Sophia University Guidelines for ‘Academic Research Ethics’

Established: 1 January 2010
Amended on November 1, 2017

Introduction
Founded by the Society of Jesus , Sophia University (hereinafter as ‘the University’)has centered its investigation of truth on academic pursuits and conducted research
activities that contribute to cultural progress and human welfare based on the spirit ofCatholicism.
In recent years, the complexities of various issues facing society have been exacerbatedby the upheavals brought about by globalization and increased diversity. At the sametime, the interdisciplinary natures of academic research fields as well as the roles theyplay in society have also become more complex.
Academic freedom entails respect for the autonomy of Researchers in their research
activities as well as their right to investigate the truth. However, high ethical standards
are also required of Researchers because of the considerable influence their research
activities and the findings thereof bring to bear on humanity, society and theenvironment.
Sophia University hereby establishes the following Guidelines for Academic Research
Ethics (hereinafter as ‘the Guidelines’) in order to promote the sound development of
academic research at the University and harmonious coexistence with society.

(Purpose)
Article 1

The purpose of the Guidelines shall be to ensure the reliability and fairnessof academic research conducted at the University. The Guidelines shall establish thebasic ethical policies for research activities.

(Subject)
Article 2‘Researchers’, (or ‘Researcher’), the subject of the Guidelines, besides

faculty members and research associates of the University, shall include anyone
engaged in research activities at the University. Students shall also be treated as1

Researchers under the Guidelines when they engage in research activities.

(Duties of the University)
Article 3(1) The University shall take necessary measures to increase awareness of research
ethics and to prevent misconduct in research activities and in the handling of researchfunds, concerning the research activities and the appropriate management in researchfunds.
(2) If and when an inappropriate act is deemed to have been committed while research
activities are carried out, the University shall promptly determine its cause and takeappropriate remedial measures as well as fulfil its responsibility of explaining the matterto those concerned both within and outside the University.

(Duties of Researchers)
Article 4

Prevention of misconduct in academic researchAs a matter of course, Researchers shall not commit or be complicit in the committingof forgery, falsification or plagiarism in any aspect of research activities. Additionally,
they shall be thorough in the recording, storage and proper handling of data obtained intheir investigations. Researchers shall also strive to create a research environment that isconducive to the forestalling of misconduct.
Those who are in the position of supervising research shall manage the research
activities and attend to the Researchers under their supervision in order to prevent
misconduct.

2. Appropriate use of research funds
Researchers shall exercise their utmost respect for matters such as the purpose of theresearch aid, when conducting research and using research funds. Furthermore,
Researchers shall adhere to the conditions and rules of use that are stipulated by theregulations of the University and by the terms of each research funding.

3. Adherence to contracts and confidentiality obligations
In the event a Researcher enters a contract related to the research or to intellectual2

property rights, he/she shall follow the procedures set forth by the University as well as
adhere to the terms stipulated in the contract entered. The Researcher shall also fulfil
any confidentiality obligations that may arise as a result of information obtained in thecourse of the research.

4. Appropriate presentation and assignment of authorship of research findings
Researchers shall exercise meticulous caution in assuring the reliability of data andevidence before the publication of research findings, where the basic attitude of
Researchers shall be to respect other Researchers and their findings as well as
originality and to give fair and appropriate citation. Furthermore, when presenting anacademic paper or other material, Researchers shall pay careful attention to the accepted
practices and rules specific to each research organization, field of research andacademic journal. Presentation shall be made only upon obtaining the full agreement of
all authors regarding authorship, the use and copyright of related data.

5. Fairness in reviewing
When reviewing or refereeing research papers of others, Researchers shall not give
unfair evaluations based on such factors as the attributes of the person whose research is
being reviewed or the relationship the Researcher may have with such person. A fairreview that is grounded in academic standards and the criteria for the evaluation of thereview under question shall be performed.

6. Consideration for the environment and safety, and respect for bioethics
When conducting research, Researchers shall adhere to the related laws and ordinances,
regulations of the University and guidelines of the related government agencies andacademic associations and the like when handling substances (radiation, radioactive
isotopes, genetically-modified life forms, alien species, nuclear fuel materials,
poisonous and deleterious substances, environmentally polluting substances etc.) thatare potentially harmful to the environment and detrimental to safety. Approval shall beobtained from the appropriate intra- and extra-University committees as needed.
Moreover, the utmost respect shall be given to bioethics, especially when humans or3

animals are the subjects of the research.

7. Elimination of discrimination and harassment
Researchers shall respect the personalities and freedoms of all individuals involved inany aspect of research activities and shall not discriminate based on attributes, ideology
or beliefs. Furthermore, a Researcher shall not use his or her superior standing or rights
in the context of research to speak or act in a detrimental way towards someone under
his or her instruction or guidance.

8. Protection of personal information
Researchers shall strive to protect the personal information of others obtained in thecourse of research. Such personal information shall be handled appropriately inaccordance with the regulations of the University.

9. Appropriate management of conflicts of interest
Researchers shall exercise due caution to avoid conflicts of interest and conflicts ofcommitment in their research activities. When a conflict of interest or conflict ofcommitment occurs, Researchers shall disclose such information in accordance with theregulations of the University and appropriately manage said conflict.

(Research not to be conducted at the University)
Article 5

The University shall not conduct research for military security and dual use(military-and-civilian use).
Supplementary Provisions
The Guideline is effective as of 1 January 2010.

Supplementary Provisions
The Guideline shall be amended and be effective as of November 1,2017.

This is an unofficial translation.
Only the original Japanese texts of regulations have effect, and the translations areto be used solely as reference material to aid in the understanding of Japanese
regulations.
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