4.15　Operation and Management of Public Research Grants

4.15.1 Mechanisms for the Operation and Management of Public Research Grants

4.15.1.1 Public Research Grant Chief Administrative Officer
The President has the ultimate responsibility for the operation and management of public research grants at the University as the Public Research Grants Chief Administrative Officer. The Public Research Grants Chief Administrative Officer is required to ensure that all factors that may foster misuse relating to the operation and management of public research grants are eliminated through the establishment of mechanisms that have adequate misuse-prevention functions. Further, if any misuse occurs, the Public Research Grants Chief Administrative Officer is required to provide all necessary measures impartially and appropriately.

4.15.1.2 Public Research Grants General Administrative Officer
The Secretary General assists the Public Research Grants Chief Administrative Officer, and has the authority and responsibility for the operation and management of public research grants as a Public Research Grants General Administrative Officer at the University. The Public Research Grants General Administrative Officer develops Misuse Prevention Plan and provides education and training workshops based on the Misuse Prevention Plan to staff members in a planned and consistent manner.

4.15.1.3 Public Research Grants Compliance Officer
The Provost, the Dean of Faculty Affairs and Vice President for Financial Management play the following roles as a Public Research Grants Compliance Officers. Public Research Grants Compliance Officers can assign Public Research Grants Assistant Compliance Officer(s).

1. Applies misuse prevention measures, confirms the status of the implementation, and submits periodical reports to the Public Research Grants General Administrative Officer.
2. Prevent misuse, provides compliance education programs to all persons engaged in work relating to the use or management of public research grants, and provides supervision over the attendance and accomplishments.
3. Monitors the use and management of public research grants by the persons engaged in such works relating to the use or management of public research grants and provides instructions for improvements as necessary.

4.15.2 Internal Research Funding

The University’s internal funding for a research unit is allocated each fiscal year based on a five-year research program confirmed by the President at the time of the initial appointment and recommended by a review committee at the time of renewal. Any research equipment approved for a five-year research program should be considered common or shared equipment. The Provost along with the Director of Core Facilities investigate purchases of any research equipment over five million yen for possible use as common or shared equipment. If there is a need of additional space allocation for installation of newly purchased equipment, the space request should be submitted to and approved by the Space Allocation Committee.

4.15.2.1 Common Research Resources
The Core Facilities overseen by the Director of Core Facilities manages the common research facilities and equipment and provides services to the research units.

4.15.2.2 Internal Cost Charging
The Core Facilities may charge research units for the use of common research equipment and services to promote fair and efficient use.

4.15.3 External Research Funding

While internal research funding is a highly attractive feature for faculty, the University as a whole is expected to gradually depend less on government subsidies and more on competitive government grants and private funding. It is also important for the financial freedom of the University to provide flexible support for its research, education, and community building. The Grants Section overseen by the Dean of Research provides support for researchers to submit competitive research grant proposals and to spend the budget effectively in compliance with the funding agency regulations. When submitting grant proposals, requirements for additional space, equipment maintenance costs and the required incremental administrative support should be adequately considered.

4.15.3.1 Public Grant Application
Applications for government, prefectural, or international research grants by all eligible researchers are encouraged. Non-faculty researchers should consult the faculty before application, so that the pursuit of the grant does not interfere with the overall goal of the research unit. Any submission that requires additional laboratory or office space, and does not cover indirect costs or requires matching internal funding, requires additional scrutiny. All grant applications must be approved by the Manager of the Grants Section before submission. If there is a need of additional space allocation for new activities based on a public grant, the space request should be submitted to and approved by the Space Allocation Committee.

4.15.3.2 Private Funding and Joint Research
When an opportunity for private research funding or joint research with an industrial partner emerges, the faculty is required to consult  the Business Development Section for the appropriate contract or agreement. Privately funded research at the University must be of an academic nature and needs to be disseminated as a publication or conference presentation (see PRP 1.3.1 Openness in Research). When conducting privately funded or joint industrial research, the policies and requirements regarding Intellectual Property and Technology Transfer and Avoiding Conflicts of Interest & Security Export Control must be observed. If there is a need of additional space allocation for new activities based on  private funding or joint research, the space request should be submitted to and approved by the Space Allocation Committee.

4.15.3.3 Management of External Funds
The use of external grants in general needs to conform to the requirements described in the University Policies, Rules & Procedures, in the same manner as internal research funding. Any additional requirements by the funding agency have to be observed. All grant recipients should be aware that non-compliance with the rules, both intentionally or mistakenly, can negatively impact the reputation of the University and can result in extensive sanctions for the offending faculty member.

4.15.3.4 Implementation of self-motivated research activities by young researchers employed with competitive research funding
Young researchers who are employed with competitive research funding are generally required to concentrate on the funded project. However, obtaining approval from the Dean of Research following the procedures provided below, the researcher may implement self-motivated research activities.
Necessary procedures to implement the said research activities are provided separately in “Approval procedures for implementing self-motivated research activities by young researchers employed with competitive research funding in OIST School Corporation”.