Prevention Plan of Improper Use of Research Funds, etc.
at National University Corporation Kanazawa University
Determined on September 14, 2012
By the Board of Executives
Latest amended on June 10, 2024
By the Promotion Committee for a Prevention Plan for Illegal Conduct Pertaining to Research Funds
1. Purpose
In order to fully ensure the proper use of research funds in the National University Corporation Kanazawa University(hereinafter referred to as the “University”), “Prevention Plan of Improper Use of Research Funds, etc. at National
University Corporation Kanazawa University” (hereinafter referred to as “Prevention Plan of Improper Use” has been
prepared, as mentioned below, based on “Basic Guidelines for Proper Control of Research Funds, etc. at National
University Corporation Kanazawa University” (hereinafter referred to as “Basic Guidelines”), and shall be
implemented accordingly. Incidentally, the definition of terms in this Prevention Plan of Improper Use” shall be thesame as the one in the Basic Guidelines.
2. Measures for prevention of improper use
CausesObjectives

Actions

Responsible
Parties①-1 Disseminating applied rules,*Finance Dept.

(1) Lack of①Thoroughunderstanding ofdissemination ofregulations, etc. systematized for better*Researchapplied rules forapplied rules,understanding

Promotion Dept.

research costs, etc. andregulations, etc.

①-2 Periodically holding an explanatory*Finance Dept.

the University’s

meeting concerning applied rules, etc.

*Research

regulations, etc. as

commencing with the Basic Guidelines

Promotion Dept.

well as decline ofand the Prevention Plan of Improper

awareness forUsecompliance with laws
and ordinances①-3 In coordination with each

*Departmental

Department Communication

Administrator

Coordinator, each Departmental
Administrator shall implement
dissemination of applied rules, etc. ineach section, commencing with theBasic Guidelines and the Prevention
Plan of Improper Use, andenlightenment activities aimed atraising awareness of all faculty
members to prevent illegal conduct.

②Checking②-1 The investigation of understanding

understanding level

level shall be made. The results of theof applied rules, etc.

survey it will use the review of theand taking

Prevention Plan of Improper Use,corrective measuresand holding an explanatory meeting.

*Finance Dept.

as needed①-1 Always understanding the budget*Departmental

members engaged inbalance by effectively using theAdministrator

concentrated at the end

research funds, etc.

University’s supporting system, etc. forof a fiscal year due toshall always

budget execution and paying attention

inability of planned

understand theto avoiding significant delay of theimplementation.

execution status oforiginal plan

(2) The execution of①The faculty

research funds, etc. isthe balance ofbudget, etc.

①-2 Regarding Grants-in-Aid for
Scientific Research, for problems*Departmental
Administrator

concerning research that is deemed notto have been executed as planned suchas goods requiring extended time fordelivery or contract procedures and theoccasion that balance remains morethan 50% as of the last day ofDecember of each fiscal year, etc., theDepartment Communication
Coordinator shall disseminate thestatus, and Departmental Administrator
shall concurrently confirm the reasonsfor the execution delays and shallprovide any necessary guidance①-3 Disseminating the system for using*Departmental

competitive funds, etc. from the nation,

Administrator

etc. prior to them being granted and*Finance Dept.

providing assistance for its execution
as planned

①-1 When making a contract, the staff in*Departmental

prevent faculty

charge of contractual matters shall

Administrator

faculty members andmembers getting toocollect as much relevant information*Finance Dept.

outside vendors

close to outsidefrom as many vendors as possible andvendors

publicize the procurement(3) Collusive①Taking measures torelationship between

information①-2 The faculty members (meaning all*Departmental

members not in charge of contractual

Administrator

matters) shall understand that they

*Finance Dept.

have no authority over theprocurement of goods and contacts
and shall act in accordance with theUniversity’s rules when using
personal funds

temporarily for what

university should owe①-3 Strictly ensure that the vendor enters*Departmental

dates in each of the documents

Administrator

prepared by vendors, such as*Finance Dept.

estimates, invoices and bills, etc. andsubmits bills promptly②Requesting②-1 Preparing a notice concerning*Departmental

vendors to assist thevendors’ duties of compliance with

Administrator

prevention oflaws and ordinances and punishments*Finance Dept.

improper conduct

for violations such as businesssuspension, etc. and posting it ininspection areas, etc.

③Ensuring③-1 Randomly sample vendors

verification during antransacting with the University andinternal audit

carry out auditing that includes*Office for
Corporative Audit

verification of existence/nonexistence, etc. of deposits received①-1 Strict execution of acceptance(4) Acceptance①Establishing andinspection of goods

disseminating a

inspections are carried out by staff inbecoming mere officeunified internal

charge of acceptance inspections.

work

standard for

Those persons responsible for

acceptanceacceptance inspections and inspection

inspections.

areas of the University are as per
Appendix 1*Departmental
Administrator

①-2 Staff in charge of acceptanceinspections shall indicate the section*Departmental
Administrator

in charge, inspection date(year/month/day) and staff name on
invoices as an inspection stamp when
performing delivery inspections, so as
to have a clear history of inspections
carried out①-3 After delivery inspections have been

*Departmental

carried out, upon the receipt of goods

Administrator

by each research laboratory, etc., therecipient of goods shall sign invoiceswith a signature or seal②-1 In case of goods being delivered by*Departmental

method of acceptancea delivery company directly to aAdministrator

inspections of non-laboratory, etc., after the staff of thestandard goods,relevant laboratory, etc., shall receive

establishing andthe goods and sign the invoice, theydisseminating a

immediately notify the staff in charge

unified internalof inspection administration and havestandard

the inspection performed by the②Concerning theinspection administrator②-2 In case of goods being delivered to*Departmental

an outside institution without anAdministrator

acceptance inspection performed by
the administrative section of theUniversity, a request shall be sent tothe staff of the organization for theinspection to be carried out and forthe invoice to be signed and returnedto the University②-3 Concerning the special service(Developing or creating of databases,programs and digital contents,
maintenance and inspection ofmachine), staff in charge ofacceptance inspection accept by
deliverables, the documents which
can confirm observance of a contract*Departmental
Administrator

or on-site confirmation by observing,etc.
③-1 Concerning the goods which are not*Departmental

University’s

being inspected through appropriate

Administrator

acceptance inspection

procedure, prepare a notice of*Finance Dept.

system among outside

rejection, etc. and post it at thevendors as wellinspection areas, etc.

③Disseminating the④Carrying out strict④-1 Of the inspected goods received,verification during

thosedeemed to be large in volumeinternal audits

per procurement and deemed to have

*Office for
Corporative Audit

limited usage, etc. shall be selected
and verified by an auditor during
internal audits(5) Insufficient factual①Strict verification①-1 Make use of the university-operated*Departmental

verification regardingof facts regarding“Business Trip Navigator” ticket-Administrator

business trips

business trips

issuing system (train tickets, airplane*Finance Dept.

tickets, lodging, etc.) when claiming
travel expenses①-2 Strict submission of receipts,*Departmental

vouchers, etc. is necessary for theAdministrator

issuance of travel expenses.

*Finance Dept.

Furthermore, the documents that must

*General Affairs

be submitted are as per Appendix 2Dept.

②Strict verification②-1 Auditors shall randomly sample andduring internal audits

carry out direct factual verification of*Office for
Corporative Audit

business trip destinations, etc.
①-1 Staff in charge of reward(6) Insufficient factual①Strict verification

verification of rewardsof facts concerning

administration shall ensure priorreward payments

submission of the “Reward Payment*Departmental
Administrator

Plan” to the administrator①-2 The administrator (for remotelocations, faculty members other than

*Departmental
Administrator

a verifier of Time Sheet) shall verify
the detail with the execution manager
and the administrative manager
according to the “Time Sheet” and“Reward-payment Execution Report”①-3 In case of reward payments for*Departmental

lectures, etc., a pamphlet, etc.

Administrator

indicating the content (date, time,place, name of lecturer, etc.) shall be
attached to the report②Strict verification
during internal audits②-1 Concerning rewards forexperimental assistance, arrangement*Office for
Corporative Auditof materials, etc., an auditor shallrandomly sample and carry out direct
factual verification of work details,
hours, etc. with the execution
manager and the staff operating thejob①-1 Concerning subsidies requiring*Departmental

fully managed byadministrative management, fully

Administrator

university

ensure proper actions and procedures(7) Lack of awareness①Subsidies, etc. areof administrative
management such as
subsidies etc. awarded
to faculty members of
the University

determined by the University