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Initiatives toward integrity in research activities

RIKEN is taking the following initiatives based on the Guidelines for Responding to Misconduct in Research (adopted August 26, 2014 by Ministry of Education, Culture, Sports, Science and Technology (MEXT)) and the Guidelines for Management and Auditing of Public Research Funds in Research Institutes (adopted February 15, 2007 (Revised February 18, 2014) by MEXT).

Initiatives for research integrity

  • In accordance with the Guidelines for Responding to Misconduct in Research (Adopted August 26, 2014 by Ministry of Education, Culture, Sports, Science and Technology (MEXT)), RIKEN revised the Regulations on the Prevention of Research Misconduct. The revision includes the placement of the Director of the Risk Management Group as the General Manager for Research Ethics Education, and the appointment of the Research Ethics Education Officers at each research center who handle research ethics education related matters under the supervision of the General Manager for Research Ethics. It also includes provisions for the responsibilities of Center Directors, PIs, and other staff to ensure thorough research ethics education and to maintain and improve research systems that prevent misconduct.
  • The Regulations on Maintaining Research Records stipulate the requirements and procedures for recording and managing research logs. The Regulations on Publishing Research Papers provide notes and procedures for presenting research results.
  • The Compliance Division is the contact point for consultation and reports about research misconduct. External lawyers’ consultation services are also available for employees who wish to have a consultation or blow a whistle.

Initiatives in the proper handling of public research funds

  • In accordance with the Guidelines for Management and Auditing of Public Research Funds in Research Institutes (Adopted February 15, 2007 (Revised February 18, 2014) by MEXT), the Regulations to Prevent Misuse of Public Research Funds was revised, stipulating necessary matters including the clarification of responsibilities regarding the prevention of misuse of public funds.
  • The Code of Conduct for Use of Public Research Funds was established to ensure that public funds are used properly based on the related laws and RIKEN’s regulations, that researchers are aware that research expenses come from national taxes and therefore, must comply with the rules for use of public funds to use them properly, even if funds are provided to them individually. It also stipulates that research expenses related to honoraria, travel, and materials must be executed in a particularly strict manner.
  • The Plans for Preventing Misuse of Public Research Funds were established to understand and examine the conditions of any risks for misconduct, and to implement preventive actions for misuse of public funds by collaborating with the related parties.
  • The Compliance Division is the contact point for consultation and reports about research misconduct. External lawyers’ consultation services are also available for employees who wish to have a consultation or blow a whistle.

Related regulations

Regulations for promotion of research integrity

Regulations for proper handling of public funds

Contact point for reporting misconduct

Contact point for reporting research misconduct in scientific research*1

  • ※ Note: The following is a dedicated contact point for reporting research misconduct. Please note that other inquiries will not be forwarded through this line.

Compliance Division
Tel: 048-462-1337 (direct)
Email: compliance [at] riken.jp

  • ※ Note: You can use telephone, fax, or email for inquiries, but inquiries in writing by email or fax are preferred when possible so that we can accurately understand the details.

*1. The term “research misconduct” refers to deliberately, or through gross negligence, fabricating, falsifying, or plagiarizing data or investigation results in a published paper or presentation of research results. (Article 2, paragraph 2, Regulations on the Prevention of Research Misconduct)

  • (1) Fabrication: Making up data or research findings that do not exist.
  • (2) Falsification: Manipulating research documents, specimens, equipment, or processes so that data and research results are no longer authentic.
  • (3) Plagiarism: Appropriating another person’s ideas, analyses, data, research results, papers or terminology without the other person’s consent or without giving appropriate credit.

Notes for reporting research misconduct

  • Incidents of research misconduct should be reported by telephone, email, letter, or in a face-to-face meeting.
  • In reporting an incident, the whistleblower must, in principle, give their own name and the name of the researcher or research group suspected of research misconduct, explain the specific nature of the research misconduct, and present scientific and rational reasons why research misconduct is suspected.
  • Any reports aimed at slandering others or false reports will not be accepted.
  • The whistleblower is asked to cooperate with the investigation of the incident to the extent necessary.
  • In the course of the investigation of the accused incident, necessary care will be provided in order to avoid the whistleblower being identified by the accused and anyone other than those involved in the investigation, unless consent from the whistleblower is obtained.
  • However, if the reporting is judged to be an incident based on the whistleblower’s malicious intent*2, the incident will be reported to the head of the affiliation to which the whistleblower belongs. We may also take countermeasures, such as disclosure of the whistleblower.

    The “whistleblower’s malicious intent” refers to the intention to damage the accused and give disadvantages to the organization/affiliation that the accused belongs to, such as entrapping the accused or interrupting research to be done by the accused.

Contact point for reporting misuse of public funds*3

  • ※Note: The following is a dedicated contact point for reporting misuse of public funds. Please note that other inquiries will not be forwarded through this line.

Compliance Division
Tel: 048-462-1337 (direct)
Email: compliance [at] riken.jp

  • ※ Note: You can use telephone, fax, or email for inquiries, but inquiries in writing by email or fax are preferred when possible so that we can accurately understand the details.

*3 The “misuse of public funds” refers to use of public research funds violating the law, RIKEN regulations, and the rules of the external-funds-sponsored organizations. The “external funds” refer to research aid, subsidies, and public funds for commissioned research sponsored by those stipulated in Article 4 of the statement of operational procedures (October 2, 2003, approved by the Minister of MEXT), such as government agencies and academic promotion organizations. (For details, refer to paragraphs 1 and 2 of Article 1 in the Regulations to Prevent Misuse of Public Research Funds.)

Notes for reporting misuse of public funds

  • Incidents of research misconduct should be reported by telephone, email, letter, or in a face-to-face meeting.
  • In reporting an incident, the whistleblower must, in principle, give their own name and the name of the researcher or research group suspected of research misconduct, explain the specific nature of the misuse, and present rational reasons why misuse of public funds is suspected.
  • Any reports aimed at slandering others or false reports will not be accepted.
  • The whistleblower is asked to cooperate with the investigation of the incident to the extent necessary.
  • In the course of the investigation of the accused incident, necessary care will be provided to avoid the whistleblower being identified by the accused and anyone other than those involved in the investigation, unless consent from the whistleblower is obtained.
  • However, if the report is judged to be an incident based on the whistleblower’s malicious intent*4, we may take countermeasures, such as disclosure of the whistleblower.

    *4 The “whistleblower’s malicious intent” refers to the intention to damage the accused and give disadvantages to the organization/affiliation that the accused belongs to, such as entrapping the accused or interrupting research to be done by the accused.

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