicants may be used by

the JST to promote the research after the proposal’s approval.

○ Provision of Information from the Cross-ministerial R&D Management System (e-Rad)

to the Government Research and Development Database

Various information may be provided to the Government Research and Development

Database* being developed by the Cabinet Office through the Cross-ministerial R&D

Management System (e-Rad), which is managed and operated by the Ministry of

Education, Culture, Sports, Science and Technology.

Furthermore, you may be required to provide cooperation with regard to various work

tasks and checking in order to prepare this information. Please see the following

portal site for the Cross-ministerial R&D Management System (e-Rad).

http://www.e-rad.go.jp/

(2) Unreasonable duplication and excessive concentration ○ In order to eliminate unreasonable duplication and excessive concentration, to the

extent necessary information regarding some proposals (or selected

projects/programs) may in some cases be provided through the Cross-ministerial

R&D Management System (e-Rad) to other departments in charge of competitive

funds, including other government ministries. (Furthermore, when it is required that

checks be made for duplicate project applications under other funding programs,

information may be provided in a like manner.)

54

【Measures against Unreasonable Duplication and Excessive Concentration】

(a) Measures against “Unreasonable Duplication”

In the case that a researcher is unnecessarily receiving competitive funding from multiple

sources for the same research project (name or content of research receiving competitive

funding; hereinafter the same shall apply) being undertaken by the same researcher and

any of the following applies, the researcher shall be made ineligible to apply for this

program, selection of their research project withdrawn, or their research funding reduced

(hereinafter referred to as “withdrawal of research project selection”).

1) In the case that simultaneous proposals have been submitted for multiple competitive

research funds and duplicate approval granted for essentially the same research

project (including cases in which there is a considerable degree of research content

duplication; hereinafter the same shall apply).

2) In the case that a duplicate application is made for funding of a research project that is

essentially the same as another research project that has already been selected and

has already received competitive research funding.

3) In the case that there is overlap in the intended application of research funding

between multiple research projects.

4) Other cases equivalent to the above

Although at the application stage for this program there are no limitations regarding

the submission of proposals to other competitive funding programs, etc., in the case that

a research project is selected by another competitive funding program, please report

this promptly to the JST at the contact address given at the end of this document. If

reporting is omitted, the approval decision for the research project may be revoked.

(b) Measures against “Excessive Concentration”

Even if the content of the research proposed for this program differs from the content

of research being carried out under another competitive funding program, in the case

that the overall research funding allocated to the same researcher or research group

(hereinafter referred to as “researchers”) in the relevant fiscal year exceeds an amount

that can be utilized effectively and efficiently and cannot be used within the research

period, and any of the following applies, selection of the research project under this

program may be withdrawn.

1) In the case that an excessive amount of research funding is being received in light of

the capabilities of the researchers and the research methods being used, etc.

2) In the case that an excessive amount of research funding is being received in

comparison with the amount of effort (percentage of the researchers’ overall working

55

time that is required for carrying out the said research project) being allocated to the

research project.

3) In the case that highly expensive research equipment is purchased unnecessarily.

4) Other cases equivalent to the above

For this reason, in the case that you submit proposals to other competitive funding

programs, after submitting your application for this program, and the research project

is selected by another competitive funding program, or if any information provided on

your application changes, please report this promptly to the JST at the contact

address given at the end of this document. If reporting is omitted, the approval

decision for the research project may be revoked.

(From the “Guidelines for the Appropriate Implementation of Competitive Research Funding”

(revised March 27, 2009 by mutual agreement of the Liaison Conference among Relevant

Ministries and Agencies on Competitive Funding)

○ Please note that researchers who are selected for and are conducting research and

development under the “Funding Program for Next Generation World-Leading

Researchers (NEXT Program)" may not receive research funding (excluding funding for

programs not directly aimed at research and development) from the national government

or independent administrative agencies from FY2011 until the end of the project period.

○ In the case that the researcher is receiving Grants-in-Aid for Scientific Research or other

competitive research funding operated by the national government or independent

administrative agencies, or other research grants (including funding for which applications

have been submitted), please provide information about this funding on the research

proposal in accordance with the prescribed format (CREST: Form 10; PRESTO: Form 5).

Based on information regarding the content of the research proposal and effort (research

time allocation rate), in the case that either unreasonable duplication or excessive concentration of competitive funding has occurred, the research proposal may not be

selected or selection may be withdrawn, or research funding may be reduced. Furthermore,

the research proposal may also not be selected or selection may be withdrawn, or research

funding may also be reduced in the case that the information provided on the research

This is based on the Council for Science and Technology Policy’s definition of ‘effort’, which is “the

percentage of working hours required for conducting the relevant research when the researcher’s total annual working hours are 100%”. Note that “total working hours” does not refer only to the number of hours spent in research activities but to the substantive total working hours, including educational and medical activities.

56

proposal is found to be false.

○ In order to eliminate the unreasonable duplication or excessive concentration of

competitive funding mentioned above, in the case that a researcher is receiving other

competitive funding operated by the national government or independent administrative

agencies or other research grants, or in the case that a researcher has been selected for

such funding, the researcher may not submit proposals for this program for research with

the same project name or content.

○ In the case that the applicant is scheduled to receive 100 million yen or more in research

funding under other systems or research grants, etc. in FY2013 or 2014, in view of the

purpose of eliminating unreasonable duplication and excessive concentration, as a

general rule final selection of the research project and budget amounts are decided in an

integrated manner. In the case that the applicant is scheduled to receive a total of 100

million yen or more from multiple funding systems/grants, he/she is given individual

consideration accordingly within the selection process.

Although not relevant for research projects at the application stage, the research

proposal may be removed from the selection process for this program or the selection

decision withdrawn depending on the outcome of selection for other competitive funding

or research grants. Furthermore, when it is discovered, during the selection process for

this program, that the research project has been approved/rejected for another

competitive funding system, please report this promptly to the JST at the contact address

given at the end of this document.

(3) Measures against Inappropriate usage of research funds ○ In the case that research funds intended for use under this program are used for other

purposes, the conditions stipulated by the JST for payment of research funds are violated,

research funds are received through fraudulent means, or research funds are otherwise

used in a manner that runs counter to the objectives of the program, the research project

in question may be cancelled; all or part of the project’s research funding returned, and

measures taken to publicize the facts of the matter. Furthermore, limitations shall be

placed for a certain period of time on application to or participation in this program for

different projects by researchers found to have used research funds inappropriately

(including coconspirator researchers).

57

○ With regard to researchers who make inappropriate usage of the program’s research

funds, any coconspirator researchers, and researchers who although they are not

deemed to be involved in inappropriate usage and so on are in breach of their duty for

diligence will be liable, to the extent of the malpractice according to the table below, to measures restricting their applications to and participation in this program, or to serious

warning measures. The period of restriction will in principle be for one to ten years running

from the fiscal year after the fiscal year in which the contract funds etc. concerning the

inappropriate usage of funds have been returned. However, "application and participation"

shall refer to the submission of proposals, applications and requests for new research

projects by the researcher, or participation in new research as research collaborators etc.

○ Limitations shall be placed for a certain period of time on eligibility for application to or

participation in this program for researchers who have received funding under other

competitive research funding systems operated by the national government or

independent administrative agencies or programs other than competitive funding programs that are under the jurisdiction of the JST and have used these research funds

inappropriately and to whom limitations on application/participation eligibility for the

relevant program have been applied.

(Limitations shall also be placed on participation for the fiscal year in which the

inappropriate usage of research funds is deemed to have occurred. Moreover, limitations

may be applied retroactively.)

○ In the case that research funds under this program are used inappropriately, information

regarding the details of the inappropriate usage by the researcher in question and their

coconspirator researchers is provided to those in charge of other competitive funding

programs (including independent administration agencies). Consequently, limitations may

be placed on application to or participation in other competitive funding programs.

Limitations shall be placed on the period of application and participation in this program

on researchers who have used research funds inappropriately and their coconspirator

researchers in accordance with the degree of inappropriateness. The period of the

limitations shall as a general rule be between one and ten years from the fiscal year "Researchers in breach of their duty for diligence" shall refer to researchers who, although they are not

deemed to have taken part in inappropriate usage of funds or fraudulent receipt thereof, are in breach of their duty to run the programs with care and as good managers.

For specific information regarding other funding programs, please refer to the following website. http://www.jst.go.jp/bosyu/notes.html These measures also apply to programs that began calling for applications in FY2012. Please note that the above measures and the list of funding programs are subject to change, so please check information on the relevant Ministry of Education, Culture, Sports, Science and Technology website or JST website.

58

following the year in which the contract funds related to the inappropriate usage of funds

are reimbursed. “Application and participation” refers to the submission of proposals,

applications, and requests for new research projects by the researcher or participation in

new research by the researcher as a joint researcher.

○ In the event that inappropriate usage etc. of the program’s research funds has occurred,

the outline of the said fraudulent matter (researcher name, program name, affiliated

organization, fiscal year of research, nature of the fraudulent activity and details of the

punitive measures conducted) of the researchers in question and the coconspirator

researchers whose applications and participation have been restricted will in principle be

publicly announced.

Details of Research Funding Usage Period Deemed

Appropriate

1. Cases in which the extent of the inappropriate use of research funds,

etc. is deemed to have had minimal effect on society and the

maliciousness of the action is deemed to be low.

1 year

2. Cases in which the extent of the inappropriate use of research funds,

etc. is deemed to have had a large effect on society and the

maliciousness of the action is deemed to be high.

5 years

3. Cases apart from 1 and 2 in which the impact of the action on society

and its maliciousness are taken into consideration. 2-4 years

4. Cases in which the research funds were used to attain personal

economic gain, regardless of 1 to 3. 10 years

5. Cases in which dishonest means, such as deceit, were used to have

the research project in question selected for the program. 5 years

6. Although not directly involved in the inappropriate use of research

funds, cases in which the use of research funds is deemed to have

violated the due care of a prudent manager.

1-2 years

Note: With regard to research projects newly selected in or after FY2013, the period of

limitation on the researcher changed greatly with the toughening of the “Guidelines for the

Appropriate Implementation of Competitive Research Funding” (revised March 27, 2009 by

mutual agreement of the Liaison Conference among Relevant Ministries and Agencies on

Competitive Funding). The above table shows limitations periods after the change.

59

(4) Regarding management and auditing systems and responses to misconduct at research institutions ○ Regarding implementation of systems for managing and auditing public research funds

In implementing the program research institutions must appreciate that the capital is

public funds, stringently observe the relevant national laws, and make every effort to

implement the program in an appropriate and efficient manner. In particular, there is a

need for measures to be taken in order to prevent misconduct*1 concerning research and

development activities and inappropriate accounting practices*2 etc. (hereinafter

"misconduct etc.").

In concrete terms this means that there is a need for the research institutions to take

responsibility, having implemented a system for managing and auditing public research

funds, to make every effort to properly spend the contract research funds and take

measures against misconduct etc. including compliance education, in line with the

"Guidelines for Responding to Misconduct in Research Activities" (August 8, 2006; Council

for Science and Technology "Special Committee on Scientific Misconduct") and the

"Guidelines of Management and Audit of Public Research Funds in Research Institutes

(Implementation standards) " (decided by the Minister of Education, Culture, Sports,

Science and Technology on February 15, 2007). Please refer to the websites (only in

Japanese) indicated below for details of the "Guidelines of Management and Audit of

Public Research Funds in Research Institutes (Implementation standards)."

http://www.mext.go.jp/b_menu/shingi/chousa/gijyutu/008/houkoku/07020815.htm

http://www.mext.go.jp/a_menu/kansa/houkoku/1343904.htm

○ Regarding the "Self-evaluation Checklist for Implementation of Proper Systems"

Each research institution*3 is obliged to regularly report to MEXT the circumstances of

the implementation of its system for the management and auditing of public research

funds using the "Self-evaluation Checklist for Implementation of Proper Systems"

(hereinafter "the checklist"), and to respond to various investigations regarding the system

implementation. (The implementation of research will not be approved without the

submission of the checklist.)

*1 Fabrication, falsification or plagiarism in the course of research and development

activities.

*2 Cases in which research funds etc. are used for other purposes; cases in which research

funds are paid according to a false invoice; cases in which the remuneration etc. of

60

research assistants etc. are fraudulently used according to the intervention of researchers

etc.; instances in which research funds are paid in violation of other laws, and cases in

which research is adopted as a subject for a research program through dishonesty or any

other fraudulent means.

*3 In CREST, this is not only the research institution to which the Research Director is

affiliated but also the research institutions to which any other Main Research Collaborator

allotted research funds are affiliated.

In principle, research institutions commencing work on the program due to being newly

selected and research institutions participating in a research team for the first time must,

prior to commencing research (by the date of conclusion of a contract research

agreement), in line with the format provided on the web pages below, submit the checklist

using the Cross-ministerial R&D Management System (e-Rad system) to the Promotion

Policy Division, Office of Research Funding Administration of the Ministry of Education,

Culture, Sports, Science and Technology, Research Promotion Bureau. For more details

on how to submit the checklist please refer to the following web page on the MEXT

website (only in Japanese).

http://www.mext.go.jp/a_menu/kansa/houkoku/1301688.htm

In the event that a checklist has been submitted after the previous fiscal year as the

result of applying for a program etc., there is no need to submit the checklist again when

concluding a new contract research agreement, but since the submission of the checklist

once a year is stipulated in Guidelines of Management and Audit of Public Research

Funds it must be submitted again in subsequent years by institutions implementing the

program.

It should be noted that the format for the checklist was newly altered in April 2014, and it

is scheduled that checklists will have to be re-submitted using the new format. Please

ensure that care is taken regarding any notifications from MEXT.

It is planned that notifications regarding the submission of the checklist will be made on

the MEXT website and by e-mail to the "chief administrative staff" registered with the

e-Rad system.

Submission of the checklist will require an environment in which it is possible to utilize

the e-Rad system; institutions that have not yet completed the procedures for registering

with e-Rad are therefore requested to do so at the earliest possible opportunity. Please

note that it usually requires an interval of around two weeks for the registration process to

be completed. Further details of the procedures please refer to the e-Rad system’s

61

website pages, indicated below, on preliminary preparations for using the system (only in

Japanese).

http://www.e-rad.go.jp/shozoku/system/index.html

NB: In addition to request for the submission of the checklist, MEXT will send an e-mail

detailing the hosting of briefing sessions and training meetings regarding the guidelines,

so please ensure that the mail address of the "Chief administrative staff" is properly

registered with e-Rad.

NB: Please complete the checklist after duly checking the latest information from

MEXT and the MEXT website. It is essential that the checklist is examined by the auditor

of the research institution or by somebody of similar rank before it is submitted.

- Regarding submission of the Self-evaluation Checklist for Implementation of Proper

Systems (notification) (only in Japanese)

http://www.mext.go.jp/a_menu/kansa/houkoku/1324571.htm

- Self-evaluation Checklist for Implementation of Proper Systems (glossary of terms

used)

http://www.mext.go.jp/a_menu/kansa/houkoku/__icsFiles/afieldfile/2011/09/05/131071

4_01.pdf

As the guidelines were altered on February 18, 2014, to include the perspectives of

transmitting information and promoting greater sharing of it, research institutions are

asked to provide coverage of the checklist on their websites and be enthusiastic in their

transmission of information.

Where necessary, after the submission of the checklist research institutions may be

asked to cooperate in on-site investigations regarding the state of the system

implementation conducted by MEXT (including funding agencies).

○ Regarding imposition of management conditions for public research funds and the

reduction of indirect costs

If it is judged that reports or investigations of the implementation of systems relating to

the management and auditing of public research funds suggest there are faults in the

implementation of these systems, or if an institution is deemed as having been involved

in misconduct, management conditions displaying items for improvement and time limits

(one year) for their execution many be imposed according to the Guidelines of

Management and Audit of Public Research Funds. In the event that the management

conditions are not executed despite this, the research institution in question will be

62

subject to measures including having the indirect costs of their competitive funds reduced

(by up to 15% according to stage) and the allotment of their competitive funds stopped.

○ Cooperation in reporting of misconduct, and in investigations

In the event that an accusation of misconduct is leveled at a research institution

(including through media reports or accusations by the Board of Audit or other such

external organizations), in line with the "Guidelines of Management and Audit of Public

Research Funds" and within 30 days of the accusation having been received, examine

the reasonableness of the accusation, decide whether or not there is a need to conduct

an investigation, and report the need or otherwise of any investigation to JST.

In the event that is judged that an investigation is necessary, institutions must convene

an investigative committee, and discuss with JST the investigation guidelines, scope of

investigation and its methods.

Within 210 days of an accusation having been received, please make a final report to

JST including the investigation results, the causes of the occurrence of misconduct, the

state of the management and auditing system of any competitive funds that those guilty

of the misconduct are involved with, and a plan to prevent the occurrence of any further

such misconduct. Note that even during the investigative phases if misconduct is partially

ascertained it must be swiftly acknowledged and a report made to JST; furthermore,

even if the investigation is uncompleted a progress report and interim report must be

submitted to JST if they so request.

In addition, unless it will interrupt the investigation or there is a justifiable reason, the

institution must cooperate by providing material related to the matter in question or by

letting it be perused, and cooperating with on-site investigations.

In the event that the deadline for the final report is extended measures such as

reducing a certain proportion of indirect costs and suspending contract research funds

will be taken. Please refer to the "Guidelines of Management and Audit of Public

Research Funds" for a detailed account of the items that should be incorporated in the

final report.

(5) Measures regarding Misconduct in Research Activities ○ The invitation for research proposals is based on the revised content of the "Guidelines

for Responding to Misconduct in Research Activities" (August 8, 2006; Council for

Science and Technology "Special Committee on Scientific Misconduct") which are

currently being reviewed in the light of the February 3, 2014, cooperative parties

meeting’s decision regarding review and operational improvements to the "Guidelines for

63

Responding to Misconduct in Research Activities" ("Conclusions of the Deliberations on

Reviewing and Improving the Operation of the 'Guidelines for Responding to Misconduct

in Research Activities' Towards the Promotion of Fair Research Activities"). Research

institutions must respect the guidelines after their review when applying to the program

and in implementing their research activities. Please refer to the following web pages

(only in Japanese) concerning "Guidelines for Responding to Misconduct in Research

Activities."

http://www.mext.go.jp/b_menu/shingi/gijyutu/gijyutu12/houkoku/06082316.htm

○ With regard to research projects under this program, in the case that misconduct in

research activities is discovered, the research project in question may be cancelled; all or

part of the project’s research funding returned, and measures taken to publicize the facts

of the matter. Furthermore, limitations shall be placed for a certain period of time on the

eligibility of those listed below to apply to or newly participate in this program.

As a general rule, the period of limitations shall be between one and ten years. Note that

“application or participation” refers to the submission of proposals, applications, and

requests for new research projects by the researcher or participation in new research by

the researcher as a joint researcher.

Classification According to Involvement in

Misconduct

Extent of Misconduct Period

Deemed

Appropriate

Person

Involved in

the

Misconduct

1. Especially malicious individual

who intentionally engages in

misconduct from the outset of the

research

10 years

2. Author of

academic

paper, etc.

related to

research in

which there

has been

misconduct

The author

responsible for the

academic paper in

question (supervisor,

first author, or other

position of

responsibility

deemed equivalent)

The impact on the

advancement of research

in the relevant field or

society is large, and the

maliciousness of the

misconduct is deemed to

be high.

5-7 years

The impact on the

advancement of research

in the relevant field or

3-5 years

64

society is small, and the

maliciousness of the

misconduct is deemed to

be low.

Author other than

that listed above

2-3 years

3. An individual involved in

misconduct other than that

stipulated in 1 or 2

2-3 years

An author responsible for academic papers,

etc. related to research in which there has been

misconduct but who was not involved in the

misconduct (supervisor, first author, or other

position of responsibility deemed equivalent)

The impact on the

advancement of research

in the relevant field or

society is large, and the

maliciousness of the

misconduct is deemed to

be high.

2-3 years

The impact on the

advancement of research

in the relevant field or

society is small, and the

maliciousness of the

misconduct is deemed to

be low.

1-2 years

Note: With regard to research projects newly selected in or after FY2013, the periods of

limitation on the researcher were changed in order to standardize their application with other

competitive funding, etc. with the revision of the “Guidelines for the Appropriate

Implementation of Competitive Research funding” (revised October, 2012 by mutual

agreement of the Liaison Conference among Relevant Ministries and Agencies on

Competitive Funding). The above table shows limitations periods after the change.

○Limitations shall be placed for a certain period of time on eligibility for application to or

participation in this program for researchers who have been reprimanded for misconduct in

research activities conducted under other competitive research funding operated by the

national government or independent administrative agencies (see Footnote 3) or programs

other than competitive funding programs that are under the jurisdiction of the JST and to

65

whom limitations on application/participation eligibility for the relevant program have been

applied.

(Limitations shall also be placed on participation for the fiscal year in which the misconduct

in research activities is deemed to have occurred. Moreover, limitations may be applied

retroactively.)

○In the case that misconduct in research activities conducted under this program is

discovered, information regarding the details of the misconduct by the researcher in

question is provided to those in charge of other competitive funding programs (including

independent administration agencies). Consequently, limitations may be placed on

application to or participation in other competitive funding programs (see Footnote 3).

(6) Measures for protecting civil rights and complying with laws and regulations In the case that, in implementing a research initiative, the initiative involves research

requiring the consent/cooperation of other parties, research requiring particular care in

handling personal information, research requiring bioethical or safety measures to be taken,

and other research requiring procedures required by laws and regulations, be sure to carry

out the necessary procedures, such as obtaining the approval of an external and internal

ethics committee of a research institution.

With regard to life science-related research in particular, the main laws and regulations

prescribed by each government ministry are as follows. Please note that, depending on the

research content, there are also cases in which laws and regulations other than these have

been established.

- Act on Regulation of Human Cloning Techniques (Act No. 146 of 2000)

- Guidelines for Handling of a Specified Embryo (Public Notice of Ministry of Education,

Culture, Sports, Science and Technology No. 83 of 2009)

- Guidelines on the Derivation and Distribution of Human Embryonic Stem Cells (Public

Notice of Ministry of Education, Culture, Sports, Science and Technology No. 156 of

2009)

- Guidelines on the Utilization of Human Embryonic Stem Cells (Public Notice of Ministry of

Education, Culture, Sports, Science and Technology No. 87 of 2010)

- Ethical Guidelines for Human Genome/Gene Analysis Research (Public Notice of Ministry

of Education, Culture, Sports, Science and Technology/ Ministry of Health, Labour and

Welfare/ Ministry of Economy, Trade and Industry No. 1 of 2001)

- Ministerial Ordinance on Good Clinical Practice for Drugs (Ordinance of Ministry of Health,

Labour and Welfare No. 68 of 2009)

66

- R&D Using Human Tissue Extracted during Operations, Etc. (Report of the Health

Science Council 1998)

- Ethical Guidelines for Epidemiological Research (Public Notice of Ministry of Education,

Culture, Sports, Science and Technology/ Ministry of Health, Labour and Welfare No. 1 of

2007)

- Guidelines for Gene Therapy Clinical Research (Public Notice of Ministry of Education,

Culture, Sports, Science and Technology/ Ministry of Health, Labour and Welfare No. 2

of 2004)

- Ethical Guidelines for Clinical Studies (Public Notice of Ministry of Health, Labour and

Welfare No. 415 of 2008)

- Act on the Conservation and Sustainable Use of Biological Diversity through

Regulations on the Use of Living Modified Organisms (Act No. 97 of 2003)

For information regarding Ministry of Education, Culture, Sports, Science and Technology

measures on bioethics and safety assurance, please refer to the following website.

Life Sciences no Hiroba “Measures on Bioethics and Safety Assurance” website (only in

Japanese): http://www.lifescience.mext.go.jp/bioethics/index.html

In the case that the research plan includes research or surveys that require

consent/cooperation of other parties and/or social consensus, be sure to take appropriate

measures for protecting civil rights and interests prior to applying to this program.

(7) Security export control (Measures against the leakage of technology internationally) ○Many cutting-edge technologies are studied at research institutions. Universities in

particular have seen an increase in the number of international students and foreign

researchers due to internationalization, and there is an increasing risk of cutting-edge

technologies and/or research materials/equipment being leaked or used for bad

purposes such as the development and production of weapons of mass destruction. For

this reason, in carrying out their various research activities, including the relevant

contract research, research institutions are required to take organizational measures to

ensure that research results that could be used for military purposes do not fall into the

hands of people who could carry out fearful activities such as developers of weapons of

mass destruction or terrorist groups.

○In Japan there are export controls* based on the Foreign Exchange and Foreign Trade

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Act (Act No. 228 of 1949) (hereinafter referred to as the “Foreign Exchange Act”).

Accordingly, when attempting to export (provide) goods or technologies controlled by the

Foreign Exchange Act, as a general rule it is necessary to obtain the license of the

Minister of Economy, Trade and Industry. Be sure to comply with the Foreign Exchange

Act and other laws, ministerial ordinances, and notices issued by government ministries

and agencies.

*Currently, Japan’s security export control system mainly comprises two systems based on

international consensus: (1) systems under which the license of the Minister of Economy,

Trade and Industry is required as a general rule when attempting to export (provide) goods

(technologies) with specifications/functions that are above certain criteria, such as carbon

fibers or numerically-controlled machine tools (list control); and (2) systems under which

the license of the Minister of Economy, Trade and Industry is required when attempting to

export (provide) goods (technologies) to which list controls do not apply and certain

requirements (use application requirements, end-user requirements, and notification

(inform) requirements) have been met (catch-all control).

○Not only the export of goods but also the provision of technology is subject to Foreign

Exchange Act controls. When providing list control technologies to foreigners

(non-residents), license to provide the information must be obtained in advance.

“Technology provision” includes the provision of technology information such as

blueprints, specifications, manuals, specimens, and prototypes by means of storage

media such as paper, e-mail, CD, and USB memory, and also includes the provision of

operational knowledge through technical guidance and skills training as well as

technological support through seminars. There are also cases in which technology

provision includes a large amount of technology exchange that could be subject to

Foreign Exchange Act controls in the acceptance of international students and joint

research activities.

○Detailed information about security export control is provided on the website of the

Japanese Ministry of Economy, Trade and Industry (METI) and other organizations.

Please see the list below for details.

- Ministry of Economy, Trade and Industry (METI)：Security export control (general)

http://www.meti.go.jp/policy/anpo/

- Ministry of Economy, Trade and Industry (METI)：Security Export Handbook

http://www.meti.go.jp/policy/anpo/seminer/shiryo/handbook.pdf

- Center for Information on Security Trade Control

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http://www.cistec.or.jp/index.html

- Guidance on machine technology control in relation to security export control (for

universities/research institutions)

http://www.meti.go.jp/policy/anpo/law_document/tutatu/t07sonota/t07sonota_jishukan

ri03.pdf

(8) Cooperation with the National Bioscience Database Center The National Bioscience Database Center*1 (NBDC) compiles the data sets created by

life science researchers at Japanese research institutions and maintains and stores them

safely over the long term as public assets of Japan; In order that as many people as

possible can easily access and download data it provides the Life Science Database

Archive*2.

Those implementing work in the life science area under the program are requested to

cooperate by providing NBDC with copies of the data to be kept in the archive, in order to

enable the datasets created in the research activities to be widely utilized.

The data provided will be made public in an appropriate manner as open data through the

Life Science Database Archive.

*1 The National Bioscience Database Center (http://biosciencedbc.jp/en/) was established

within JST in April 2011 in response to a report by the Life Science PT of the Cabinet Office’s

Council for Science and Technology Policy with a view to promote the integrated use of life

science databases that have been built up by an array of institutions. With the aim of

allowing the results of research in the life science area, mainly research data, to be used

and shared widely by researchers, developers and technicians, thereby vitalizing research

and development, it provides research and development and services to achieve the

integration of Japan’s life science databases.

*2 Please refer to the following URL for more details of the Life Science Database Archive:

(http://dbarchive.biosciencedbc.jp/index-e.html)

NBDC also provides the Integbio Database Catalog, which provides information on the

whereabouts of life science databases. Please use this resource.

(http://integbio.jp/dbcatalog/?lang=en）

(9) Regarding registration with researchmap Researchmap3 is a researcher information database that serves as the largest directory

of researchers in Japan, with around 230,000 researchers registered as of March 2014. The

3 (which used to be called "ReaD&Researchmap"*http://researchmap.jp/?lang=english)

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registered information about research records can be made public over the Internet.

Furthermore, researchmap works in collaboration with e-Rad and many university teaching

staff databases, and since the registered information can be used over other systems it

alleviates the need for researchers to repeatedly register the same research record

information on applications and databases. Since FY2014 it has become even more

convenient to use as it incorporates the JREC-IN research personnel database’s CV

creation function and single sign-in.

The publishable data registered with researchmap will also be made publicly available by

J-GLOBAL (only in Japanese) (http://jglobal.jst.go.jp/). The users of researchmap and

J-GLOBAL are a broad range of Japanese and overseas universities and companies and

offer high expectations for future joint research work and other approaches. Moreover, JST

uses researchmap when it examines the research record information of researchers.

The strategic basic research programs (CREST and PRESTO) plan to use researchmap

as a master database of research record information and in the future to use it in all sorts of

situations, such as research record reports and so on.

The information registered at researchmap is put to use in national and other academic

and science and technology policy formulation research, as well as being used for statistical

objectives, so those implementing the program are requested to be sure to register with

researchmap.

* On April 1, 2014, ReaD&Researchmap was re-named "researchmap."

(10) Efficient promotion of research and development through effective use of currently available research facilities and equipment

The Ministry of Education, Culture, Sports, Science and Technology is promoting the

development of the grounds for sharing research institutes and facilities and integrating

different research fields in accordance with the Act on the Promotion of Public Utilization of

the Specific Advanced Large Research Facilities (Act No. 78 of June 29, 1994); the Act on

Enhancement of Research and Development Capacity and Efficient Promotion, etc., of

Research and Development, etc., by Advancement of Research and Development System

Reform (Act No. 63 of June 11, 2008); and other laws. If the uses and purchases of research

facilities and equipment are being considered upon the application, please consider actively

using facilities and equipment owned by universities and independent administrative

institutes and made available to others and opportunities for cooperation among industries,

academia, and the government from the perspective of effective promotion of consigned

research in this program; effective use of already available facilities and equipment; and

removing overlaps in purchasing facilities and equipment.

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<Reference: Examples of shared facilities and equipment>

○Facilities covered in the Act on the Promotion of Public Utilization of the Specific Advanced

Large Research Facilities

・SPring-8, the large synchrotron radiation facility (Applications are accepted around May

and November every year.)

http://user.spring8.or.jp/?lang=ja

・SACLA, an X-ray free-electron laser facility (Applications are accepted around May and

November every year.)

http://sacla.xfel.jp/

・J-PARC, a large intensity proton accelerator (Applications are accepted around May and

November every year.)

http://is.j-parc.jp/uo/index.html

・Kei supercomputer (Shared use is expected to start in the autumn of 2012, and

applications for using this facility are planned to start in May 2012.)

http://www.aics.riken.jp/

*Please refer to the website of registered agencies for the promotion of facility uses for

information on the application of projects to use these facilities. (The website is being

prepared.)

○Projects for promoting the sharing of advanced research facilities (targeted for 28 facilities)

http://kyoyonavi.mext.go.jp/

○Nano technology platform (the project is expected to start in July 2012)

http://www.mext.go.jp/b_menu/boshu/detail/1316537.htm

○Development of research base network toward the construction of a low-carbon society

(three hub bases and 15 satellite bases)

http://www.nims.go.jp/lcnet/

○Tsukuba Innovation Arena (TIA-nano)

http://tia-nano.jp/

○Project for technical base platform for supporting pharmaceutical development and other

developments (three bases)

http://p4d-www.genes.nig.ac.jp/index.html

(11) Regarding the Results of JST’s Development of Systems and Technology for Advanced Measurement and Analysis Program ○ JST implements a wide variety of research and development programs ranging from basic

71

research to industry-academia collaborations and so on, and a great deal of these

research results have been put into practical use already.

○ Among these, the development of systems and technology for advanced measurement and

analysis program, which seeks to build and develop a basic research and development

platform, has resulted in the practical use of many research and development tools.

http://www.jst.go.jp/sentan/en/index.html

IV. Recruiting via the Cross-ministerial R&D Management System (e-Rad)

1. Recruiting via the Cross-ministerial R&D Management System (e-Rad) Calls for research proposal applications are made via the e-Rad (http://www.e-rad.go.jp/)

system. The process for submitting research proposal applications via e-Rad is described

below.

(1) Enter information on the research institution and researcher

Applicants who do not have a login ID or password must request the administrative

section of their research institution to register the institution in the e-Rad system. It should

be noted that the registration process can take more than two weeks.

(2) Obtain application requirements and research proposal forms

Check the list of current calls for research proposal applications on the e-Rad portal site

(http://www.e-rad.go.jp/), and download the application requirements and research

proposal forms.

(3) Prepare a research proposal (maximum file size of 5 MB)

(4) Enter the required information into the e-Rad system

Enter the required information into the e-Rad system.

(5) Submit the research proposal

Submit your research proposal by uploading it. The e-Rad system can become

extremely busy just before submission deadlines. This can result in significant delays for

the entry of information and uploading of research proposals. Furthermore, given

specification changes, like the newly adopted requirement that applicants now submit

research proposals as PDF files and the increase in information to be entered into the

e-Rad system, Applicants are advised to allow several days for completing the process for

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submitting research applications.

(6) Receipt by JST

2. System availability and where to direct questions (1) How to use the e-Rad system

An instruction manual explaining how to use the e-Rad system can be downloaded from

the e-Rad portal site (http://www.e-rad.go.jp/). Please submit research proposals after

accepting the terms of the e-Rad user agreement.

(2) Where to direct questions on how to use the e-Rad system

Questions regarding JST’s systems and programs should be directed to JST. Questions

on how to use the system should be directed to the e-Rad helpdesk. Please read carefully

the explanation of the application process contained in this chapter, and the contents of the

e-Rad portal site, before submitting a question. It should be noted that questions regarding

the progress of application evaluations and whether an application has been accepted or

rejected will not be answered under any circumstances

Questions regarding

matters like systems

and programs,

preparation of

documentation for

submission, and

submission procedures

JST Department of

Green Innovation

(ALCA Section)

Email inquiries are preferred (unless

urgency is required).

Also, visit the ALCA website to

check for the most recent update:

http://www.jst.go.jp/alca/

E-mail: alca@jst.go.jp

Phone: 03-3512-3543 (Service

hours: 10:00 to 12:00 and 13:00 to

17:00*)

*Except Saturdays, Sundays, and

national holidays

Got questions

regarding use of the

e-Rad system

e-Rad helpdesk 0120-066-877

9:00-18:00

Except on Saturdays,Sundays, and

holidays

- Website for this program: (http://www.senryaku.jst.go.jp/teian.html)

- e-Rad portal website (http://www.e-rad.go.jp/)

Manual for researchers (http://www.e-rad.go.jp/kenkyu/manual/index.html)

73

(3) e-Rad system availability

Monday to Sunday 0:00-24:00 (24 hours a day, 365 days a year)

The e-Rad system is basically available 24 hours a day, 365 days a year, but is

occasionally taken down for maintenance and inspections. Maintenance and inspection

schedules are announced ahead of time on the portal site.

3. Detailed submission instructions and precautions (1) Entering information on research institutions and researchers

Researchers applying to be a ALCA Research Director, or ALCA Lead Joint Researcher,

researcher must first obtain an e-Rad login ID and password. For researchers affiliated with

a domestic research institution, prior registration of information on the research institution

and researcher must be completed by the administrative section of the research institution.

For researchers affiliated with a foreign research institution, and researchers affiliated with

no research institution, prior registration of information on the researcher must be

completed by the applicant. For more information on how to register information, refer to

the e-Rad portal site (“System usage requirements,” “FAQs,” etc.).

Please note that the registration process can require several days and it is advisable to

set aside over two weeks for completing it. If registration via a system or program of

another ministry or other government organization has already been completed, doing so

once again is not required.

(2) Obtain application requirements and research proposal forms

○ e-Rad login

Click “e-Rad login” on the portal site (http://www.e-rad.go.jp/). Log in using the applicant’s

login ID and password.

* Once this is done, information on the researcher who has logged in will be automatically

displayed in areas showing information on the Research Director.

* For first-time logins, it is necessary to enter initial settings. In addition, when logging in

from a PC other than the one normally used for login, the login process will go to an

additional authentication screen. On such occasions, the user may be asked to respond

to a preset question.

○ Search for calls for proposals

Click on 1) “Application / Selection Information Management” on the left-side menu. Next,

click on 2) “List of Current Calls for Proposals.” Click on “Details” for the call for proposals

74

for which an application will be submitted.

(3) Preparing a research proposal

- Make sure that application requirements are understood before preparing a research

proposal.

- When entering application information into the system, refer to the researcher's manual

posted on the portal site.

- To paste image files into a research application form, use only the GIF, BMP, or PNG

formats. Image data pasted in other file formats will not be correctly converted to the PDF

format. For more information on how to paste image data, refer to the researcher's

manual.

- Research proposals (doc format) must be converted to the PDF format before uploading

to the e-Rad system. PDF conversion can be performed using the menu that appears

after login. It is also possible to download the conversion software from the same menu

and install it on the researcher's computer.

* In the process of conversion, characters, such as those used in certain languages and

special characters, may not be rendered correctly. It is necessary, therefore, to check all

PDF files within the system. For more information on characters available for use, please

refer to the "Usage Manual for Researchers” (downloadable from the e-Rad portal site).

* When creating PDF files, do not set a password for the research proposal.

* Delete the conversion history.

* Make sure that page numbers have been attached to the file converted to PDF format.

- Research proposals converted to the PDF format should be no larger than 5MB. Files

exceeding 10MB cannot be uploaded to the e-Rad system.

75

Figure e-Rad portal site

76

V. Other 1. Key points in submitting proposals (1) Gender equality

JST promotes gender equality!

JST is promoting gender equality in science and technology. The Council for Science and Technology Policy put forward the slogan "Promoting the

activities of female researchers" in the 3rd Basic Program for Science and Technology. There is consideration that the future of technology in Japan relies on power of those who play an active part, and that an environment must be established in which diverse and versatile individuals can demonstrate their ambition and potential. The 4th Basic Program for Science and Technology states, "The expected target ratio of the overall selections of female researchers for programs in natural sciences should be 25%."

As one of the action policies in promoting our programs, JST puts forward a slogan that

“JST will set a plan to promote gender equality, and take the initiative in cultivating an environment in which a variety of talented researchers such as female researchers can demonstrate their capability.”

In selecting new subjects, we are going to implement the process of screening based on

the viewpoint of gender equality. Those proposals where men and women are participating and playing an active part together will be strongly appreciated.

We are looking forward to active applications from both male and female researchers.

Michiharu NAKAMURA President

Japan Science and Technology Agency

JST is supporting researchers to establish a good balance between research and life

events (giving birth, raising children and caregiving) by gender equity budget which can be used for the applicable researchers to encourage research and development and to reduce their burdens. This support is intended to make their careers continuable on the occasion of the life events without interrupting their careers or by returning to work even though they need to interrupt their careers. JST is also releasing information on role models for female scientists. Please refer to the website below:

JST Gender Equal Society website:

http://www.jst.go.jp/gender/ (in Japanese only)

(2) Dialogue with citizens on science and technology The basic policy on promoting a science and technology dialogue with citizens,

announced on June 19, 2010, describes as science and technology dialogues with citizens

conversations in which scientists explain their research activities and results to society and

its citizens in easily comprehensible terms – in sincere two-way communications that

encourage hope for the future. Research projects receiving public research funds of 30

million yen or more per year are expected to actively engage in science and technology

77

dialogues with citizens. For more details, please refer to”II. 5. (1) Responsibilities of R&D

Directors” and the following.

http://www8.cao.go.jp/cstp/output/20100619taiwa.pdf

(3) Open Access JST announced the policy regarding Open Access in April 2013. Research Results

(papers) from CREST or PRESTO are endorsed to open to the public via institutional

repositories and publications presupposing Open Access. Please find the details from the

following website: http://www.jst.go.jp/pr/intro/johokokai.html

(4) Development of research base network toward the construction of a low-carbon society (three hub bases and 15 satellite bases)

http://www.nims.go.jp/lcnet/index.html

(5) Career paths for young research staff with doctoral qualifications The Ministry of Education, Culture, Sports, Science and Technology’s basic policy for

supporting diverse career paths for young research staff who have doctoral qualifications

and are being employed with public research funds (December 20, 2011 Council for

Science and Technology, Committee on Human Resources) states that it is necessary to

actively support public research institutions and research directors who are using public

research funds to employ young research staff with doctoral qualifications in their efforts

to secure diverse domestic and overseas career paths for these young research staff

members. For more details, please refer to ”II. 5. (1) Responsibilities of R&D Directors”

and the following URL.

http://www.mext.go.jp/b_menu/shingi/gijyutu/gijyutu10/index.htm

(6) References a) IPCC（Intergovernmental Panel on Climate Change）website: http://www.ipcc.ch/

*Special Report on Renewable Energy Sources and Climate Change Mitigation（SRREN）:

http://srren.ipcc-wg3.de/

b) Annual Report on the Environment, the Sound Material-Cycle Society and the

Biodiversity in Japan: http://www.env.go.jp/policy/hakusyo/

c) IEA（International Energy Agency）website: http://www.iea.org/index.asp

< Revision >

1 April Japanease ver. 1

4 April Japanease ver. 2

9 May English ver. 1

[Inquiry Counter] Email inquiries are preferred. Also, visit the ALCA website to check for the most recent update: http://www.jst.go.jp/alca/

Japan Science and Technology Agency Department of Green Innovation (ALCA Section)

102-0076 K’s Gobancho, 7, Gobancho, Chiyoda-ku, Tokyo E-mail: alca@jst.go.jp

*Except Saturdays, Sundays, and national holidays