The Impropriety Prevention Plan, the Public University Corporation, theUniversity of Aizu
(Enacted March 31, 2015)(Revision: June 23, 2016)(Latest revision: April 1, 2023)
1. Basic Policy
The Public University Corporation, the University of Aizu (hereinafter, “UoA”),
in accordance with the MEXT’s "Guidelines (Implementation Criteria) for theManagement and Auditing of Public Research Funds at Research Institutions"(Determined by the Minister of MEXT on 15 th February, 2007), in order to prevent
misappropriationofpublicfunds

andtothoroughly

conduct

appropriate

management and operation of UoA public research funds, based on the UoARegulations on the Prevention of Impropriety Concerning Research Activities(hereinafter,“ImproprietyPreventionRegulations”)

andtheRegulations

Concerning the Handling of Public Research Funds at the UoA (hereinafter,“Research Funds Regulation”), hereby establishes the UoA Impropriety Prevention
Plan (hereinafter, “this plan.”) to implement measures to prevent impropriety.
2. Definitions
The definitions of the terminology used in this plan are as defined in theImpropriety Prevention Regulations and Research Funds Regulations.
3. Prevention of Inappropriate Conduct in Research Activities
3-1 Building thorough awareness of the prevention of inappropriate conduct
The Chief Executive Officer shall work to build quarterly awareness of theprevention of inappropriate conduct based on the Impropriety Prevention
Regulations.
Further, the Chief Research Ethics Education Officer shall educate Faculty andStaff, Etc. on research ethics in accordance with the Impropriety Prevention
Regulations, etc. in order to promote the thorough permeation of awareness of theprevention of inappropriate conduct.
4. Appropriate Management and Operation of UoA Public Research Funds
4-1 Building thorough awareness of appropriate management and operation of UoA
Public Research Funds
The Office for the Compliance Promotion shall provide for the matters required
for the appropriate management and operation of UoA Public Research Funds, such1

as compliance matters related to the accounting management and execution ofordering by faculty (hereinafter, "Compliance Matters for Management andExecution"). At the same time, the understanding of Faculty and Staff, Etc. shallbe gained through compliance training, etc. in order to promote awareness ofcompliance with laws and regulations, etc. In addition, the Office shall work tobuild quarterly educational activities on the proper management of PublicResearch Funds.
4-2 Verification of the execution status of Public Research Funds
The Office for the Compliance Promotion shall, as needed, verify the execution
status of Public Research Funds, and check whether it complies with actualconditions. In the event that the execution of Public Research Funds has fallen
significantly behind the initial schedule, the Office for the Compliance Promotion
shall check whether a problem has occurred in the implementation of the researchplan, and provide instruction for improvements as needed.
4-3 Identification of financial resources at the ordering stage
Faculty and Staff, Etc. engaged in research activities, in order to ascertain thestatus of the execution of Public Research Funds shall, without delay, identify thefinancial resources used for payment at the ordering stage.
4-4 Prevention of collusion with vendors
The Office for the Compliance Promotion shall take necessary measures toprevent collusion between Faculty and Staff, Etc. engaged in research activities
and vendors.
The Office for the Compliance Promotion shall determine a policy for punishingvendors engaged in inappropriate transactions (hereinafter, "Punishment Policy")and shall enact measures based on the Punishment Policy against vendors who
engage in inappropriate transactions, including the suspension of transactions.
The Office for the Compliance Promotion shall, after consideration of a vendor's
past record of transactions (their number and value, etc.), risk factors, viability,etc., shall request vendors engaged in transactions with the UoA to submit awritten oath.
The matters that must be included in the written oath from the vendor shall be
as follows.
･ I will comply with UoA regulations, etc., and will not involve myself inimpropriety.
･ I will cooperate with the UoA's requests for access to, and submission of my2

transaction ledgers, etc. during internal audits and other UoA investigations,etc.
･ When impropriety is recognized, I will not protest any resulting punishment,including suspension of transactions.
･ In the event I have been requested by UoA Faculty and Staff, Etc. to engage ininappropriate conduct, etc., I shall report this fact to the UoA.
4-5 Ordering and acceptance inspection
In accordance with accounting regulations, etc., purchase ordering or the signingof contracts shall, as a general rule, be carried out by the Administrative Office. In
the event that purchase ordering or the signing of contracts is delegated to Facultyand Staff, Etc. engaged in research activities due to compliance matters related tothe management and execution, the Administrative Office shall carry out
acceptance inspection.
4-6 Acceptance inspection of special services
As a general rule, acceptance inspection of special services for which acceptanceinspection

requiresspecialized

knowledge,

considering

theriskof

themisappropriation, etc. of Research Funds, must be confirmed after the fact byFaculty and Staff, Etc. with specialized knowledge who were not involved inpurchase ordering or signing contracts.

These special services include thedevelopment and creation of databases, programs, and digital content, and themaintenance and inspection of equipment, etc.
4-7 Employment management of part-time employees
The management of the employment of part-time personnel hired using Public
Research Funds shall be carried out by the Administrative Office. The
Administrative Office shall periodically confirm the details of work duties throughattendance records, etc.
4-8 Management of items with high cash value
Efforts shall be made to appropriately manage the fixed assets defined in theUoA Regulation Concerning Accounting Policies as well as items with high cash
value purchased with the Competitive Research Funds, etc. of the national
government or an Independent Administrative Institution, etc. under its
jurisdiction. These efforts shall include disclosing that the purchase was financed
by Competitive Research Funds, etc., and maintain records on the location of theitem, etc. Further, purchased goods will be selected randomly and checked by the3Administrative Office at a later date, for the purpose of impropriety prevention.
4-9 Confirmation of business travel
Ascertainment and confirmation of the execution of business travel plans ofFaculty and Staff, Etc. shall be carried out through confirmation of the purpose ofbusiness, the travel destination, place of lodging, and the individuals being met,etc. This confirmation shall be based on travel orders and business travel reports.
In this way, the appropriateness of the purpose of business and the amountreceived will be confirmed, including confirmation that no redundant travel
expenses were received. If necessary, cross-referencing and confirmation of thefacts of the travel shall be carried out.
5. Revision of the Impropriety Prevention Plan
The Office for the Compliance Promotion shall, in collaboration with the Audit
Office, work to ascertain and analyze the factors that lead to impropriety, andreview this plan as necessary.
6. Cooperation with Auditors
The University shall receive confirmation from the Auditors on the status o fmaintenance and operation of internal controls for prevention of misconduct from theperspective of the University as a whole. In addition, the University shall receive
confirmation from the Auditors as to whether the factors causing the occurrence offraud, as identified through monitoring and internal audits, are properly reflected in

The Impropriety Prevention Plan and whether The Impropriety Prevention Plan isproperly implemented. And it shall be reported as the Auditors' opinions at the Deansand Directors Council (D&D).
At the same time, the necessary information regarding the above shall be provided tothe Auditors, and a meeting shall be held to exchange opinions with the Auditors
regarding the status of the operation of The Impropriety Prevention Plan .

7. Other
Other necessary matters regarding the promotion of this plan shall be determined
separately by the Chief Executive Officer.

ADDITIONAL PROVISIONS
1. This plan shall be enforced as of March 31, 2015.

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2. The Project for Prevention of Inappropriate Conduct Regarding Public ResearchFunds, Etc. at the Public University Corporation, the University of Aizu (April 1,2009) shall be abolished.
ADDITIONAL PROVISIONS
1. This plan shall be enforced as of June 23, 2016.
ADDITIONAL PROVISIONS
1. This plan shall be enforced as of April 1, 2023.

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