23.7 Definitions

23.7.1 Funding Agency

It means an agency that distributes grants or provides measures through competitive research funding or other open-recruitment type research funding.

 

23.7.2 Preliminary Investigation

It means an investigation consisting of a preliminary information gathering and a preliminary fact-finding investigation, based on which a determination as to whether a report of misconduct or a fact that is suspected to be misconduct has substance. Based on the results of a Preliminary Investigation, a decision whether to conduct a Substantial Investigation is made.

 

23.7.3 Substantial Investigation

It means an official investigation and evaluation of relevant facts in order to determine whether or not misconduct took place.

 

23.7.4 Groundless Report or Complaint

It is a report or complaint made through a major oversight in the fact, with an intentional falsity, or with a bad faith intention. Individuals who have made such reports or complaints may be subject to disciplinary actions by the University and/or legal claims by individuals wrongfully accused of such conduct.

 

23.7.5 Illegal Order

Any directive to violate or to assist in violating any applicable Japanese and local legal or regulatory provisions, or to violate or to assist in violating University Policies, Rules and Procedures (PRPs).

 

23.7.6 Misconduct

It means any activity undertaken by anyone affiliated with OIST Graduate University (University), including, without limitation, officers, employees, students, vendors, that violates any applicable Japanese legal or regulatory provisions, or violates Bylaws, University Rules, Policies, Rules, and Procedures (PRPs), (collectively, “non-compliance”), and misconduct in research activities by these people. The scope of non-compliance includes public research fund misuse.

23.7.6.1  Non-compliance

It means any activity that contradicts with applicable Japanese legal or regulatory provisions or with Bylaws, University Rules or the PRPs.

23.7.6.1.1  Public Research Fund Misuse

It means any activity that violates the University's internal rules or Japanese legal or regulatory provisions by submitting falsified documentation for disbursement claim, such as obtaining deposit money taking advantage of a relationship with a vendor and receiving money based on false claims for business trip expenses, wages and other remuneration, and involves spending of the University's public research expenses sourced from operating expense subsidies and competitive research funding such as grants-in-aid for scientific research and sponsored research funding.

23.7.6.2  Misconduct in Research Activities

It means, in the conduct of research activities or activities to make the research results public, any act that distorts the essence or the spirits of these activities, and impedes normal scientific communication among the members of the scientific community. Specifically, acts that fall within the scope of misconduct include fabrication or falsification of data or results being obtained, plagiarism and an act that contradicts research ethics, but are not limited to these. Determination of misconduct will be made on a case basis and depend on the specific details of the case.

23.7.6.2.1  Specified Research Misconduct

It means fabrication, falsification and plagiarism relating to data, findings of study and the like which are present in research results published in a paper submitted to academic journals, which are caused by a willful act or gross negligence of due care that shall have been exercised by an ordinary researcher.

(i)   Fabrication: It means making up data, research results, etc.

(ii)  Falsification: It means manipulating research materials, equipment or processes, or changing data or results being obtained from research activities such that the research is not accurately represented.

(iii) Plagiarism: It is the appropriation of another researcher's ideas, analysis processes, data, results, manuscripts or words without obtaining consent from the researcher or giving appropriate credit.

In addition, misconduct in research activities are not limited to those fall under the Specified Research Misconduct.

 

23.7.7 Use of Official Authority or Official Influence

It means to give an order, proposal, treatment or approval to give benefits or make a promise to give benefits, exercise retaliation or make a threat to retaliate, take personnel measures (including, but not limited to, appointment, promotion, relocation, selection, performance appraisal, suspension and other disciplinary actions) or an order, proposal, treatment or approval to have others to do any of these.

 

23.7.8 Protected Disclosure

Any good faith communication that discloses or demonstrates an intention to disclose an alleged misconduct.

 

23.7.9 Retaliation Complaint

It means a complaint made by an employee or a third party claiming that a retaliation against a Protected Disclosure or the rejection to an Illegal Order has been made, or a complaint made by an employee or a third party claiming that an interference was made in the course of making a Protected Disclosure, which is submitted in writing along with a statement that the contents of the complaint are true or a statement that the complainant believes that the contents of the complaint are true.