Basic Policies regarding Proposal Selection for Public Beamlines at Specific Synchrotron Radiation Facilities Established by National Research and Development Agency, RIKEN
In accordance with the “Act on the Promotion of Public Utilization of the Specific Advanced Large Research Facilities” and the “Basic Policy regarding the Promotion of Public Use of the Specific Synchrotron Radiation Facilities Established by the National Research and Development Agency, RIKEN” under Article 4, Paragraph (1) of the Act, the Japan Synchrotron Radiation Research Institute shall select research proposals for the synchrotron radiation facilities for public use (hereinafter referred to as “Public Beamlines”) based on the policies specified below as a Registered Institution for Facilities Use Promotion (hereinafter referred to as the “Institution”).
Since the Specific Synchrotron Radiation Facilities are advanced facilities with the world’s best performance used for research in various disciplines using synchrotron radiation, the Institution shall invite and review proposals in consideration of providing equal opportunity to use the Specific Synchrotron Radiation Facilities for domestic and overseas users and for all the research fields including industry through transparent procedures. At the same time, the Institution shall ensure that it fully utilizes the capabilities and resources of the Specific Synchrotron Radiation Facilities so that a greater number of high-quality research results are obtained.
I. Proposal Selection for Public Beamlines at SPring-8
1. Equal Opportunities for Users
As a general rule, the Institution makes the Public Beamlines available for research in a wide range of disciplines carried out by domestic and overseas researchers of industrial, academic, and governmental organizations through open calls for general proposals. To increase the number of high-quality research results, however, the Institution may reserve a certain amount of beamtime for priority research proposals, taking into consideration scientific trends and social circumstances at home and abroad. The Institution shall seek advice from the SPring-8 Selection Committee as to beamtime allocation policies for general proposals, priority research proposals, and other proposals before determining the beamtime allocation.
2. General Proposal
2.1 The Institution shall invite general proposals from the public. For this purpose, the Institution will post calls for proposals on websites and in SR-related academic journals and scientific magazines on a regular basis and widely disseminate information at home and abroad about the calls for proposals.
General proposals can be submitted at any time, and the submitted proposals are reviewed twice a year as a general rule. The provisions regarding the timing of proposal selection and the period of user time are announced at a later date. Selected proposals are valid during the forthcoming research term as a general rule.
2.2 Notwithstanding Article 2.1, the Institution shall at any time accept and promptly review proprietary time-designated proposals including SPring-8 measurement services, urgent proposals that are deemed urgent and important, and those with extremely high interest in the society and significantly contribute to the public, the economy, and the development of a specific scientific field.
2.3 Proposals for which the Program Fee is paid and which are subject to a partially simplified review process are designated as Priority Use Proposals.
3. Priority Research Program
3.1 Priority Research Program shall be administered as follows.
Priority Field Type:
The Institution shall designate research fields that are expected to produce high-quality research results or fields of strategic significance for industrial applications based on recommendations from the SPring-8 Selection Committee, and invite proposals only from the designated fields.
3.2 The Institution shall publicly announce the designated priority fields.
4. Review Criteria for Selecting Research Proposals
Research proposals of a wide range of scientific disciplines shall be fully peer-reviewed and then selected under the criteria outlined below.
Proposal selection should be based on the Science, Technology, and Innovation Basic Plan and other related national policies while balancing international cooperation and competitiveness. At the same time, the Institution shall seek to ensure that creative and pioneering research proposals are approved and take into consideration whether the applicants have produced results in the past. For proposals that are expected to produce results contributing to industrial base technologies, the Institution considers that the accumulation of studies is of great importance and that proposals should not be rejected just because of their similarity to previous proposals. Furthermore, proposals contributing to training researchers should also merit consideration.
4.1 Scientific and technical value (one of the following criteria shall be fulfilled):
a) The proposed research is cutting edge and its science and technology field has the potential to/will contribute to the development of a new research field.
b) The results are expected to contribute to basic research areas and the field of fundamental technology development.
c) The results are expected to have significance and potential as industrial technology.
d) The proposed research has social significance and will contribute to the social economy.
4.2 Degree of expectation to produce results.
4.3 Necessity of SPring-8 as a research tool.
4.4 Conformity to the Science, Technology and innovation Basic Law and social norms: the implementation of the research proposal is appropriate in light of the Law and socially accepted ideas, e.g., the implementation of the proposed research and the use of research results are exclusively for peaceful purposes.
4.5 Technical feasibility of the experiment.
4.6 Safety of the experiment.
4.7 For long-term proposals, applicants will go through a two-step review process; application forms are initially reviewed and applicants who meet certain criteria will proceed to the interview. In addition to Criteria 4.1 through 4.6 above, the following points are also considered.
a) The proposal has clear scientific objectives and long-term research plans.
b) The long-term and organized use of SPring-8 will create:
i) delivering outstanding scientific results in the field of science and technology,
ii) developing a new research area or a new experimental method, and
iii) significantly improving industrial base technology.
4.8 Proprietary proposals shall be reviewed under Criteria 4.4 through 4.6.
4.9 Non-proprietary Priority proposals shall be reviewed under Criteria 4.3 through 4.6.
4.10 For Long-term Graduate Student Proposals, in addition to Criteria 4.1 through 4.6, the following point is also considered.
- Long-term research goals and research plans are clearly defined.
4.11 If a particular review process specific to the characteristics of a research discipline is needed to review priority research proposals, another set of criteria may be added to Criteria 4.1 through 4.6.
5. Selection of Research Proposals
5.1 General proposals and priority research proposals shall be reviewed by the SPring-8 Proposal Review Committee (SPring-8 PRC) and the review results shall be discussed by the SPring-8 Selection Committee.
5.2 Under the SPring-8 PRC, the Institution shall establish subcommittees and assign one research discipline to each subcommittee. Each subcommittee may have a pool of referees.
5.3 The Institution shall select proposals based on the results of the SPring-8 Selection Committee discussion.
5.4 Long-term Graduate Student Proposals are reviewed by the Long-term Graduate Student Proposals Review Committee and the review results shall be discussed by the SPring-8 Selection Committee.
5.5 The Institution shall select Long-term Graduate Student Proposals based on the results of the SPring-8 Selection Committee discussion.
5.6 The Institution shall make the results of proposal selection and Long-term Graduate Student Proposals selection available to the public. The information in the public announcement shall be managed appropriately in accordance with “Information Management Principles for the Usage Promotion Services at the Specific Synchrotron Radiation Facilities” provided separately by the Institution.
5.7 The operational status of the long-term proposals shall be reviewed by the Institution.
5.8 For the Priority Research Program, the SPring-8 Selection Committee shall discuss post-project reviews after the completion of research on priority fields.
6. Research Study by the Institution
Researchers affiliated with the Institution shall conduct research using a certain amount of beamtime to promote research using SPring-8 with approval from the Minister of Education, Culture, Sports, Science and Technology in accordance with the provisions of Article 12 of the “Act on the Promotion of Public Utilization of the Specific Advanced Large Research Facilities.”
7. Provision of Information about Public Use Facilities
The Institution shall disseminate technical information such as the specifications, performance, and operation schedule of the Public Beamlines, and other information regarding the proposal calls and selection and user statistics in technical bulletins published by the Institution and on websites. As the need arises, the Institution shall provide information regarding the latest operational status and technical information and provide technical advice to those who wish to use the Public Beamlines through websites and other proper channels.
8. Achievement of Fairness in User Selection Services
In accordance with Article 6, Paragraph (2) of the Institution’s Rules of Service, the principles to ensure fairness in User Selection Services are set out as follows:
8.1 To ensure fairness in the proposal review process, information about project team members shall not be disclosed to Spring-8 PRC members or referees. The information may, however, be disclosed to subcommittee members as deemed necessary to perform their duty.
8.2 To ensure fairness, the names of members of the SPring-8 PRC, subcommittees and Long-term Graduate Student Proposals Review Committee shall not be made publicly available during their terms of service, except for the names of the chairs. For the sake of transparency, their names will be disclosed after their terms expire. The names of referees shall not be made public.
９. Procedure for Use of Public Beamtime at Contract Beamlines
The procedure will be streamlined by implementing the service in an integrated manner with the proposal selection for public beamlines.
II. Proposal Selection for Public Beamlines at X-ray Free Electron Laser Facility (SACLA)
1. Equal Opportunities for Users
As a general rule, the Institution makes the Public Beamlines available for a wide range of research disciplines through open calls for proposals carried out by researchers from home and abroad of industrial, academic, and governmental organizations. For that purpose, the Institution must widely disseminate information about the proposal calls on the websites and through other means. Proposals can be submitted at any time, and the submitted proposals are reviewed twice a year as a general rule. The provisions regarding the timing of proposal selection and the period of user time are announced at a later date. Selected proposals are valid only during the forthcoming half-year research term.
2. Types of Proposals Solicited through an Open Call
The Institution shall solicit the following three types of proposals through an open call:
2.1 General Proposal
2.2 Time-Designated Proposal
In proprietary research, time-designated proposals are accepted and promptly reviewed at any time.
2.3 Urgent Proposal
Urgent proposals that are deemed urgent and important are accepted and promptly reviewed at any time.
3. Review Criteria for Selecting Research Proposals
Research proposals of a wide range of scientific disciplines shall be fully peer-reviewed and then selected under the criteria outlined below.
Proposal selection should be based on the science, technology and innovation basic plan and other related national policies while taking into account the international situation and balancing international cooperation and competitiveness. Also, it should be ensured that ingenious and pioneering research proposals will be adopted. Furthermore, proposals contributing to training researchers should also be noted.
3.1 Scientific and technical relevance (One of the following criteria shall be fulfilled.):
3.1.1 The proposed research is of cutting edge scientific and technological value (i.e. innovative and pioneering) or expected to contribute to opening up new possibilities of the SACLA and must meet either of the following criteria:
a) Expected to make a significant scientific contribution.
b) Expected to contribute to increasing industrial use.
3.1.2 The proposed research has social significance or will contribute to the social economy.
3.2 Necessity of the SACLA as a research tool.
3.3 Conformity to the Science, Technology and innovation Basic Law and social norms: the implementation of the research proposal is appropriate in light of the Law and socially accepted ideas, e.g., the implementation of the proposed research and the use of research results are exclusively for peaceful purposes.
3.4 Technical feasibility.
3.5 Safety of the experiment.
3.6 Proprietary proposals shall be reviewed under the criteria 3.3 through 3.5 above.
4. Selection of Research Proposals
4.1 Research proposals shall be reviewed by the SACLA Proposal Review Committee (SACLA PRC) and the review results shall be discussed at the SACLA Selection Committee.
4.2 SACLA PRC may have a pool of referees.
4.3 The Institution shall select proposals based on the results of the SACLA Selection Committee discussion.
4.4 The Institution shall make the results of proposal selection available to the public. The information for the public announcement shall be managed appropriately in accordance with the “Information Management Principles for the Usage Promotion Services at the Specific Synchrotron Radiation Facilities” provided separately by the Institution.
5. Research Study by the Institution
Researchers affiliated with the Institution shall conduct research study using a certain amount of beamtime in order to promote research using the SACLA with the approval from the Minister of Education, Culture, Sports, Science and Technology based on the provisions of Article 12 of the “Act on the Promotion of Public Utilization of the Specific Advanced Large Research Facilities.”
6. Provision of Information about Public Use Facilities
The Institution shall disseminate information about the technical information such as the specifications, performance and operation schedule of the Public Beamlines, and other information regarding the proposal calls and selection and user statistics in the technical bulletins published by the Institution and on the websites. As the need arises, the Institution shall provide information regarding the latest operational status and technical information and give technical advice for those who wish to use the Public Beamlines through the websites and other proper channels.
7. Achievement of Fairness in User Selection Services
Based on the Article 6, Paragraph (2) of the Institution’s Rules of Service, the principles to ensure fairness of the User Selection Services are set out as follows:
7.1 To ensure fairness, the names of the members of the SACLA PRC shall not be made publicly available during their term of service, except for the name of the chair. For the sake of transparency, their names will be disclosed after their terms expire.