Basic Policies for the Operation and Control of Research Expenses, Etc.
May 1, 2007
Article 1 - Purpose
1. The purpose of these basic policies is to create and enhance frameworks for theoperation and control of research expenses, etc., at Shizuoka University (hereinafter, the“University”) and to achieve on the part of University faculty and staff members
compliance with laws and regulations and University rules, etc.
2. University faculty and staff members realize that research expenses, etc., are predicatedon the funding and the goodwill of the public, and at all times operate and control
research expenses, etc., appropriately and consistent with the original purpose of use
and in keeping with faculty and staff members’ duty of accountability.
Article 2 – Definitions
For the purposes of these basis policies, “Research Expenses, Etc.,” consist of thefollowing.
1. Competitive funds distributed by ministries and agencies (including competitive funds
from fund distributing institutions under the jurisdiction of ministries and agencies)
2. Subsidies and grants-in-aid from municipal authorities
3. Operating-expense grants and donations (including subsidies from supportingorganizations, etc.)
4. Other expenses controlled by and at the responsibility of the University
2. For the purposes of these basic policies, “Departments” consist of the Faculties, theShizuoka Law School, the Graduate School of Science and Technology, the Electronics
Research Institute, the Institutes for Joint Research and Education (which refers to theShizuoka University Education Development Center, the Center for Research andDevelopment in Admissions, the International Center, the Institute for Genetic Researchand Biotechnology, the Center for Instrumental Analysis, the Information Processing
Center, the Innovation and Joint Research Center, the Center for Education andResearch in Lifelong Learning), the University Library, the Health Care Center, and theAdministration Bureau.

Article 3 - Responsibility frameworks
To ensure the appropriate operation and control of research expenses, etc. of theUniversity, the University appoints a Chief Controller, Supervisory Controllers, andDepartment Controllers.
1. The Chief Controller exercises control over the entire University and has ultimate
responsibility for the operation and control of research expenses, etc. This function isexercised by the President.
2. The Supervisory Controllers assist the Chief Controller. With regard to the operationand control of research expenses, etc., the Supervisory Controllers have effective
control responsibility and authority for the entire University. This function is exercisedby the Trustees (administration, finance, facility management).
3. Department Controllers have effective responsibility and authority with regard to theoperation and control of research expenses, etc. at each Department. This function isexercised by the Department Heads.
Article 4 - Formulation of rules, etc.
The Chief Controller verifies all clerical procedures for research expenses, etc. at all
times, defines and integrates rules, and promulgates those rules among the faculty
members.
Article 5 - Formulation of duties and authorities
The Chief Controller defines clear responsibilities and authorities related to the clerical
processing of research expenses, etc., and institutes corresponding approvalmechanisms.
Article 6 - Duties of clerical staff members
Under the supervision of the Chief Controller, clerical staff members ensure throughtheir expertise the appropriate execution of research expenses, etc., and perform theirwork with efficiency.
2. The Supervisory Controllers devise training plans to enhance the expertise of clericalstaff members.
Article 7 - Investigations, etc.
If an investigation becomes necessary related to the alleged misuse of researchexpenses, etc. based on information or accusation from inside or outside the University

or based on an internal audit, the Chief Controller has the matter investigated pursuant
to a fair and fully transparent procedure.
2. Investigation procedures related to the misuse of research expenses, etc. are devisedby the Chief Controller.
Article 8 - Malfeasance prevention planning
In order to prevent from the outset of the misuse of research expenses, etc., the Chief
Controller identifies and analyzes the possible causes of misuse and devises plans formalfeasance prevention.
Article 9 - Appropriate operation and control activities of research expenses, etc.
To ensure appropriate operation and control activities of research expenses, etc., theChief Controller charges members of staff or sections of the organization with thesteady implementation of the malfeasance prevention plans stipulated in Article 8, andconducts necessary reviews of malfeasance prevention plans based on theimplementation status.
Article 10 - Contact for inquiries
The Chief Controller establishes consultative frameworks to ensure clearly defined andintegrated operations regarding the clerical procedures for research expenses, etc. at theUniversity.
2. The Chief Controller establishes a contact for inquiries from inside and outside theUniversity concerning the clerical procedures for research expenses, etc.
Article 11 - Whistleblower contact
The Chief Controller establishes a whistleblower contact for information or accusations
from inside and outside the University that allege the misuse of research expenses, etc.
2. With regard to the operation of the whistleblower contact, measures must be taken toprotect whistleblowers and the persons reported by whistleblowers.
3. Frameworks must be established to ensure that reports and accusations of alleged
misuse are appropriately conveyed to the Chief Controller.
Article 12 - Acceptance inspection frameworks
The Chief Controller creates acceptance inspection frameworks for verifying thecompletion of appropriate payment based on orders for goods and services issued by theUniversity.

Article 13 - Audit frameworks
The Chief Controller creates monitoring and audit systems devised from a Universitylevel perspective to ensure the appropriate control of research expenses, etc.
2. The Management Auditing Section head implements effective audit operations incooperation with the auditor of the University and the accounting auditor.