Unlawful Act Prevention Plan Pertaining to Research Activities at theNational Graduate Institute for Policy Studies
April 8, 2008
Decision of the President
Revised by:

January 27, 2015
April 1, 2022

I Unlawful act
prevention planpertaining toresearch funds
Common items

Honorariums
and wages

Operations to be worked on forprevention of unlawful acts

Operations to be conducted by researchers,etc.

Operations to be worked on by the
Administrative Bureau* Manuals pertaining to budget execution
shall be properly maintained.
* Information shall be shared throughinternal seminars and workshops andnotices via intranet bulletin boards.
* Awareness raising activities shall becarried out on a regular basis with theaim of raising and instilling awarenessregarding the prevention of unlawfulacts among researchers.
* A pledge for the prevention of unlawfulacts in research and unlawful use of
research funds shall be obtained fromnewly recruited employees.
* In terms of the prevention of cozy
relations between vendors andresearchers, a pledge for the preventionof unlawful transactions shall beobtained from vendors.
* Initiatives to promote planned budget
execution shall be carried out so thatbudget execution will not take place
unevenly, only during a specific period.

* Efforts shall be made to maintain a fullknowledge of manuals pertaining tobudget execution and research funds
shall be properly used.
* Researchers shall participate in internalseminars of grant-in-aid for scientificresearch, etc.
* Researchers shall submit a pledge for theprevention of unlawful acts in researchand unlawful use of research funds
without delay upon employment.
* The status of budget execution regarding
research funds shall be checked on an
online system as needed, and budget
execution shall be managed properly
based on a research plan.

* Manuals pertaining to budget
execution shall be properly
maintained, updated, andcommunicated throughout theuniversity.
* The Administrative Bureau shallmake researchers and others
understand the system throughinternal seminars workshops andintranet bulletin boards.
* The status of participation in internalseminars and workshops shall bechecked and notice shall be given to
demand participation.
* Awareness raising activities targeting
researchers, etc. shall be carried out
using such means as faculty meetings
and a mailing list to impart theresults of internal audits to them.
* The submission of a pledge
pertaining to unlawful act prevention
shall be requested from vendors withhigh transaction amounts (as ageneral rule, annual transaction
amount of 3 million yen and over).
* The procedure for budget execution at
the end of each fiscal year shall bemade known throughout the Institute,and confirmation shall be made withlaboratories where research funds areconcentrated or which have acquireda large amount of research funds,
about their plans to execute thebudget within the relevant fiscal year.

* Work Record Sheets and otherdocuments regarding employment shallbe managed at the AdministrativeBureau.

* Administrative procedures necessary forpayment of honorariums shall beproperly conducted.
* Matters related to arrangement ofnecessary documents for employment(resumes, bank transfer request forms,etc.) shall be properly conducted.
(excluding cases of being conducted at
the Administrative Bureau)* Upon employment, the working hours
and details of duties of employees shallbe properly managed.

* Randomly selected on-site
confirmation shall be conducted toconfirm the identity of the employedpersons based on the employmentplan.

Purchases ofgoods, etc.

* In terms of the prevention of cozy
relations between vendors andresearchers, clerical staff shall bepresent in meetings regarding purchaseof goods, etc. of 500,000 yen and overin principle.
* Orders by faculty members are notpermitted except for out-of-pocket
expenses up to 100,000 yen.
* A reimbursement of up to 100,000 yen
may be claimed only for goods
purchased online (in principle,reimbursements may not be claimed forgoods purchased at stores).
* Vendors shall be properly selected anddelivery and acceptance inspectionshall be conducted.

* Orders for goods shall be placed basedon an order placement request form.
* Delivered goods shall be confirmed
based on a request from the Budget andAccounting Division.
* In cases of out-of-pocket expenses,
efforts shall be made to properly selectthe vendor and achieve efficientprocurement.
* In cases of out-of-pocket expenses, theapplicable goods shall receive anacceptance inspection with a request forreimbursement at the Budget andAccounting Division (by bringing thegoods to the division or sending photosof the goods to the division).

* Clerical staff shall be present inmeetings regarding purchase, etc. ofgoods of 500,000 yen and over inprinciple.
* Confirmation of delivery andacceptance inspection of delivered
goods shall be conducted by a person
other than the person who requested
the purchase, etc. of the goods andthe person in charge of the contract.
* In addition to purchases of goods,delivery and acceptance inspection
shall be properly conducted forstorage and management when goods
are acquired based on contracts for
special service (databasedevelopment, creation, etc.).

Goods* Proper management shall be conductedof goods that cost 100,000 yen andover, and goods that have a high cashvalue.
* In order to prevent the improper
management of goods, follow-up
checks of goods shall be conducted
through sampling.

* Goods that have been purchased, etc.
shall be properly managed.
* Researchers who wish to dispose ofgoods that cost 100,000 yen and over,and goods that have a high cash value
shall notify the Budget and Accounting
Division in advance.

* Proper management shall be
conducted of goods that cost 100,000
yen and over, and goods that have ahigh cash value through means suchas attaching stickers stating that the
goods are university property.
* Follow-up checks shall be conducted
through sampling to ensure that
goods are being properly managed.

Businessoutsource* In terms of prevention of cozy relations
between vendors and researchers,clerical staff shall be present inmeetings in principle.
* In cases where it is difficult to rely onother vendors, objective and rational
reasons shall be clarified.

* Requests for business outsource shall bemade with written documents.
* In cases where it is difficult to rely onother vendors, a document of reasonsclearly stating objective and rational
reasons shall be submitted.

* Clerical staff shall be present inmeetings in principle.
* An internal audit shall be conducted
as needed in terms of contents ofoperations and selection of vendors.

Travel expense* To prevent fraudulent acquisition by
fake business trips and padded businesstrips, the following matters shall beconducted.
- A travel report (mission report) shallbe submitted even for a case of aone-day business trip.
- A business traveler shall submit thefollowing documentary evidence.
1. A copy of a notification of ameeting (excluding cases ofbeing confirmed by internal
timetable of events, etc.) and a
program of an academic
meeting.
2. Receipts of airfares, express
charges, etc.
3. Estimates by which contents
and a breakdown of receipts
can be confirmed
4. Documents which certify thefact of boarding such as usedstubs of air tickets
5. In cases of an overseas trip, anoverseas trip plan in addition
to 1–4 above.
- In cases of business trip withlodging, the name of theaccommodation venue shall bewritten in a travel report (mission* In submitting a travel report (missionreport), the following matters shall beconducted.
- A business traveler shall submit thefollowing documentary evidence.
1． A copy of a notification of ameeting and a program of an
academic meeting.
2． Receipts of airfares, express
charges, etc.
3． Documents by which contents
and breakdown of receipts canbe confirmed
4． Documents which certify thefact of boarding such as usedstubs of air tickets
5． In cases of an overseas trip, anoverseas trip plan in addition to
1–4 above- In cases of business trip with lodging,
the name of the accommodation
venue shall be written in a travel
report (mission report). Unsubmitted
receipts of accommodation shall be
stored for one month.
* In cases of business including researchmeetings, the affiliation and names ofthe other parties shall be specified in atravel report (mission report).

* To prevent fake business trips andpadded business trips, attendance ator absence from internal meetings on
the days of business trips shall beinvestigated properly.

management

report). In addition, the fact oflodging shall be confirmed properly
by a receipt.
* In cases of business including researchmeetings, the affiliation and names ofthe other parties shall be specified in atravel report (mission report).
II Unlawful act
prevention planpertaining toresearch
activities* To prevent fabrication, falsification,
plagiarism, and other unlawful acts,
seminars and workshops shall be held,
and these matters shall be explained to
new students at the enrollment
guidance session.

* Researchers shall participate in internalseminars, workshops, and the enrollment
guidance session.

Supplementary Note
This plan shall be implemented from May 1, 2008.
Supplementary Note (January 27, 2015)
This plan shall be implemented from April 1, 2015.
Supplementary Note (April 1, 2022)
This plan shall be implemented from April 1, 2022.

* The Administrative Bureau shallmake researchers and others
understand the system throughinternal seminars, workshops, and theenrollment guidance session.