Miyazaki International University Measures for the Prevention of Misconduct Related to Public Research Funds

【Basic Policy on Measures to Prevent Misuse of Research Funds】

(Statement of Determination by Chief Administrative Officer: President Keiko Yamashita)

At Miyazaki International University, a Statement of Determination is herewith published by the President as measures for the prevention of misconduct related to public research funds, and, at the same time, in collaboration with faculty and staff, each department and internal and external audit and management systems, we herewith declare our utmost efforts to prevent the misuse of public research funds as well as acts of misconduct within and related to research.

【Establishment of operations and management systems for public research funds】

1. Clarification of the System of Accountability Within the Institution

Miyazaki International University has established the “Miyazaki International University Regulations for the Management and Auditing of Public Research Funds,” and is performing appropriate operations and management under the management and auditing system detailed below.

(1) Clear designation of the system of responsibility involved in the operation and management of public research funds, etc.

We herewith clearly designate the system of responsibility for the operation and management of public research funds, and declare our utmost efforts to prevent misconduct.

Chief Administrative Officer

Title

President

Responsibilities and authority

The President bears the final responsibility for overall control at Miyazaki International University, as regards the operation and management of public research funds. Further, the General Administrator and Compliance Promotion Officers (designated below) have responsibilities as stated below, and demonstrate appropriate leadership that facilitate the operation and management of public research funds.

General Administrator

Title	Vice-President
Responsibilities and authority	The General Administrator shall assist the Chief Administrative Officer, and has the practical responsibility and authority for overall control at Miyazaki International University regarding the operation and management of public research funds.

Compliance Promotion Officers

Title	Dean of the Graduate School of International Liberal Arts, the Dean of the School of International Liberal Arts, the Dean of the School of Education, and the Administrative Director
Responsibilities and authority	The Compliance Promotion Officers have the practical responsibility and authority regarding the operation and management of public research funds within each department, etc., at Miyazaki International University.

【Related Regulations, etc.】

(1) Miyazaki International University President’s Statement of Determination Toward the Prevention of Inappropriate Research Activities

(2) Miyazaki International University Regulations for the Management and Auditing of Public Research Funds

(3) Miyazaki International University System Organization Chart based on the Regulations for the Management and Auditing of Public Research Funds

2. Creation, Improvements, etc., of an Environment that Serves as the Basis for Appropriate Operations and Management

(1) Clarification of system and procedures related to accounting for public research funds

A server computer dedicated to accounting management has been installed in the educational institution headquarters of Miyazaki International University (MIU), and terminals using said accounting system have been installed at educational institutions (University, Junior College, High School, Junior High School, and Kindergarten) under the educational institution umbrella. Therefore, ordinary accounting processing at each institution is performed and managed under said accounting system. In regard to public research funds, etc., acquired as outside funding, operations and management at each institution is performed using “KAKENHI Pro” of Educe Co., Ltd., and every possible precaution has been taken to prevent misconduct, etc.

A clear statement has been especially made regarding the handling of public research funds for all of the following items and procedures under which misconduct can easily occur: “Execution procedures for the purchase of goods, labor and services, construction work, etc.,” “Execution procedures for advance payments,” “Execution procedures for travel expenses, and confirmations via mission reports,” “Execution procedures for hiring and salaries/wages,” “Execution procedures for honorariums and gratuities,” etc. A clear statement has also been made for all procedures, etc., from ordering to payment. We also demand submission of a written pledge from researchers, office personnel, and all non-college related personnel stating that they will not engage in any misconduct, etc. In this and in other ways, we are thorough in our aims to increase awareness among all related persons.

【Related Regulations, etc.】

(1) Miyazaki International University Regulations for the Handling of Public Research Funds

(2) Guidelines for Handling of Indirect Expenses Related to Public Research Funds at Miyazaki International University

(3) Guidelines for Handling of Special Services and Goods with High Cash Value

(4) Miyazaki International University Administrative System for Ordering and Acceptance of Public Research Funds

(5) Miyazaki International University Procedure for Suspension of Business Transactions, etc. related to Contracts for the Purchase of Goods and Services with Public Research Funds

(2) Improvement of awareness among related persons, and educational and enlightenment activities related to compliance

Compliance Performance Officers, in line with the misconduct-prevention plans established by the General Administrator, host regular workshops, study groups, etc., regarding research ethics and compliance for all educational faculty, employees, and related students. All said personnel are obligated to attend said workshops, study groups, etc., as well as to submit written pledges, etc. In these and in other ways, our aim is to improve awareness among all personnel, employees, etc., regarding the operation and management of public research funds. Further, codes of conduct have been established for all educational personnel, related students, etc., and conformance to these codes and other regulations is demanded.

【Related regulations, etc.】

(1) Miyazaki International University Guidelines for the Realization of a Researcher Code of Conduct

(2) Miyazaki International University Researcher Code of Conduct

(3) Miyazaki International University Plan for the Prevention of Public Research Fund-related Misconduct

(4) Miyazaki International University Basic Regulations on Compliance

(5) Miyazaki International University Arrangements Concerning Compliance Education Regarding Public Research Funds

(6) Miyazaki International University Guidelines for Research Activities Using Public Research Funds

3．Identifying the Factors that lead to Misconduct and the Establishment, Implementation, and Improvement of Misconduct-Prevention Plans, as well as Auditing and Monitoring by Auditors

A “Misconduct-Prevention Planning and Promotion Division” shall be newly established with the General Administrator serving as head, and said division shall establish, promote, verify, and improve misconduct-prevention plans. Within said misconduct-prevention plans, a system that will enable monitoring over MIU as a whole as well as individual cases shall be established and implemented. Further, regarding auditing and monitoring by auditors, there shall be opinion exchanges between the Misconduct-Prevention Planning and Promotion Division and auditors from within and outside MIU. These shall confirm whether the misconduct-prevention plans are functioning appropriately and whether factors for the prevention of misconduct are reflected in said misconduct-prevention plans, and constant improvements shall be made. Additionally, when requests are made from outside said division regarding research misconduct, the division will cooperate in the related survey, inspection, etc.

Further, auditing shall be performed by Miyazaki Gakuen Internal Audit Committee auditors as well as Miyazaki Gakuen’s auditors, and opinion exchanges shall also be made in collaboration with the accounting auditors and the anti-misconduct plan promotion division. All parties will strive to prevent misconduct and pursue continuous improvement.

【Related regulations】

(1) Miyazaki International University Public Research Funds Misconduct Prevention Plan

(2) Miyazaki International University Regulations Concerning Investigations Etc. on Misuse of Public Research Funds

(3) Internal Audit Regulations of the Miyazaki Gakuen Educational Corporation

(4) Miyazaki International University Manual for Internal Auditing of Public Research Funds

(5) Miyazaki Gakuen Educational Corporation Auditor Audit and Related Duties Regulations

4. Establishment of Office in Charge of Notifications and Complaints and Creation of System for Surveys, Investigations, and Disciplinary Actions

Based on the intent of the Whistleblower Protection Act, for situations in which one has gained knowledge of the occurrence or future occurrence of the misappropriation of research funds, etc., within the education and research activities and/or business operations, etc., of Miyazaki International University, an office will be established for the reception of complaints from within or outside the institution, and there shall be infrastructure creation and enhancement, as well as a clear statement of the system and procedures for ensuring that any such complaints, etc., are communicated to the Chief Administrative Officer, with the establishment of mechanisms that are highly fair and transparent. Further, rules shall be established regarding disciplinary actions, etc., for misconduct, etc., and persons who have engaged in misuse, etc., of public research funds, etc., shall be disciplined, etc., in accordance with related regulations, etc.

(1) The office for notifications from within and outside MIU regarding the misuse of public research funds is as follows:

Notification office	Administrative Director, Administration Office
Address	1405 Kano, Kiyotake City, Miyazaki Prefecture 889-1605, Japan
Tel.	0985-85-5931 (Switchboard)
Fax	0985-84-3396
Email	soumu[at]miu.ac.jp Please change [at] to @ and send an email.

When a notification, etc., is received, confirmation of the following items will be requested. Further, in the related survey and/or inspection, cooperation may be requested from the notifying person. *(1) Name, address, etc., of the notifying person; (2) Name of researcher who performed the misconduct; (3) Details of act of misconduct; (4) Grounds (environment) for said misconduct; (5) Type of research funds, etc., under notification. In the case where the results of said inspection, etc., include a decision that the notification was based on malicious intent, necessary measures shall be implemented, including the publication of the name of the notifying person, disciplinary action, criminal complaint, etc. Further, for ensuring the impartiality and legality of related work, an office for whistleblowing has been established within Miyazaki Gakuen (General Affairs Division) and outside of the university (law office).

(2) Repayment of public research funds

When the results of the inspection, etc., based on the notification, confirm an act of misconduct, public research funds related to said research activities may be repaid (returned) in full or in part.

(3) Applications for public research funds and eligibility restrictions

Researchers who have been found to be involved in an act of misconduct may be restricted in making applications for future public research funds, etc., as well as with regard to their eligibility for participation in said applications.

(4) Disciplinary actions, penalties, etc.

In cases of misconduct in research activities, disciplinary actions will be taken in accordance with university regulations, referencing the following guidelines published by the MEXT.(https://www.mext.go.jp/a_menu/kansa/houkoku/1364866.htm)

【Related regulations】

(1) Miyazaki International University Disciplinary Committee Regulations

(2) Miyazaki International University Employment Regulations (Excerpts of relevant regulations)

(3) Miyazaki Gakuen School Corporation Internal Whistleblowing Regulations

5．Ministry of Education, Culture, Sports, Science and Technology (MEXT), etc., Publications Regarding Cases of Misuse, etc., at Japanese Domestic Universities and Research Institutions (external links; please note that most of these links are in Japanese)

(1) Guidelines for Management and Auditing of Public Research Funds in Research Institutions (MEXT)

　　https://www.mext.go.jp/a_menu/kansa/houkoku/1343904_21.htm

(2) Regarding the Curtailment of Indirect Expenses and Measures within the Guidelines (Performance Standards) for Management and Auditing of Public Research Funds in Research Institutions (MEXT)

　　https://www.mext.go.jp/a_menu/kansa/houkoku/1350398.htm

(3) For the Sound Development of Science: The Attitude of a Conscientious Scientist (Text version, in English and Japanese) (Japan Society for the Promotion of Science (JSPS))

　　https://www.jsps.go.jp/j-kousei/rinri.html

(4) Research Ethics (Japan Science and Technology Agency (JST))

　　https://www.jst.go.jp/researchintegrity/

(5) “Code of Conduct for Scientists” and its Revised Version (Science Council of Japan (SCJ))

　　https://www.scj.go.jp/en/report/Code_of_Conduct_for_Scientists-Revised_version.pdf

(6) Joint Statement for Enhancing the Integrity of Scientific Research）（PDF）

　　https://www.scj.go.jp/ja/info/kohyo/pdf/kohyo-23-261211e.pdf

(7) Response “Regarding the Improvement of Soundness within Scientific Research” (Science Council of Japan (SCJ))

(8) Contents for Compliance Education (MEXT)

　　https://www.mext.go.jp/a_menu/kansa/houkoku/1350200.htm

(9) Research Integrity Portal (JST)

　　https://www.jst.go.jp/kousei_p/