Efforts to prevent unauthorized use of research funds

NIMS has defined internal regulations that establish a responsibility system within the organization for the operation and management of research funds. This system includes the following positions:

• Chief Administrative Officer: President
• Supervisory Manager: Executive Vice President in charge of Legal Affairs and Compliance Office
• Compliance Promotion Managers: the director of each center/division and the office chief (of each office not belonging to a center or division)
• Compliance Promotion Submanagers: individuals appointed by Compliance Promotion Managers

• Basic policies for preventing unauthorized use of research funds have been established.
• Codes of conduct for all members involved in the operation and management of research funds have been established.
• Internal regulations have been defined to establish a reporting system for notifying NIMS about suspected unauthorized use of funds, investigation procedures, and protections for those making reports.
  

• A prevention plan to reduce the risk of misconduct involving unauthorized use of funds has been developed and implemented for the entire organization. This is our main measure to reduce risk and it operates alongside other specific actions.

• The Legal Affairs and Compliance Office (the office in charge of promoting the prevention plan) is promoting the implementation of the plan.

• An accounting system is utilized to monitor the status of research funds, ensuring that operations proceed in accordance with research plans.
• In the area of procurement, a system has been established for administrative offices to check the delivery of goods/services on arrival.
• Policies have been defined for the suspension of transactions with business operators involved in fraudulent transactions.
• The management of high-liquidity items (such as precious metals, IT equipment, etc.) has been reinforced.
• Regarding work-related trips undertaken by business, the fact of the trip as well as the appropriateness of the trip’s purpose and the travel expenses received are verified.

• An inquiry desk has been set up to handle inquiries from both inside and outside NIMS regarding rules on the use of competitive funds, etc.

Inquiry Desk for Rules on the Use of Competitive Funds, etc.

Competitive Funds Office Administration, Finance Division
National Institute for Materials Science

1-2-1 Sengen, Tsukuba, Ibaraki, 305-0047, Japan

Email: rulesodan=nims.go.jp (replace “=” with “@”)

• The Legal Affiairs and Compliance Office, which is in charge of promoting the prevention plan, monitors implementation of the prevention plan.
• The Audit Office, auditors, and account auditors regularly exchange information and coordinate efforts in this regard.