The Regulations Concerning the Handling of Public Research Funds at the
Public University Corporation, the University of Aizu
(Ruling No. 2

March 31, 2015)(Ruling No. 14

June 23, 2016)

Article One(Purpose)
1.1 The purpose of these regulations is to provide for the necessary mattersregarding the handling of Public Research Funds at the Public University
Corporation, the University of Aizu (hereinafter referred to as "UoA"), to createand strengthen an appropriate management and operation system, and to prevent
misappropriation.
Article Two(Definitions)
2.1 Within these regulations, the terminology listed in each of the following
items shall be as defined in each item.
a.

Public Research Funds: Research funds financed by the Competitive
Research Funds, etc. of the national government or an independentadministrative institution, etc. under its jurisdiction, as well as all researchfunds managed by the UoAb.

Faculty and Staff, Etc.: UoA faculty and administrative staff members, aswell as any other individuals involved in the management and operation of
UoA Public Research Fundsc.

Misappropriation: The use of Public Research Funds for purposes other thanoriginally intended, the use of Public Research Funds through false claims,
or the use of Public Research Funds in a matter that violates laws,
ordinances, or UoA regulations, etc.
Article Three(Management and Operation System)

3.1 The following positions will be established to allow the appropriate
management and operation of UoA Public Research Funds.
a.

Chief Executive Officer: The individual who supervises the UoA as a whole,and has the ultimate responsibility for the appropriate management andoperation of Public Research Funds. The position shall be served by the
Chairperson of the Board of Executives.

b.

Chief Operating Officer: The individual who supports the Chief Executive
Officer and, in regards to the appropriate management and operation of1

Public Research Funds, has the substantial responsibility and authority tosupervise the UoA as a whole. The position shall be served by the Regent in
Charge of General Affairs and Financial Affairs.
c.

Chief Compliance Officer: The two individuals who have the substantial
responsibility and authority for the appropriate management and operationof Public Research Funds. The positions shall be filled by the Deputy
Director General Assigned to the University Administration Office for
University matters and by the Deputy Director General Assigned to the
Junior College Division Administration Office for Junior College Division
matters.

d.

When the positions of the officers mentioned in the previous three items areserved or when those assuming those positions are changed, their titles shallbe publically announced.

3.2 The Chief Executive Officer must create a fundamental policy regarding
preventive measures against misappropriation (hereinafter referred to as the“Fundamental Policy”), publicize that and exercise appropriate leadership so that
the Chief Operating Officer, Chief Compliance Officer, and Faculty and Staff, Etc.
can engage in the appropriate management and operation of Public ResearchFunds at the UoA in a responsible manner.
3.3 The Chief Operating Officer must prepare concrete measures at theuniversity, implement those measures, and make a report on situations regarding
their implementation to the Chief Executive Office.
3.4 The Chief Compliance Office must perform the following duties under the
instruction of the Chief Executive Officer.
a.

Confirm situations regarding implementation of the preventive measuresagainst misappropriation and report the situations to the Chief Operating
Officer.

b.

Provide Faculty and Staff, etc. with compliance education in order to prevent
misappropriation, and confirm the status of providing

complaisanceeducation and their levels of understanding.
c.

Monitor whether Faculty and Staff, etc. are appropriately managing andexecuting public research funds and give instructions for improvement if
necessary.
Article Four
(Duties of Faculty and Staff, Etc.)

4.1 In order to prevent the misappropriation of Public Research Funds, the Codeof Conduct Regarding the Use of Public Research Funds at the Public University
Corporation, the University of Aizu (hereinafter referred to as "Code of Conduct")2

shall be established.
4.2 Faculty and Staff, Etc. must follow the Code of Conduct, and must notmisappropriate Public Research Funds.
4.3 Every fiscal year, Faculty and Staff, Etc. must attend at least one compliancetraining session on the appropriate management and operation of Public ResearchFunds run by the Chief Compliance Officer, and must submit a written oathcontaining the matters listed in the following items to the Chief Executive Officer.
a.

I will observe UoA regulations, etc.

b.

I will not misappropriate funds.

c.

In the event that I misappropriate funds in violation of regulations, etc., I
shall accept any punishment from, or bear legal responsibility to the UoA or
the institution providing the Public Research Funds (hereinafter referred toas "Funding Institution").

4.4 Faculty and Staff, Etc. must obey the instructions of the Chief Executive
Officer and Chief Operating Officer in regards to preventing the misappropriationof Public Research Funds.
Article Five
(Impropriety Prevention Plan)
5.1 The Chief Executive Officer shall ascertain the factors that cause themisappropriation of Public Research Funds at the UoA, and must establish an
Impropriety Prevention Plan in order to take appropriate countermeasures.
5.2 The Chief Executive Officer must put in place the administration systemneeded to promote the Impropriety Prevention Plan.
5.3 The Chief Executive Officer must strive to ascertain the state of progress of
the Impropriety Prevention Plan.
Article Six(Office for the Compliance Promotion)
6.1 In order to promote the Impropriety Prevention Plan mentioned in Paragraph
5.1 of the preceding article at the UoA, the Public University Corporation, theUniversity of Aizu Office for Compliance Promotion (hereinafter referred to as"Office for the Compliance Promotion ") shall be established.
6.2 Necessary matters regarding the establishment and operation of the Officefor the Compliance Promotion shall be provided for separately.
Article Seven(Establishment of Reporting Hotlines)
7.1 In order to appropriately administrate consultations and reporting on

3

misappropriation (hereinafter referred to as "Reports, Etc."), contact hotlines for
Reports, Etc. (hereinafter referred to as "Reporting Hotline.") shall be establishedwithin the Planning and Collaboration Division for University matters and within
the Junior College General Affairs Section for Junior College Division matters .
Article Eight(Reports, Etc. of Misappropriation)
8.1 Should misappropriation occur, or should there be a suspicion that it has
occurred at the UoA, it shall be possible for anyone to report, etc. misappropriation
through the Reporting Hotline.
8.2 Reports, Etc. shall be made via writing, email, telephon e, fax, or in-person
consultation.
8.3 As a general rule, Reports, Etc. require revealing the reporter’s name andcontact information. However, the reporter may request anonymity in theprocedures that follow afterwards.
8.4 When Reports, Etc. are received by the hotline, the Chief Executive Officer
must be notified content of the Reports, etc. in a timely manner.
8.5 In the case referred to in the preceding paragraph, the Chief Executive
Officer shall ascertain the content of the Reports, Etc., and make a decision to have
the Office for the Compliance Promotion carry out an investigation if it isrecognized as necessary.
8.6 The decision referred to in the preceding paragraph must be made within 30
days after the acceptance of the Reports, Etc., in princ iple.
8.7 If, in the case referred to in Paragraph 5 above, it is determined that an
investigation is not necessary, the Chief Executive Officer must notify the reporterof reasons for that. In the case of the report, etc. on the research activity which i sfunded by a Funding Institution other than the UoA, the UoA must notify said
Funding Institution of the fact that the report, etc. have been made.
Article Nine
(Authority for Discretional Investigations)
9.1 Regardless of the presence of Reports, Etc., the Chief Executive Officer may
direct the Office for the Compliance Promotion to carry out an investigation when
it is recognized that a suspicion of misappropriation warrants doing so.
Article Ten(Measures Taken During Investigations)10.1 When it is determined that the Office for the Compliance Promotion will
carry out an investigation, the Chief Executive Officer shall notify the Faculty and4Staff, Etc. subject to the investigation (hereinafter, "Subje ct") and the reporterof the fact that an investigation is to be carried out.

Further, should the subject

belong to a research institution, etc. other than the UoA, the director of said
institution, etc. must be notified.
10.2 The Chief Executive Officer shall, if the subject research activities are
funded by a Funding Institution other than the UoA,

notify the Funding

Institution of the fact that the investigation will be conducted and report anddiscuss investigation policies, individuals subject to the investigation and methods,
etc.
10.3 When the Chief Operating Officer recognizes it as necessary for theinvestigation, he or she may request the following measures be taken regarding the
Subject, reporter, and other relevant individuals.
a.

Hearings on the facts of the caseb.

Submission of related materials, etc.

c.

Temporary closure of the Subject's office, etc.

d.

Temporary suspension of the Subject’s use of research funds, etc.

e.

Any other measures necessary for the investigation
Article Eleven(Methods for Investigations by the Office for the Compliance Promotion)

11.1 The Office for the Compliance Promotion shall, through careful examinationof accounting documents, etc., and hearings, etc. with the relevant individuals,
investigate whether or not the Subject has committed misappropriation and thedetails thereof, any individuals involved in the misappropriation, and the extent ofthat involvement, and the amount of misappropriation, etc.
11.2 The Office for the Compliance Promotion must start an investigation within
30 days, in principle, after the decision to carry out the investigation referred to in
Article 8, Paragraph 5 and Article 9 above.
11.3 The Office for the Compliance Promotion must provide the Subject with anopportunity to provide a written or oral explanation.
11.4 Faculty and Staff, Etc. must cooperate in the investigation when requestedby the Office for the Compliance Promotion to do so, in the absence of the presenceof a valid reason for refusal.
11.5 The Office for the Compliance Promotion must, in principle, compile
investigation results and report those results to the Chief Executive Officer within
150 days after the start of the full-scale investigation.
11.6 Even while the investigation is being conducted, should even part of the
impropriety be confirmed as fact, the Compliance Promotion Office must report
this fact to the Chief Executive Officer in a timely manner.

5

11.7 In the case that the misappropriation has been recognized in a research
activity funded by a Funding Institution, etc. other than the UoA, the Office for theCompliance Promotion shall, in response to requests by the Funding Institution,etc., must report the progress of the investigation and provide a mid-investigation
reports to the institution in question even if the investigation has not been
completed.

Furthermore,the

OfficefortheCompliance

Promotion

shallaccommodate requests by the Funding Institution, including the submission ofrelated materials, allowing them to browse the materials or to conduct an on -site
investigation, in the absence of any valid reasons, such as the case where theirrequest interferes with the ongoing investigation.
Article Twelve(Recognition of Misappropriation)
12.1 Based on the report from the Office for the Compliance Promotion, the Chief
Executive Officer shall recognize findings regarding whether the Subject has
misappropriated Public Research Funds or not, details of the misappropriation,individuals involved in the misappropriation and the extent of the involvement, themisappropriated amount, etc. and notify the Subject and reporter of the findings inwriting in a timely manner.
Article Thirteen(Protests against Recognition of Misappropriation)
13.1 The Subject who has been recognized as having committed misappropriationin accordance with the previous article (hereinafter, "Recognized Malfeasant") or
the reporter who received a notice in accordance with Article 8, Paragraph 6 andthe previous article, may file protests to the Chief Executive Officer within 14 days
after receiving the notice.
13.2 The Office for the Compliance Promotion shall deliberate on the protest s.
13.3 As a result of the deliberation, should the Office for the Compliance
Promotion determine the necessity of a reinvestigation, they must carry out areinvestigation in a timely manner.
13.4 As a result of the deliberation, should the Office for the Compliance
Promotion determine that they have found no grounds for the protest, they shallreport this decision to the Chief Executive Officer. He or she shall notify the
Recognized Malfeasant or the reporter this decision in writing in a timely manner.
Further, no protest can be made on this decision.
Article Fourteen(Measures to Be Taken When Misappropriation Has Been Recognized)

614.1 In the event that the Recognized Malfeasant does not file a protest as
provided for in Paragraph 1 of the previous article, or misappropriation isrecognized as a result of the reinvestigation provided for by Paragraph 13.3 of thepreceding article, the Chief Executive Officer shall disclose the factofmisappropriation.
14.2 In the case that the misappropriation has been recognized in a research
activity funded by a Funding Institution other than the UoA, the Chief Executive
Officer shall report that fact to said institution even during the ongoinginvestigation.
14.3 In the case that the misappropriation has been recognized in a research
activity funded by a Funding Institution other than the UoA, the Chief Executive
Officer shall submit a final report to said institution, including investigation
results, factors to have caused the impropriety, status of management and audit
systems for other competitive research funds related to the individual involved in
the impropriety in question. Should the investigation be incomplete by thedeadline provided for in Paragraph 14 .4 below, a progress report shall be
submitted.
14.4 The disclosure and the report respectively referred to in Article 14
Paragraph 1 and 3 above must be made within 210 days starting from the day thereport, etc. is received.
14.5 The Chief Executive Officer may order to suspend the use of the researchfunds, etc. on the research activities in which misappropriation is recognized, andmay also order to return part or all of the research funds already used.
14.6 Treatment of the Recognized Malfeasant shall be as provided for in theRegulation Concerning Disciplinary Punishment of Personnel of the Public
University Corporation, the University of Aizu and other related reg ulations.
Article Fifteen(Measures to Be Taken when Misappropriation is Not Recognized)
15.1 In the event that misappropriation is not recognized as a result of theinvestigation provided for in Paragraph 8.5 and Article 9, or the reinvestigation
provided for in Paragraph 13.3, the Chief Executive Officer shall not disclose theresults of these investigations, in principle.
15.2 In the event that misappropriation is not recognized, the Chief Executive
Officer shall take all necessary measures to restore the honor of the Subject and toprevent his or her suffering any disadvantage.
Article Sixteen(Recognition of Malicious Reports, Etc.)

7

16.1 In the event that misappropriation is not recognized, and it is determinedthrough investigations, etc. that the Report, etc. was made based on malicious
intention, the Chief Executive Officer shall take measures such as disciplinary
punishment, legal action, etc. in accordance with the Regulation Concerning
Disciplinary Punishment of Personnel of the Public University Corporation, theUniversity of Aizu and other related regulations.
Article Seventeen(Obligation of Confidentiality)
17.1 Individuals involved in reporting or investigation, etc. must not reveal any
secret information gained through the performance of their duties to other parties
without a valid reason.
Article Eighteen(Internal Audit)
18.1 For the purpose of the appropriate management and operation of Public
Research Funds, the Audit Office shall, in collaboration with the Office for theCompliance Promotion, carry out auditor audits, accounting auditor audits, andinternal audits, corresponding to factors to cause misappropriation, in accordancewith the provisions of the Regulation Concerning the Auditor and Audit, the Public
University Corporation, University of Aizu.
Article Nineteen(General Affairs)
19.1 Performance of general affairs related to this regulatio n shall be carried out
by the Planning and Collaboration Division.
Article Twenty(Supplemental Provision)
20.1 Other than those provided for in this regulation, necessary mattersregarding the appropriate handling of Public Research Funds shall be deter mined
separately by the Chief Executive Officer.

ADDITIONAL PROVISIONS
1. This regulation shall be enforced as of March 31, 2015.
2. The "Fundamental Policies Pertaining to Administration and Management of
Public Research Funds (April 1, 2008)" shall be abolished.

8

ADDITIONAL PROVISIONS
1. This regulation shall be enforced as of June 23, 2016.

9