Prevention of Misconduct in Research Activities and Misuse of Public Research Funds
Kochi University, a National University Corporation, has established relevant regulations based on the “Guidelines for the Management and Audit of Public Research Funds at Research Institutions(Implementation Standards) (Revised February 1, 2021)” and the “Guidelines on Measures Against Research Misconduct (Established August 26, 2014),” we have established relevant regulations and other measures to create an appropriate framework for addressing research misconduct. We are also committed to promoting the necessary measures for the proper operation and management of public research funds, and we will continue to build a compliance system in which all members of the university, including researchers, work together as one.
Initiatives to Prevent Research Misconduct
1. Clarification of the university’s accountability structure
We will clarify the responsibilities, scope, and authority regarding the prevention of research misconduct at our university, and actively publicize this accountability framework both within and outside the university.
・Chief Executive Officer: President
He oversees the entire university and bears ultimate responsibility for preventing research misconduct.
・General Manager: Director (in charge of Research, Medical Services, Evaluation, and Investor Relations)
The individual assists the Chief Executive Officer and holds the substantive responsibility and authority to oversee the promotion of research ethics and the prevention of misconduct in research activities.
・Person in charge of research ethics education: Heads of each department
To prevent research misconduct by researchers and others, promote fair research practices, and fulfill our responsibility to instill and update knowledge regarding research ethics, we will conduct regular research ethics training for researchers and others involved in research activities within the departments under our management, supervision, or guidance.
2. Establishing an environment that serves as the foundation for proper operation and management
1) We regularly conduct research ethics training for researchers and others involved in research activities.
2) We have established a system for reporting suspected misconduct in research activities and conducting investigations, and have established internal regulations.
Kochi University Compliance Reporting and Consultation Desk
General Affairs Division, General Affairs Section
2-5-1 Akebono-cho, Kochi City, 780-8520
TEL: 088-844-8735 FAX: 088-844-8738
E-mail: ks12●kochi-u.ac.jp (*Please replace ● with @ when sending.)
3) To promote initiatives aimed at enhancing research ethics and fostering fair research activities at the University, we have established the Office for the Promotion of Measures to Prevent Research Misconduct. The Office for the Promotion of Measures to Prevent Research Misconduct performs the following duties in relation to these initiatives.
(1) Matters related to the enhancement of research ethics.
(2) Matters related to the Code of Conduct for Researchers at Kochi University.
(3) Matters related to the formulation and promotion of the Research Misconduct Prevention Plan.
(4) Matters related to research ethics education and compliance education.
(5) Matters related to the assessment and verification of the actual status of the operation and management of public research funds.
(6) Other matters necessary for the promotion of fair research activities
4) We have established codes of conduct and other guidelines that all members of the university, including researchers, are required to follow, and we expect researchers to act with a constant awareness of their responsibilities and ethical standards.
Measures to Prevent the Misuse of Public Research Funds
1. Clarification of the university’s accountability structure
To ensure the proper administration and management of public research funds, those responsible for internal administration and management will take responsibility for anti-fraud measures both within and outside the university and actively promote them. We will also clarify their roles, the scope of their responsibilities, and their authority, and actively publicize this accountability framework both within and outside the university.
Chief Executive Officer: President
The President oversees the entire university and bears ultimate responsibility for the operation and management of public research funds. The President shall formulate and disseminate the Basic Policy on Fraud Prevention Measures (hereinafter referred to as the “Basic Policy”) and exercise appropriate leadership to ensure that the Chief Administrative Officer and the Compliance Officer carry out the operation and management of public research funds with due diligence.
Chief Administrative Officer: Director (Research, Medical Services, Evaluation, and Investor Relations)
The individual assists the Chief Administrative Officer and holds the substantive responsibility and authority to oversee the overall operation and management of public research funds. As the person responsible for coordinating the cross-organizational framework for fraud prevention measures, the individual formulates and implements specific measures for the entire university based on the basic policy, instructs the Compliance Officer on the implementation of these measures, verifies the status of implementation, and reports regularly to the Chief Administrative Officer.
Compliance Officer: The head of each department (a deputy officer may be appointed within each department as necessary)
In addition to having the substantive responsibility and authority to oversee the operation and management of public research funds across all departments, the individual shall perform the duties specified in the following items under the direction of the Chief Administrative Officer.
(1) Implement measures within the departments under one’s own supervision or guidance, verify the status of implementation, and report regularly to the Chief Compliance Officer.
(2) To prevent misconduct, provide compliance training to researchers and others, and oversee their participation.
(3) Conduct regular awareness-raising activities within the departments under one’s supervision or guidance.
(4) Monitor whether researchers and others are properly managing and executing public research funds, and provide guidance on improvements as necessary.
2. Establishing an environment that serves as the foundation for proper operation and management
1) We conduct compliance training for all members involved in the administration and management of public research funds to raise awareness of fair and efficient research practices and to ensure that knowledge of research ethics is firmly established and kept up to date.
2) We have established a system for reporting the misuse of public research funds and for conducting investigations, and have established internal regulations.
3) We have established codes of conduct and other guidelines that all members of the university, including researchers, are required to follow, and we expect researchers to act with a constant awareness of their responsibilities and ethical standards.
3. Identifying the causes of fraud and developing and implementing fraud prevention plans
We identify the factors that lead to the misuse of public research funds and formulate and implement specific anti-fraud plans for each fiscal year. We also communicate specific actions to staff and, as necessary, issue instructions to improve implementation to ensure the plans are carried out effectively.
4. Proper Management and Administration of Research Funds
1) We have established a policy regarding disciplinary actions, such as the suspension of business transactions, against vendors involved in fraudulent transactions.
2) To prevent collusion with vendors, we require the submission of a written undertaking after taking into account factors such as a certain level of transaction history (number of transactions, amount, etc.) as well as risk factors and effectiveness within the university.
3) Based on the research plan, we regularly review budget execution and request improvements as necessary.
4) We are strengthening our systems to ensure that checks conducted by parties other than the parties involved function effectively in relation to ordering and inspection procedures.
5. Promoting the Dissemination and Sharing of Information
1) To facilitate the early detection and correction of misuse of public research funds, we have established a reporting and consultation channel where anyone can report or seek advice regarding acts that constitute or may constitute misuse.
Kochi University Compliance Reporting and Consultation Desk
General Affairs Division, General Affairs Section
2-5-1 Akebono-cho, Kochi City, 780-8520
TEL: 088-844-8735 FAX: 088-844-8738 E-mail: ks12●kochi-u.ac.jp (*Please replace ● with @ when sending.)
2) We have established a help desk to answer questions regarding administrative procedures and usage rules for public research funds.
[Asakura and Monobe Districts]
◆Inquiries regarding usage rules: General Affairs and Management Section, Finance Division, Finance Department (TEL: 088-844-8123, E-mail: zz04●kochi-u.ac.jp)
◆Regarding Procurement: Finance Department, Accounting Division, Contracts Section (TEL: 088-844-8916, E-mail: zm04●kochi-u.ac.jp)
◆Regarding Applications and Systems: Research and International Affairs Department, Research Promotion Division, Research Promotion Section (TEL: 088-844-8891, E-mail: kk03●kochi-u.ac.jp)
[Okayama-Toyo Area]
◆ Matters regarding usage rules and procurement of supplies, etc. Faculty of Medicine and Hospital Administration Office, Accounting Division, External Funding Section (TEL: 088-880-2233, E-mail: ik21●kochi-u.ac.jp)
◆ Matters regarding applications and systems for grants, research grants, clinical research, etc. Faculty of Medicine and Hospital Administration Office, General Affairs and Planning Division, Research Promotion Office, Planning Section (TEL: 088-880-2180, E-mail: is21●kochi-u.ac.jp)
◆ Matters regarding applications and systems for Grants-in-Aid for Scientific Research, collaborative research, and commissioned research Research Support Section, Research Promotion Office, General Affairs and Planning Division, Faculty of Medicine and Hospital Administration (TEL: 088-880-2226, E-mail: is22●kochi-u.ac.jp)
*Please replace the ● in each email address with @ before sending.
- Rules on Compliance Reporting, etc., at Kochi University (PDF)
- Regulations on the Prevention of Misuse of Public Research Funds at Kochi University (PDF)
6. Approaches to Monitoring
1) The Corporate Audit Office works in collaboration with the Finance Division, the Accounting Division, the Research Promotion Division, and other relevant departments to identify the causes of fraud and conduct effective and practical audits accordingly.