Compliance Promotion Rules

• The purpose of these regulations is to stipulate matters necessary for the promotion of compliance at Nakamura Nakamura Sangyo Gakuen (hereinafter referred to as the "Academy"), as well as to ensure the fair, impartial and sincere performance of duties and to secure social trust in the Academy.

• In these regulations, compliance means observing laws, regulations, ordinances, notices, donation acts and other rules established by the university, as well as adhering to ethical and social norms.
• 2 Compliance in the preceding paragraph includes harassment and misconduct in research activities.
• 3. In these regulations, departments refer to faculties (including Kyushu Sangyo University, Zokei Junior College of Art and Design; the same applies below), graduate schools, and organizations as defined in Article 2 of the Regulations on Administrative Organization and Division of Duties.
• 4 In these Rules, "members" refers to the following persons:
  • (1) Students, etc.
    All individuals studying at schools established by the Academy, including students enrolled in universities and junior colleges, research students, students taking courses, and students attending public courses
  • (2)Staff etc.
    Employees of the school and other individuals in an employment relationship with the school, dispatched workers, and individuals and officers who perform work for the school based on a contract with a third party
  • (3) Other related parties
    A. Parents of students, etc.
    (a) Contractors and their employees who have a business relationship with the school
    C. Job seekers
    D. Other persons involved in the business of the school
• 5. "Harassment" as defined in paragraph 2 refers to any of the following:
  • (1) Academic harassment
    Using one's position or power in an education or research setting to make inappropriate remarks, actions, guidance or treatment, or to give another person an advantage or disadvantage beyond what is necessary for education or research, thereby reducing the other person's motivation to learn or research, or worsening the education or research environment, etc.
  • (2) Sexual harassment
    Making sexual remarks or actions against the other person's will, causing discomfort or other disadvantage or benefit to that person, and deteriorating the educational/research environment or working environment, etc.
  • (3) Power harassment
    Inappropriate words, actions, guidance or treatment given by taking advantage of one's position or power in the workplace beyond the scope necessary for business, thereby reducing the other party's motivation to work and worsening the educational/research environment or working environment, etc.
  • (4) Harassment related to childcare leave, etc.
    Unfair treatment, verbal or physical actions, or other disadvantages or benefits due to pregnancy, childbirth, childcare, elderly care, etc., resulting in a deterioration of the educational/research environment or working environment, etc.
  • (5) Other types of harassment
    Any other inappropriate behavior that goes against the will of the other party and is perceived as unpleasant by the other party, whether intended or not, causing the other party disadvantage, discomfort, threat or humiliation, and worsening the educational/research environment or working environment, etc.
• 6 "Misconduct in research activities" as defined in paragraph 2 refers to any of the following acts that are committed intentionally or as a result of a gross negligence of the basic duty of care that a researcher should be aware of:
  • (1) Fabrication: Creating non-existent data, research results, etc.
  • (2) Falsification: Changing research materials, equipment, or processes in order to make data or results obtained through research activities inauthentic.
  • (3) Plagiarism: The misappropriation of another researcher's ideas, analytical methods, data, research results, papers, or terminology without the consent or appropriate attribution of that researcher.
  • (4) Using public research funds, university research funds, scholarship donations, etc. (hereinafter referred to as "research funds, etc.") for purposes other than those intended
  • (5) Use of research funds, etc. in violation of applicable university or external regulations
  • (6) Inappropriate conduct in research activities other than those listed in the preceding five items, which is a gross deviation from research ethics in light of the code of conduct for scientists and accepted social standards.

• These rules shall apply to the members stipulated in Article 4, paragraph 4.

• Employees must be fully aware of the importance of compliance within the University and must not engage in any acts that violate compliance (hereinafter referred to as "misconduct"). In order to always contribute to the development of education and research, they must strive to perform their duties fairly, impartially and sincerely with high ethical standards and social conscience, and must also strive to prevent misconduct by others.
• 2. Employees, etc. shall endeavor to receive training to deepen their understanding of compliance.
• 3. All individuals engaged in research and those involved in research activities must receive training on research ethics, research compliance, and laws and regulations related to research activities.
• 4. In order to ensure the means to prove the legitimacy of research activities and to guarantee verifiability by third parties, those engaged in research must properly preserve and manage experiment and observation record notes, experiment data, and other research materials for periods based on the Guidelines for the Retention of Research Data, which are separately established, and must disclose such materials when the need and appropriateness of disclosure is deemed to exist.

• The institution will appoint a Chief Executive Officer, who will be the Chairman of the Board of Directors, to oversee all operations related to the promotion of compliance at the institution and bear ultimate responsibility for such operations.
• 2 In order to comply with laws and regulations, the Chief Executive Officer must formulate and disseminate basic policies that will serve as a code of conduct for employees and students, etc., and must take the necessary measures to ensure that the Compliance Chief Administrator and Research Chief Administrator stipulated in the following Article, the Research Ethics Education Officer stipulated in Article 7, and the Compliance Promotion Officer stipulated in Article 8 can properly implement said basic policies.

• A Compliance Chief Administrator and a Research Chief Administrator shall be appointed to assist the Chief Executive Officer, and they shall perform their respective roles as set out in the following paragraph and paragraph 3.
• 2. The Chief Compliance Officer shall be the Director in charge of General Affairs, and shall perform the following duties:
  • (1) To manage the promotion and improvement of compliance within the school.
  • (2) Formulating and proposing specific policies for promoting and improving compliance.
  • (3) Matters concerning the organization of the content of reports and complaints concerning compliance (hereinafter referred to as "reports, etc.").
  • (4) The results of the confirmation of the reports, etc. set forth in the preceding paragraph and the response or status of the handling of the cases in the departments, etc. shall be submitted to the subcommittee provided for in Article 14-2 (hereinafter referred to in this Article as the "Subcommittee") for discussion.
  • (5) Receive reports of consultation cases regarding compliance, organize and confirm the contents, and then submit to the Subcommittee a resolution on the need for a response.
  • (6) Designate a person to be responsible for responding to reports pursuant to Article 18-2, paragraph 2, and notify him/her in writing.
  • (7) Any other matters that the Chief Executive Officer deems necessary.
• 3 Notwithstanding the provisions of the preceding paragraph, each university and junior college shall appoint a Research Supervisor, one of whom shall be the president of the university or junior college, to carry out the following duties in relation to misconduct in research activities:
  • (1) Formulating and proposing specific policies for promoting and improving the prevention of research misconduct.
  • (2) Regarding the confirmation and organization of reports of research misconduct, as well as the receipt of reports of consultation cases, the Subcommittee shall review and organize the details and then consider the need for any response or action to be taken.
  • (3) To submit to the Subcommittee the results of confirmation of the reports, etc. set forth in the preceding paragraph and the response or status of handling of the cases in the relevant departments, etc.
  • (4) Designate a person to be responsible for responding to reports pursuant to Article 18-2, paragraph 2, and notify him/her in writing.
  • (5) Any other matters that the Chief Executive Officer deems necessary.

• Each university will appoint one research ethics education officer to assist the research general manager and to have actual responsibility and authority for research ethics education. In a university, this position will be filled by the vice president, and in a junior college, this position will be filled by the department head.
• 2 The Research Ethics Education Officer must regularly provide education on research ethics to those engaged in research and those related to research activities.

• A Compliance Promotion Officer (hereinafter referred to as the "Promotion Officer") shall be appointed to direct and supervise the promotion of compliance within each department.
• 2. The promotion manager will be the head of each department.

• A compliance promotion officer (hereinafter referred to as the "promotion officer") shall be appointed to assist the promotion manager and disseminate information and respond to consultations regarding compliance promotion in the department.
• 2. The Promotion Officer shall be a person designated by the Promotion Manager from among the employees, etc. belonging to the relevant department.
• 3 The Promotion Manager may also serve as the Promotion Officer.

• Harassment counselors (hereinafter referred to as "Counselors") will be appointed to accept consultations regarding harassment.
• 2. Counselors shall be selected from among the individuals listed in the following items.
  • (1)Human Resources Manager
  • (2) Several individuals, including both men and women, designated by the Compliance Manager from among the school’s staff members
• 3 In addition to the counselors listed in the preceding paragraph, the Compliance Manager may appoint counselors from outside the University.
• 4 The term of office of the counselors under Paragraph 2, Item 2 and the preceding paragraph shall be two years and they may be reappointed.
• 5. When a counselor receives a consultation regarding harassment, he/she will deal with the matter carefully so as not to infringe on the personal rights, such as honor and privacy, and will take the following steps to resolve the problem appropriately and promptly.
  • (1) An explanation of the school's handling methods (notification, mediation, and investigation) to the person who requested consultation (hereinafter referred to as the "consultant").
  • (2) Refer the person seeking advice to a counseling institution, etc., as necessary
  • (3) If the person making the inquiry requests notification, mediation or investigation, the contents of the inquiry and the request shall be reported to the Report Reception Manager as provided for in Article 17, Paragraph 3.
  • (4) Contacting the informant when investigating the contents of the report
  • (5) Appropriate management of records of consultation services
  • (6) Business incidental to the above

• In order to establish a compliance system and ensure that duties are carried out in a fair and impartial manner, the University has established a Compliance Committee (hereinafter referred to as the "Committee").
• 2. The Committee shall carry out the matters listed below.
  • (1) Matters concerning the formulation and raising of awareness of important policies relating to the promotion and improvement of compliance.
  • (2) Matters concerning the formulation and implementation of compliance plans.
  • (3) Planning and implementation of training and education on compliance.
  • (4) Matters concerning the improvement of the study, work, education or research environment related to compliance.
  • (5) Matters concerning the protection of whistleblowers, etc.
  • (6) Matters concerning responding to reports, etc.
  • (7) Matters concerning the formulation of corrective measures and measures to prevent recurrence of compliance-related issues (hereinafter referred to as "corrective measures, etc.").
  • (8) Other matters relating to the promotion and improvement of compliance.

• The Committee shall consist of the following persons:
  • (1) Chairman
  • (2) Managing Director
  • (3) University President
  • (4) Junior College President
  • (5) Directors who are educational staff of the University as provided for in Article 8, Paragraph 1, Item 3 of the Endowment Act
  • (6) Secretary General
  • (7) General Affairs Department Manager
  • (8) Other persons deemed necessary by the Chairman of the Board of Directors
• 2 The members of the committee referred to in the preceding paragraph shall include at least one male and one female.

• The committee shall have a chairman, who shall be the Chairman of the Board of Directors.
• 2 The Chairperson of the Committee (hereinafter referred to as the "Chairman") shall convene the Committee and act as its chairperson.
• 3 In the event of an accident or absence to the Chairman, the Director in charge of General Affairs shall act in his/her place or perform his/her duties.

• The committee will hold regular meetings once a year and also meet as necessary.
• 2. A Committee shall be formed with the attendance of at least two-thirds of the Committee members, and its agenda shall be decided by a majority vote of the Committee members in attendance (excluding the Chairperson). However, in the event of a tie, the Chairperson shall have the deciding vote.
• 3. When the Chairman deems it necessary, he/she may request the attendance of persons other than the Committee members to provide explanations or hear their opinions.
• 4. Auditors may attend committee meetings as observers.

• In order to increase fairness and impartiality in dealing with compliance-related cases, a Compliance Subcommittee (hereinafter referred to as the "Subcommittee") will be established.

• The Subcommittee shall consist of the following persons:
  • (1) Chairman
  • (2) Managing Director
  • (3) University President
  • (4) Vice President
  • (5) Junior College President
  • (6) Secretary General
  • (7) General Affairs Department Manager
  • (8) Auditor (Full-time)
  • (9) Other persons deemed necessary by the Chairman of the Board of Directors

• The subcommittee will meet whenever necessary.
• 2. Regarding matters submitted to the subcommittee as items for deliberation, the Chief Executive Officer shall decide, after discussion at the subcommittee, whether or not the matter requires deliberation at the Committee. If the Chief Executive Officer decides not to deliberation at the Committee, the Chief Executive Officer shall report this to the Committee.
• 3. All matters received at the Compliance Desk shall be promptly reviewed and addressed as follows:
  • (1) Decide whether or not to deliberate in the Committee.
  • (2) If the Committee does not deliberate, it will decide on the specific measures to be taken.
  • (3) Matters concerning the protection of whistleblowers, etc.
  • (4) Matters concerning the formulation of corrective measures and measures to prevent recurrence of compliance-related issues (hereinafter referred to as "corrective measures, etc.").

• Committee members, department heads, etc., persons engaged in consultations, investigations, and other responses to reports, etc., stipulated in these Rules, as well as reported persons (meaning persons who have been reported as having committed, are committing, or are about to commit misconduct, including "respondent"; the same applies below) shall not be involved in the investigation, fact-finding, corrective measures, etc., of the cases in which they are involved.

• All personnel engaged in the work prescribed in these rules and the heads of departments to which the persons involved in the case belong must not disclose any secrets that they have learned in the course of their duties. This rule also applies after they leave their positions.

• The University will establish compliance reporting channels (hereinafter referred to as "Reporting Channels") both within and outside the University to respond to reports of misconduct.
• 2 Anyone may report to the Reporting Hotline in writing, by facsimile, e-mail, telephone or in person, etc.
• 3 In order to properly manage reports of misconduct, etc., a report reception manager will be appointed, to be filled by the General Affairs Department Manager.
• 4 If employees believe that misconduct has occurred or is about to occur, they must promptly report it to the reporting hotline.
• 5. Anyone who receives a report at the reporting desk must promptly report it to the report reception manager.
• 6 When the Report Reception Manager receives a Report as described in the preceding paragraph, he/she must report it to the Compliance Chief Manager or Research Chief Manager depending on the content of the Report.
• 7 The Compliance Chief Administrator or Research Chief Administrator who receives the report under the preceding paragraph shall report to the CEO and submit the matter to the Subcommittee for discussion.
• 8. Reports of research misconduct must, in principle, clearly state the name of the researcher or research group alleged to have committed the research misconduct, the nature of the research misconduct and other details of the case, and must also provide a reasonable justification for the misconduct.
• 9 When suspected misconduct is reported by the media, education-related personnel, or the Internet, etc. (only when the name or title of the person or group alleged to have engaged in the misconduct, the nature of the misconduct, and other details of the case are clearly stated and a reasonable ground for believing that the misconduct occurred is presented), this will be accepted as a report.

• Any person who wishes to file a complaint about harassment involving a member may file any of the following complaints:
  • (1) Application for Notice
    Request that the Chairman notify the person who is alleged to have committed the harassment (hereinafter referred to as the "Respondent") that a complaint has been filed against the Respondent.
  • (2) Application for Mediation
    A request for mediation to resolve the matter through negotiation between the complainant and the respondent
  • (3) Investigation and application for recognition of harassment based on the investigation
    Requesting an investigation into the damage and a determination of harassment based on the results
• 2. The petition under the preceding paragraph shall be made in writing to the Chairman by the petitioner. However, if the petitioner is a student, etc., his/her guardian may petition on his/her behalf.

• The following report response personnel will be appointed to receive and respond to reports, etc. as set forth in the preceding two Articles.
  • (1) Committee members
  • (2) Person in charge of the reporting desk prescribed in Article 17, Paragraph 1
  • (3) Members of the investigative committees prescribed in each item of Article 25, paragraph 1
• 2 When it is deemed necessary to have a person other than those listed in the preceding paragraph 1, the Compliance Chief Manager or Research Chief Manager shall designate a person to be responsible for responding to reports depending on the content of the Report, etc., and notify the person in writing.
• 3 The term of office of those who are report response staff, as specified in Item 1 of Paragraph 1, shall be until they are relieved of their duties; those who are specified in Item 2 of the same paragraph shall be until the day before they are transferred or relieved of their designation as a report response office outside the University; and those who are specified in Item 3 of the same paragraph and those specified in the preceding paragraph shall be the same as the term of office of members of the investigative committee pursuant to Article 25, Paragraph 6.

• In carrying out their duties, personnel responsible for responding to reports must comply with the following items:
  • (1) Information that identifies an individual, such as a reporter, will be kept confidential, unless the individual gives consent.
  • (2) Not to disclose facts learned in the course of one's duties or information that could identify the whistleblower without a legitimate reason.
  • (3) When information sharing is truly essential for an effective investigation, corrective measures, etc., the scope of communication shall be limited to the minimum necessary.
  • (4) The rights or legitimate interests of the reporter, the person reported, and other related parties (hereinafter referred to as "Subjects of the Investigation") and third parties will not be violated.
  • (5) There will be no significant disruption to the performance of duties of the departments and persons surveyed.
  • (6) Always maintain a fair and impartial attitude and conduct fact-based investigations.
• 2 Personnel engaged in reporting operations must comply with the provisions of the preceding paragraph 1 and 2 even when they are away from their duties.
• 3. The University may take disciplinary action against anyone who violates the provisions of the preceding two paragraphs, in accordance with the University’s work regulations and the university and junior college regulations.

• If a Report is made in writing, by email, or in any other manner that does not allow the person who made the Report (including the complainant; hereafter referred to as the "Reporter") to confirm that the Report has been received, the Report Reception Manager shall promptly notify the Reporter that the Report has been received. However, this shall not apply if the Reporter does not wish to be notified or if the contact details of the Reporter are not clear.

• After receiving a notice, etc., pursuant to the provisions of Article 17, Paragraph 6, the Compliance Chief Administrator or Research Chief Administrator shall promptly report the details to the Chief Executive Officer and submit the matter to the Subcommittee for discussion.
• 2. Pursuant to the provisions of the preceding paragraph, when a Subcommittee has determined that deliberation in the Committee is necessary, and the Committee deems it necessary to conduct a fact-finding investigation, the Committee shall decide to conduct a fact-finding investigation within 20 days from the date of the Report, etc.
• 3. With regard to reports of misconduct in research activities, the University will report the need for an investigation to the University or external organization that allocated the research funds (hereinafter referred to as the “Allocating Organization”) and to the relevant government ministries and agencies.
• 4 When the Committee decides to conduct an investigation pursuant to the provisions of paragraph 2, it shall notify the whistleblower and the person reported of the investigation and request their cooperation in the investigation. In such cases, with regard to reports of research misconduct, the Committee shall report to and consult with the Allocating Organization and relevant government agencies on the investigation policy, scope, and methods, etc.
• 5 When a decision is made not to conduct an investigation pursuant to the provisions of paragraph 1 or 2, the whistleblower shall be notified of the reason therefor, unless the whistleblower does not wish to be notified or the whistleblower's contact details are not clear.

• Anyone who suspects misconduct and has questions about the appropriateness or procedure for reporting it may consult with the reporting hotline.
• 2 When a consultation is made without clearly indicating an intention to make a report, etc., the Reporting Service shall confirm the content of the consultation and, if it deems there to be a reasonable ground, shall confirm with the person making the consultation whether or not he or she intends to make a report, etc.
• 3 If the subject of the consultation is that misconduct is being attempted or that a person is being asked to commit misconduct, the person in charge of the reporting desk shall report to the Compliance Manager or Research Manager. In such cases, in the case of a reporting desk outside the University, the matter shall be reported to the Report Reception Manager, who shall carry out the report.
• 4 When a report as described in the preceding paragraph is made, the Compliance Chief Administrator or Research Chief Administrator shall verify the contents of the report, and if they find that there is sufficient reason to do so, shall issue a warning to those persons involved in the report.

• Reports etc. are made to contribute to the proper management of the school and must not be made with slander, personal grudges, selfish desires, or any other improper intent or emotion (hereinafter these are referred to as "malicious reports").
• 2 The reporter must provide as much detail as possible about the name and affiliation of the person reported, as well as the date, time, place and content of the incident related to the report.

• The University must not dismiss, terminate the employment contract, reduce wages, demote, or treat a whistleblower in any other detrimental manner on the grounds that the employee has made a report. However, this does not apply if the employee has made a report with improper intent.
• 2 Members must not subject a whistleblower or a person who has provided consultation, cooperated in an investigation into a report, or otherwise taken appropriate measures in relation to a report, to any disadvantageous treatment or harassment.
• 3 When dealing with reports, etc., the person making the report, the informant, the person being reported, those cooperating in the investigation, and any other related parties must not be treated in a detrimental manner in terms of their honor, privacy, or other personal rights.
• 4 If a person who has made a consultation or whistleblower report believes that he or she has been treated unfavorably as a result of making a consultation or whistleblower report, he or she may lodge a complaint with the Committee.

• When the Compliance Chief Manager or Research Chief Manager receives a request for emergency measures from an informant, they will immediately consult with the head of the relevant department and take the necessary measures to ensure that studies, work, etc. are carried out normally.
• 2 The Compliance Chief Administrator or Research Chief Administrator will notify the informant of the progress and results of the emergency measures.

• When a report of research misconduct is made to the Research Director, he/she may take necessary measures, such as temporarily suspending the expenditure of the reported research funds to the person reported, until the results of the investigation are received.
• 2 If the Committee determines that no misconduct has occurred, the Research Director shall lift measures such as the suspension of research funds, etc.

• When the Committee decides to conduct a fact-finding investigation pursuant to the provisions of Article 19, Paragraph 2, it shall establish a Compliance Investigative Committee (hereinafter referred to as the "Investigative Committee") and commence the investigation within 30 days from the date of the decision to conduct the investigation.
• 2 The Investigative Committee will conduct the necessary investigations to clarify the facts of the case.
• 3 The Investigative Committee may request the person under investigation to submit necessary materials and hear his/her explanation or opinion.

• The investigative committee for each case shall be composed of the persons listed in the following items:
  • (1) A few people appointed by the Chairman
  • (2) A few people who are not employees of the university but have academic or other experience
• 2 The members of the investigative committee referred to in the preceding paragraph shall include at least one male and one female.
• 3 In the case of an investigative committee for research misconduct, the number of committee members as provided for in paragraph 1, item 2 must be more than half of the total number of investigative committee members.
• 4. A committee member may serve as a member of more than one investigative committee.
• 5. Any person who has a direct interest in either the reporter or the person accused may not become a member of the Investigative Committee.
• 6 The term of office of the members shall be until the completion of their duties related to the case in question.

• The Investigation Committee shall have a Chairperson of the Investigation Committee (hereinafter referred to as the "Investigation Committee Chairperson"), who shall be selected from among the members of the Investigation Committee by mutual vote of the members.
• 2 The Chairman of the Investigation Committee shall convene the Investigation Committee and act as its chairperson.
• 3 In the event of an accident or absence of the Chairman of the Investigation Committee, a committee member designated in advance by the Chairman shall act in his/her place or perform his/her duties.

• The investigation by the Investigative Committee shall be completed within three months after its establishment. However, in unavoidable circumstances, the investigation period may be extended for a reasonable period with the consent of the Committee.

• When the Chairman has established an investigative committee, he/she shall notify the reporter and the person reported of the names and affiliations of the investigative committee members.
• 2. A reporter or a person who has received a notice under the preceding paragraph may lodge a written objection regarding the members of the Investigative Committee to the Chairman within seven days from the date of receipt of the notice.
• 3 When an objection as described in the preceding paragraph is filed, the Chairman shall examine the contents of the objection, and if he/she determines that the contents are appropriate, shall replace the member of the investigative committee concerned with the objection and shall notify the reporter and the person reported to that effect.

• The Investigation Committee will conduct its investigation by interviewing the persons being investigated and examining the documents.
• 2 The investigative committee must provide the accused person with an opportunity to make a defense.
• 3 The Investigative Committee may request the Accused to demonstrate reproducibility by repeating experiments or other means.
• 4. If the Investigation Committee receives a request from the Person Respondent to conduct further experiments, etc. and recognizes the necessity of such an experiment, it shall guarantee the necessary time and opportunity for such an experiment, as well as the use of the equipment, etc.
• 5. The person under investigation must cooperate in good faith with the investigation by actively cooperating so that the investigation can be carried out smoothly and by faithfully telling the truth, and must not engage in any act that obstructs the investigation.
• 6 When the Investigative Committee deems it necessary, it may hear explanations or opinions from persons other than the committee members. In such cases, the Investigative Committee may investigate not only the case in which the Report was made, but also other research activities of the Reported Person that are related to the investigation.
• 7 Notwithstanding the provisions of Article 27, in any investigation into research misconduct, the Investigative Committee shall summarize the findings of its investigation within 150 days from the date of the start of the investigation and report to the Committee on whether or not misconduct has occurred, and if misconduct is found to have occurred, the details and seriousness of such misconduct, the persons involved in the research misconduct and the degree of their involvement, and any other necessary information.
• 8. With regard to the period set forth in the preceding paragraph, if there is a reasonable reason why the investigation cannot be completed within 150 days, the reason and the planned date of completion of the investigation shall be submitted to the Committee for approval.
• 9. If the Investigative Committee finds any evidence of misconduct, even if it has not yet concluded its investigation, it shall promptly report this to the Compliance Chief Administrator or Research Chief Administrator.
• 10. If the Investigation Committee determines through its investigation that no misconduct has occurred, but determines that the tip was made in bad faith, it shall also report this to the Compliance Chief Administrator or Research Chief Administrator.
• 11 When carrying out the evaluation referred to in the preceding paragraph, the whistleblower must be given an opportunity to defend himself/herself.

• In conducting its investigation, the Investigative Committee shall take measures to preserve evidentiary materials and other relevant documents regarding the reported case, and shall take sufficient care to ensure that the privacy of the subjects of the investigation, pre-publication data, and research or technical information that should be kept confidential, such as papers, are not leaked beyond the scope necessary for the conduct of the investigation.
• 2 If a research institution, etc. outside the University is involved in a reported case, the Investigative Committee shall request that said research institution, etc. take measures to preserve evidentiary materials and other related documents in relation to the reported case.
• 3 Except as necessary for the measures set out in the preceding two paragraphs, the Investigative Committee shall not restrict the attendance, employment, teaching or research activities of the Accused.
• 4 If the matter related to the Report, etc. is leaked to the public, the Investigative Committee may publicly explain the matter under investigation.

• If, during the course of the investigation, the Investigative Committee determines that the misconduct is continuing and that the situation is serious and urgent, it may make recommendations to the Compliance Chief Administrator or Research Chief Administrator regarding measures to be taken against the person reported.

• The investigative committee will receive an explanation from the informant and will make a comprehensive assessment of the various pieces of evidence obtained during the investigation, including physical and scientific evidence, testimony, and the person's admission, to determine whether or not misconduct has occurred.
• 2 The Investigation Committee cannot determine whether a misconduct has occurred based solely on the accused person's admission.
• 3 In cases where the investigation committee is unable to dispel suspicions of misconduct in research activities through the accused's explanation or other evidence, it may determine that there has been misconduct. In such cases, the same shall apply when the accused is unable to provide sufficient evidence to dispel suspicions of misconduct due to a lack of basic elements that should exist, such as the non-existence of data and related documents that fall within the scope of the mandatory retention period.

• The Investigative Committee may, with the consent of the Committee, submit an interim report of the investigation at the request of the Allocating Organization, etc. related to the reported case, even before the investigation is completed. However, if the investigation is not completed by the deadline set forth in Article 29, Paragraph 7, the Investigative Committee shall submit an interim report of the investigation to the Allocating Organization, etc. with the consent of the Committee.
• 2 If, even during the course of the investigation, the Investigative Committee finds any evidence of research misconduct, even in part, it shall, with the consent of the Committee, report this to the Allocating Organization and the relevant government ministries and agencies.
• 3. When the Investigative Committee is requested by the Allocating Agency etc. to submit or inspect materials related to the case, or to conduct an on-site investigation, it shall comply with the request with the Committee's consent, unless there is a justifiable reason for doing so, such as it would impede the investigation.

• The investigation by the Investigative Committee shall be terminated if any of the following items are met. However, in the case of an investigation into research misconduct, only item 1 shall be met.
  • (1) When the investigation into the case has been completed.
  • (2) When the person concerned is no longer an employee of the school and it has become difficult for the investigative committee to continue its investigation.
• 2. When the investigation is completed, the Investigative Committee must promptly report the results of its investigation to the Committee.

• The Committee will promptly deliberate on any compliance violations based on the findings of the investigation reported by the Investigative Committee.
• 2 The Committee shall promptly notify the whistleblower, the person reported, and any other person who has been found to have violated compliance of the findings under the preceding paragraph.
• 3 When notifying the results of the determination pursuant to the preceding paragraph, the FSA shall clearly state the reasons why it has determined that there is a compliance violation or highly illegal conduct in the content of the notification, etc., or the reasons why it has determined that there is no such conduct.
• 4 The Committee will notify the whistleblower, the person reported, and any other person found to have been involved in misconduct of the results of its investigation (including any findings) within 210 days of receiving a report or consultation regarding research misconduct, and will submit a final report containing the following items to the Allocating Organization and the relevant government ministries and agencies.
  • (1) Survey results
  • (2) Causes of fraud
  • (3) The status of the management and audit systems for other competitive funds, etc., in which the person involved in the fraudulent activities is involved
  • (4) Recurrence prevention plan
  • (5) Any other matters that the Chief Executive Officer deems necessary in addition to those prescribed in the preceding paragraphs.
• 5. If the Committee determines that a report has been made in bad faith, and the reporter is affiliated with an organization outside the Academy, it shall also notify that organization.

• Any person found to have violated compliance may file a written complaint with the Committee through the reporting hotline within 14 days from the date of receipt of the notice. However, even within that period, a person may not file a complaint for the same reason multiple times.
• 2 A reporter whose report is determined to have been made in bad faith may appeal against the determination in accordance with the provisions of the preceding paragraph.
• 3 The review of complaints made pursuant to the provisions of the preceding two paragraphs shall be conducted by the Committee, provided, however, that the review of complaints made regarding misconduct in research activities shall be conducted by an investigative committee at the direction of the Committee.
• 4. When the Committee finds that a new judgment requiring expertise is required in the course of examining a complaint filed pursuant to the proviso of the preceding paragraph, it shall replace or add members of the Investigative Committee or have another person examine the case in place of the Investigative Committee. However, this shall not apply when it is deemed that there is no reasonable reason to change the composition of the Investigative Committee.
• 5. The new members of the Investigative Committee stipulated in the preceding paragraph shall be appointed in accordance with the provisions of Article 25.
• 6 The Committee may dismiss a complaint if it assesses that the matter does not warrant a further investigation.
• 7 If the Committee determines that the appeal dismissed pursuant to the preceding paragraph was primarily intended to postpone the proceedings of the case or the various measures associated with the certification, it will not accept any further appeals.
• 8 The Board shall decide whether a reinvestigation is necessary and shall notify the complainant of its decision.
• 9. When the Committee decides to conduct a reinvestigation, it shall notify the whistleblower in the case of a complaint filed by the accused, or the accused in the case of a complaint filed by the whistleblower.
• 10. When an appeal is filed, the Committee shall report the matter to the Allocating Agency and the relevant ministry or agency. The same shall apply when the Committee decides to dismiss the appeal or to conduct a reinvestigation.

Article 37 (Reinvestigation)

• If a decision is made to conduct a reinvestigation of a complaint filed under the preceding Article, the Investigative Committee shall request the complainant to submit materials sufficient to overturn the results of the previous investigation and to cooperate in the reinvestigation.
• 2. If the cooperation of the complainant as provided for in the preceding paragraph is not obtained, the Investigative Committee may terminate the proceedings without conducting a reinvestigation. In such a case, the Investigative Committee shall immediately report to the Committee.
• 3. When the Investigative Committee commences a reinvestigation, it shall evaluate whether or not to overturn the results of the previous investigation within 50 days from the date of commencement of the reinvestigation and shall immediately report the results to the Committee. However, if there are reasonable grounds for it being unable to evaluate whether or not to overturn the results of the investigation within 50 days, it shall submit a request to the Committee, together with the reasons therefor and the planned date for completion of the reinvestigation, for approval.
• 4 The Committee shall decide whether or not to overturn the previous investigation results based on the results of the reinvestigation reported under the preceding two paragraphs, and shall promptly notify the reporter, the person reported, and any other person found to have been involved in the misconduct of the reinvestigation results. If the person reported is affiliated with an organization outside the University, the organization to which the person belongs shall also be notified.
• 5 If the case in question concerns misconduct in research activities, in addition to the notification provided in the preceding paragraph, the Committee shall report the case to the allocating organization and the relevant government ministry or agency.
• 6 No appeals will be accepted against the results of the reinvestigation.

Article 38 (Measures for Compliance Violations)

• After receiving the results of the investigation, the Compliance Chief Manager or Research Chief Manager must take necessary measures, such as ceasing the non-compliance conduct and restoring the illegal state of affairs, as well as taking necessary measures to prevent recurrence.
• 2 If the investigation reveals any compliance violations, disciplinary action such as punishment and/or criminal charges will be taken against those involved in the violation in accordance with the university’s work regulations and the school rules of the university and junior college.
• 3 If the Committee determines that there has been no compliance violation, it shall take measures to restore the reputation of the person who has been determined not to have violated compliance and to prevent any disadvantage from occurring to him/her.

Article 39 (Measures against misconduct in research papers, etc.)

• The Research Director shall recommend to those who have been found to have violated compliance, those who have been found to bear significant responsibility for the content of papers etc. in which misconduct has been found, and those who have been found to be responsible for the use of all or part of research funds (hereinafter collectively referred to as "Certified Parties") that they withdraw or correct papers etc. that have been found to have violated compliance, or to take other measures.
• 2 The Approved Person must, within 14 days from the date of receiving the recommendation under the preceding paragraph, indicate in writing to the Research Director whether or not he/she will comply with the recommendation.

Article 40 (Discontinuation and return of research funds)

• The Research Director may order the person certified to immediately cease using the research funds, and in cases of extremely serious misconduct, may require the person to return the entire amount of the research funds allocated to the research in question.

Article 41 (Publication of Investigation Results)

• If the Committee finds a compliance violation, it will promptly make the results of its investigation public.
• 2 The information to be made public under the preceding paragraph shall include the names and affiliations of those involved in the misconduct, as well as an outline of the misconduct.
• 3 Notwithstanding the provisions of paragraph 1, if it is deemed inappropriate to make the information public, such as in the case where there is a risk of infringing on the privacy or other rights and interests of the victim or the person related to him/her, the information may not be made public in whole or in part.

• Any matters not specified in these rules regarding the handling of reports at the university shall be governed by the Whistleblower Protection Act (Act No. 122 of 2004) and other relevant laws and regulations.

• Departments to handle the following matters shall be established:
  • (1) Compliance-related affairs shall be handled by the General Affairs Division.
  • (2) Notwithstanding the provisions of the preceding paragraph, affairs relating to harassment shall be handled by the Human Resources Division, and affairs relating to research misconduct and prevention of misconduct shall be handled by Industry-Academia Co-innovation and Research Promotion Headquarters.
• Notwithstanding the provisions of the preceding paragraph, depending on the nature or content of the case, the relevant departments and agencies may cooperate and share the responsibilities of the case.

• Any amendment or repeal of these rules shall be made by a resolution of the Board of Directors.

Supplementary provisions

• 1 These regulations shall come into effect on October 25, 2017.
• 2 The Nakamura Academy Nakamura Sangyo Gakuen Compliance Promotion Regulations, the Nakamura Nakamura Sangyo Gakuen Compliance Committee Regulations, the Nakamura Nakamura Sangyo Gakuen Compliance Investigation Committee Detailed Rules, Kyushu Sangyo University Regulations on the Prevention of Sexual Harassment, Kyushu Sangyo University University Sexual Harassment Investigation Committee Internal Rules, the Kyushu Sangyo University Regulations on the Prevention of Misconduct in Research Activities, the Kyushu Kyushu Sangyo University, Zokei Junior College of Art and Design Regulations on the Prevention of Misconduct in Research Activities are hereby abolished.

Supplementary provisions

• This regulation shall come into effect on April 1, 2019.

Supplementary provisions

• This regulation shall come into effect on April 1, 2020.

Supplementary provisions

• This regulation shall come into effect on March 24, 2021.

Supplementary provisions

• This regulation will come into effect on July 19, 2022, and will apply from June 1, 2022.

Supplementary provisions

• This regulation shall come into effect on October 18, 2022.

Supplementary provisions

• This regulation shall come into effect on October 25, 2023.

Supplementary provisions

• This regulation shall come into effect on April 1, 2024.