Preservation version（Research expenses compliance educational materials）― Ｆｏｒ ｓｔｕｄｅｎｔｓ ―KOBE UNIVERSITY

Preface
Kobe University (hereinafter referred to as the “University”) takes a variety of steps to prevent
misuse of research funds with a view toward facilitating research activities through proper
management and efficient use of such funds. These steps include the establishment of relevant
regulations, as well as a consultation hotline for inquires about the rules for use of funds and awhistleblowing hotline for reporting improper use of funds.
University appreciates students’ cooperation for carrying out research after confirming andunderstanding the following matters when requested to do work, etc., related to research by aresearcher.

Submission of a pledge
・When receiving wages or honorariums via a request for duties related to the accomplishment of a
research task, for example: document organisation, etc.
・When receiving business trip expenses after a business trip, related to the accomplishment of a
research task, via a request for duties.
When receiving any requests, etc., abovementioned from a researcher, it is necessary to submit a“pledge” which vowed to comply with laws and regulations, etc., and not to perform any illegal acts.
(A “pledge”, without large revision, may submit one time.)
In addition, if it is not possible to submit a pledge for some reasons, the requests will not be able to beprocessed.

Basic procedures
To use research funds, basic procedures such as “Preliminary submission of respective
documents” or “Confirmation of the facts causing expenditure” are necessary.

〈Business trip expenses〉
Business trip request・・If a business traveler is a student, a researcher, etc. inputs necessary
data on his/her behalf.
Taking a business trip・・Be sure to keep documents that serve as evidence of the trip
(or business),such as conference programs and research notebooks.

Business trip report・・・Be sure to attach the conference program, etc.

◎ Documentary evidence from transport service operators, etc. that must be attached・ Airline ticket stubs and receipts
・ Documents showing the route traveled and amount paid (for international trips)
・ For trips by sea, documents and receipts showing the route traveled, cabin class, and fare・ For a package trip, documents and receipts showing a breakdown of the amount paid◎ Business trip report・ Be sure to specify the following information in the “Description” section of the business trip reportor statement of short-distance business trip expenses adjustment, so that details of thebusiness trip may be verified at a later date.
1）When (dates and times) 2）Where (destinations) 3）With whom 4）For what purpose・ A business trip report should be filed promptly (within two weeks) after a business trip is completed.

[Example business trip reports]
Duration
Destination
PurposeDescription

Tuesday, September 1, 20XX – Thursday, September 3, 20XX
Faculty of _____, _____ University
To participate in the __th ___ Conference to present a paper and gather data on ___Participated in the abovementioned conference, which was held at _____
University on September 1-3, and presented a paper on _____ on September 2 as
described in the attached program. On other dates, participated in workshops andgathered data for research on _____

Accommodation _____ Hotel (_____ City)〈Personnel expenses and honorariums〉
Application・・A letter of inquiry, etc. (A researcher performs it.)
Provision of services・・Job duties, labor and employment conditions, etc., will be explainedby the administrative staff.
An attendance book should be received in the office on arrival, andreturned to the office on leaving.
Payment of wages/honorariums・・After the duties end, it will be transferred to the bankaccount in the name of the person (student). (It takes alittle while.)
If the duties requested are concerning your classes to be taken as schoolwork, or a hindrance toyou attending classes, you will not be able to submit any requests.

Misuse of research funds,
Preparing false documents, as if they are based on facts, with the intention of improperly
receiving research funds constitutes “misuse of research funds,” even if the funds are not used
for private purposes.
[Business trip expenses] --- Fictitious business trips and padded demands for business trip expenses[Personnel expenses, honorariums] --- Fictitious wages and honorariums

Fictitious business trips and padded demands for business trip expenses
Ex. Receiving expenses for a business trip by train without reporting that discount airlines were actually usedinstead
Ex. Claiming and receiving business trip expenses from the University despite receiving funding from otherorganization(s) for the same trip
Ex. Claiming and receiving business trip expenses by padding out the length of the trip
Ex. Receiving business trip expenses as a total amount of air or train fare despite traveling on a package tour that
included such fares together with hotel expenses

Fictitious wages and honorariums

Ex. Recording more work hours than actually worked on a timecard and filing a claim for payment with theUniversity so that the Principal Investigator can receive an excessive lump sum payment for him/herself andhis/her collaborators, pay his/her collaborators for the hours actually worked, and use the difference for otherexpenses
Ex. Paying a fictitious wage or honorarium to students, etc., making them pay it back (kickback), and spending themoney on maintaining and running the laboratory

Whistleblowing Hotline for Misuse
Please contact the following internal or external whistleblowing hotlines toreport misuse of research funds.
[How to report misuse]・ The informer must submit a document describing his/her name, affiliation, address, etc. and the following
information to one of the whistleblowing hotlines below.
1） Name(s) of person(s) suspected of misusing research funds
2） Nature of misuse and details of the case3） Rational reasons for and evidence of misuse
・ In addition to the above, reports may also be made via post, or e-mail.
・ The report will be examined and a judgement made within 30 days of receipt. The informer will be notified ofthis decision.
・ If the report contains general opinions and complaints and does not meet criteria for investigation, the reportwill be forwarded to the relevant department and used to improve working conditions.
Internal hotline: Internal Control Office, Kobe University (1st Floor, Administrative Office)
Hours: 08:30-12:00, 13:00-17:15* Closed on weekends, national holidays, summer simultaneous holidays, andyear-end/New Year’s holidays (December 29 - January 3)
Send documents, etc. to:1. By post: Internal Control Office, Kobe University 1-1, Rokkodai-cho, Nada-ku, Kobe, 657-8501
Please write “Whistle-blowing” on the envelope.
2. E-mail: cp-tuho@office.kobe-u.ac.jp
External hotline: Kobe-Kaito Law Office (Contact Takisawa or Horiuchi)
1. By post: 7F Shinko Building, 8 Kaigaindori, Chuo-ku, Kobe, 650-0024
Please write “Whistle-blowing” on the envelope.
2. E-mail: shindai-gaibu@kobe-kaito.com【The person himself/herself must record and keep this.】Name
Pledge submission date: year/month/day/

Pledge submission department:

Edited/published: Internal Control Office, Kobe University
1-1, Rokkodai-cho, Nada-ku, Kobe, 657-8501
Revised in 2019