AY2024 Public Research Fund Misconduct Prevention Plans
Tokyo International University

Basic policy of misconduct prevention measures
President

Nobuyasu Kurata

Because the source of funding is dependent on the tax burden of thenation's people, the funds must be used appropriately, effectively, and withdiscipline in order to respond to the expectations and trust of the people.
Based on this, under the responsibility hierarchy stipulated in "Standards
for Implementation of Management and Audits of Public Research Funds
at Tokyo International University ", the president, who is the final
manager of the operation and management of competitive research funds,
will take the initiative as the basis for the proper operation andmanagement of public research funds.
Based on this basic policy for misconduct prevention measures, thegeneral manager and General Administration and Academic Subsidies Officeof the Academic Affairs Department, which is the prevention plan promotion
department, will formulate misconduct prevention plan as the highest level ofconcrete measures for the entire university.
１ Purpose of this planThis plan is based on “Section 3 Identification of Factors Leading to Misconduct andFormulation/Implementation of Misconduct Prevention Plans” of “Standards forImplementation of Management and Audits of Public Research Funds at Tokyo
International University”, and aims to organize and evaluate the university-widesituation regarding the causes of misconduct related to public research funds andestablish a specific activity plan to contribute to the prevention of fraudulent
activities.
1２ AY2024 Action items（１） Implementation of KAKENHI Compliance Workshop① Target: Faculty (Principal Investigator / Co-Investigator), Administrative Staff(Chief Administrative Officer, General Administration and Academic
Subsidies Office, the Accounting and Finance Section)② Duration/Frequency: About 30 minutes/Once（On-demand video distribution method）③ Implementation timing:

October - December④ Contents:➢ Basic understanding of compliance, code of conduct, misconduct
prevention efforts, understanding of the research funds spending
rules, examples of improper use and penalties, etc.
➢ Incorporating specific examples as content to raise understanding
and awareness of misconduct prevention measures, impact on theinstitution, matters to be observed, such as operational rules,
procedures, accusations, etc., disciplinary action of the institution
when misconduct is discovered, liability for own compensation,
restriction of qualifications such as application at the distribution
institution, measures such as refund of research funds, etc.,
misconduct prevention measures at the institution.

（２） Implementation of Awareness-Raising Activities① Target: A. All faculty and staff、
B. Students who receive honorariums, travel expenses, etc. due tocompetitive research expenses, etc.
② Frequency: A. At least once a quarter B. At least once a year
③ Implementation timing: A.B. As needed④ Contents: A. Result of misconduct prevention plans and internal audits,improper use cases that actually occurred (including cases of otherorganizations), things that enable consideration and sharing ofawareness regarding the causes of misconduct, etc.
B.

Disseminate the rules to students who receive honorariums,2travel expenses, etc. by competitive research funds, etc.
（ ３ ） Identify risk factors by conducting internal audits and through preventative
measures＜Factors that are likely to lead to misconduct＞
To prevent misconduct, it is desirable to introduce a mechanism that does not
require researchers to be involved in payments.
＜Measures＞
With promoting the usage of Amazon Business, payments to Amazon, which has
the highest number of advance payments for faculty members, will be made to
university payments.

（４） Preparation and implementation of internal audit plan（June～December）（５） Request a written oath from all members involved in the operation andmanagement of competitive research funds (as needed)① Faculty (Principal Investigator / Co-Investigator)② Administrative Staff (General Administration and Academic Subsidies Office,the Accounting and Finance Section, etc.)（６） Request an oath from suppliers（As needed）
If all of the following four requirements are met, or if it is deemed necessary inlight of the "Standards for Management and Auditing of Public Research Funds
at Tokyo International University", we request the relevant supplier to submit
an "oath".
① A supplier selected by a researcher.
② There are no estimates from two or more companies.
③ Second order to the same supplier.
④ The total amount of one order is 100,000 yen or more.

（ ７ ） Confirmation of budget execution status and request for additional plans for3significant delays（December）（８） Equipment physical confirmation（Target：PCs during the research period, equipmentof 100,000 yen or more, and highly cashable items※） （November）※ e.g. of highly cashable goods ： Digital cameras, video cameras, TV, recording
equipment（９） Inspection of Specialized Services（as needed）
For acceptance inspection of the following special services which require knowledge
about IT, request the IT Systems Division to carry out acceptance inspection.
①

Development and creation of databases, programs, and digital content②

Maintenance and inspection of devices

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AY2024 Public Research Fund Misconduct Prevention Plans Appendix※【From Section 3 (2) "Notes on Implementation (i)" of the separate MEXT Guidelines】
Factors Leading to Misconduct ※Discrepancies between the rules and theactual circumstances (researchers placing
1orders without authority to do so,normalization of exception processing, etc.)

2

Final decision procedures are complex andassignment of responsibilities is unclear

Misconduct Prevention Measures of TIU①"Manual on the Spending and Administration of Grants-in-Aid for Scientific
Research (KAKENHI)" (hereinafter "The Manual") is posted on POTI.

②

The manual is updated every April and at any time during the year.

①

Unified to "Tokyo International University Rules regarding Collective
Decision-making and the Authority to Make Final Decisions".

Expla Misconduct is more likely to occur if budget execution is concentrated atnation the end of the year.

3①

Described in the manual that Kakenhi has a carry-over system to the next
fiscal year and an extension system for the subsidy period, and explained at
the compliance workshop.

②

Encourage reseachers to use research funds in a coordinated way every
year in December.

③

Expenditure schedule after February requires submission of "Extension
Request for Research fund Expenditure".

Tendency of budgets to be executed atspecific times

Expla Invoice submission is delayed, or an order for more than the remaining
nation amount of research funds causes unpaid payment to the contractor.
Occurrence of problems of non-payment to4 vendors

Departments/laboratories where competitive
research funds, etc., tend to be focused, or
5 that have
newly acquired large-scale competitive
research funds, etc.

Insufficient checking of transactions(Management of the transaction logs in
6 administrative departments and managementof information regarding selection of vendors
are insufficientFrequent transactions at the same laboratory withthe same vendors for the same items; tendency toorders with vendors with which only specific
7 placelaboratories have a track record of transactions orthat have newly begun transactions with specificlaboratories①

For payments of 100,000 yen or more, submission of the University Form
"Usage reason form" is required in advance.

②

In principle, if the amount is 100,000 yen or more, the payment will be madedirectly by the university.

・Note that multiple Kakenhi cannot be combined.
Expla・Large-scale research funds tend to have a large balance, so it is necessary
nationto understand the correct carry-over rules.

①

The carry-over system and period extension system are described in themanual and explained at the compliance workshop.

②

Expenditure schedule after February requires submission of "Extension
Request for Research fund Expenditure".

①

Record vendors for each researcher.

②

As a basis for selecting a vendor, if the price is 100,000 yen or more,estimates from two companies are required.

①

Record vendors for each researcher. If certain conditions are met,
misconduct prevention "oath" will be requested to the vendor.

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Factors Leading to Misconduct ※Insufficient inspection of special service
agreements for database/program/digital
8 contents creation, device
maintenance/inspection, etc.

Loss of substance in inspection work andmonitoring, etc. (Confirmation by acceptance
9 stamp only, lack of thoroughness inconfirmation of the actual items throughpost-sampling, etc.)

Delivered items taken by vendors when they
10 leave and repeated use of delivered items indelivery inspections

Management of employment, such as
11 confirmation of the work status of part-time
employees, is left up to the laboratory

Insufficient procedures to confirm the fact ofbusiness trips, etc. (Checking for double
12 payment, confirmation with the business trip
destination, etc.)

High reliance on individuals or insular
workplace environments (accounting work
being conducted mainly by specificindividuals, etc., long-term assignment tospecific departments, inability to go against
13 the intentions of supervisors, etc.) andresearch environments in which it is difficult
to implement effective preventive measures(processing of ordering/inspection work, etc.,
within the laboratory, isolated laboratories,etc.)

Misconduct Prevention Measures of TIU
For the services on the left, it is necessary for a person with specialized
Explaknowledge to confirm whether the order details and contract amount arenation
appropriate.

①"Standards for Implementation of Management and Audits of Public
Research Funds at Tokyo International University/Standards Related toInspection of “Specialized Services”" has been prepared.
Ask the IT Systems Division to inspect special service contracts which
require knowledge of IT.

①

At the time of purchasing goods, General Administration and Academic
Subsidies Office conducts physical inspection of all cases.

②A physical confirmation survey will be conducted once a year. Targets are allPCs and all equipment of 100,000 yen or more.

③

From AY2021, "highly cashable goods *" will also be added to the target ofphysical confirmation once a year.
※e.g. of highly cashable goods：Digital cameras, video cameras, TV,
recording equipment①

All PCs and all equipment of 100,000 yen or more are managed by attachingequipment stickers and using the "equipment ledger".

①

A time card is required for the work status of part-time employees.

②

The stamp of the part-time worker is required on the attendance chart.

③

Conducted hearings with the part-time worker in the internal audit.
In addition, check the actual work situation by visiting the office or callingwithout notice.

①

Request the submission of the boarding pass or boarding pass stub if anairplane is used.

②

Request the submission of materials that can confirm the facts of businesstrips day by day.（Interview memo, hearing memo, receipts of library entrance
fee and copy fee, photo taken during the fieldwork, conference participation
slip, etc.）③Conducted hearings with business trip destinations in internal audits.

①

The department in charge of the office of public research funds will be
designated as General Administration and Academic Subsidies Office, andthe organizational structure will be such that payments cannot be madewithout going through the division in terms of the administrative flow.

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