Sophia University Guidelines for Prevention of Misconduct in Research Activities
Enacted: March 1, 2016
1. Purpose
The purpose of these Guidelines is to prevent misconduct in research activities inSophia University (hereinafter, “the University”) and to respond properly when such
misconduct occurs.
2. Definitions
The terms listed in the following items are used in these Guidelines with the meanings
defined for each term.
(1) Misconduct in research activities(i) Fabrication, falsification, or plagiarism, either willfully or due to gross neglect of thebasic duty of care expected of a researchera. Fabrication: Presenting made-up data or fabricating results of research or experiments,
etc.
b. Falsification: Changing research materials or instruments and altering research
processes to obtain false data or results from research activities
c. Plagiarism: Using the ideas, analysis, analytical methods, data, research results,
papers, or terminology of other researchers (only if the terminology is original to theother researcher) without obtaining the permission of the researchers or properly
indicating the sources(ii) Any of the following actions judged as improper behavior in the light of researcher
codes of conduct and social norms, the special nature and customary practices of eachresearch field as well as the ethical rules and codes of conduct of academic societies,
and the rules for submission of papers to academic journals
a. Improper authorship: Attributing authorship of a research results presentation (paper)to a person lacking the qualifications as author, or failing to properly attributeauthorship to the actual qualified authors
b. Duplicate submission: Submitting essentially the same paper as one that has alreadybeen published or submitted to another journal (except where the rules for submissionof the journals or academic societies to which submission was made are met)c. Improper conflict of interest management: In carrying out research activities where aconflict of interest may arise, failure to properly manage interests and obligations, suchas by biasing the research or adversely impacting educational activities1(iii) In addition to (i) and (ii), any improper behavior in research activities that deviates
flagrantly from researcher ethics in light of the researcher code of conduct and socialnorms(2) Researchers
Faculty members and researchers affiliated with the University, and all others engaged
in research activities in the University(3) Organization
Any of the organizations and facilities defined in Article 2.1 of the Sophia School
Corporation Personnel System
3. Obligations of researchers(1) Researchers, etc. shall not commit misconduct in their research activities or any
other improper conduct, and they shall endeavor to prevent misconduct by others.
(2) Researchers, etc. shall undergo training and education regarding researcher ethics
and the laws and ordinances relating to research activities.
(3) Researchers, etc. shall obtain the means for certifying the legitimacy of theirresearch activities, and in order to guarantee verifiability by a third party, shall properly
preserve and manage notes recording their experiments and observations, experimental
data, and other research materials for a fixed period, and shall disclose these in cases
where such disclosure is deemed necessary and appropriate.
4. Clarification of organizational responsibility(1) Chief management officer(i) The chief management officer shall be the University President, who shall haveultimate responsibility and authority for governance of the entire University regarding
the improvement of research ethics and prevention of misconduct.
(ii) The chief executive officer shall take appropriate measures to promote fair research
activities.
(2) Administrative management officer(i) The administrative management officer shall be the Vice President for Academic
Exchange, who shall assist the chief executive officer and shall have effectiveresponsibility and authority for governance of the entire University regarding theimprovement of research ethics and prevention of misconduct.
(ii) The administrative management officer shall take appropriate measures, within thescope of his or her responsibility and authority, to promote fair research activities.
(3) Research ethics education officer2(i) The research ethics education officer shall be the head of each education andresearch organization as stipulated in the Sophia School Corporation Personnel System(Dean of the Graduate School, Dean of the Faculty, Institute Director, Center Director)
and the head of each administrative organization (Bureau Director), who shall have theresponsibility and authority for the improvement of research ethics and prevention of
misconduct in each organization as well as for education in research ethics.
(ii) The research ethics education officer shall take appropriate measures, within thescope of his/her responsibility and authority, to promote fair research activities by theresearchers affiliated with his/her organization, and shall provide them with periodic
education on researcher ethics.
(4) Deputy research ethics education officer(i) The deputy research ethics education officer shall be the person directly under thehead of the education and research organization stipulated in the provision (3)(i) above(course supervisor, department head), who shall assist the research ethics education
officer and have day-to-day responsibility and authority for the improvement ofresearch ethics and prevention of misconduct in each organization as well as foreducation in research ethics.
(ii) The deputy research ethics education officer shall assist the research ethics
education officer who takes appropriate measures, within the scope of his/her
responsibility and authority, to promote fair research activities by the researchersaffiliated with his/her organization and provides education in researcher ethics. The
deputy research ethics education officer shall endeavor to cultivate researcher ethics.
5. Providing education on ethical research practices(1) The University shall periodically provide researches with research ethics education
aimed at preventing misconduct in research activities and improving researcher ethics.
(2) The University shall promote provision of research ethics education to students
aimed at developing basic ethical awareness regarding research activities and instillingin them thoroughgoing awareness of researcher ethics. In carrying out this education,
the timing, methods, and contents of the education shall be appropriate to the nature of
the students’ field of specialization and their level, whether undergraduate or graduate
students.
6. Clarification of responsibilities in research activities

3To prevent misconduct in research activities and clarify the responsibilities of eachresearcher taking part in research activities, researchers shall carry out those activities
paying special attention to the following matters.
(1) When research activities are conducted with participation of multiple researchers,
the roles and responsibilities of each researcher in the research shall be made clear.
(2) In research activities conducted with participation of multiple researchers, a personin the position of lead researcher responsible for overseeing and managing the project asa whole shall properly confirm the progress and results of the research.
(3) A researcher in the position of guidance of research activities shall properly assist
and advise the students and researchers receiving the guidance.
7. Points to consider for proper conduct of research activities
Due caution shall be paid especially to the following matters, so as to avoid suspicion of
misconduct or improper behavior, according to the special nature and customary
practices of each research field and methods of presentation as well as the ethical rules
and codes of conduct of academic societies.
(1) Preservation and disclosure of research data(i) Research materials such as experimental data that are the basis of research results
announced in papers or other presentation form shall in principle be preserved for ten
years from the date of announcement. Specimens and other tangible research materials
shall in principle be preserved for five years. These research materials shall be disclosed
as necessary.
(ii) Exceptions may be made if preservation based on (i) is not feasible, as whenpreservation of research materials would be impossible or extremely difficult, or would
require extreme cost or space, or due to the special nature of research activities in theresearch field.
(iii) Notwithstanding the provisions of (i) and (ii) above, in case there are special
provisions on handling of data, etc. in the guidelines or regulations of the government or
the research field, these shall be complied with.
(2) Assessment of other research
In conducting peer review, researchers shall carry out their duties fairly with a highethical sense and insight.
8. Consultation and complaints(1) Consultation

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Consultation requests from inside and outside the University concerning theimprovement of research ethics and prevention of misconduct shall be received by theCenter for Research Promotion and Support in the Bureau of Academic Research andInformation.
(2) Complaints(i) Complaints of misconduct in research activities shall be accepted by the Audit
Office.
(ii) The handling of such complaints shall be stipulated separately.
Supplementary Provision
These Guidelines are in effect as of March 1, 2016.

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