Compliance education and awareness promotion plan

Okinawa Institute of Science and Technology School Corporation
Compliance education and awareness promotion plan for prevention of misuse of public research funds

Initially Approved on July 27, 2021
Revised on October 1, 2021
The Secretary General

This plan is established on the basis of the Basic Policy on the Prevention of Misuse of Public Research Funds and Misconduct Prevention Plan for Public Research Funds of the Okinawa Institute of Science and Technology School Corporation, and implemented by the Misuse prevention offices under the initiatives by the Chief Administrative Officer.

Q1	Q2	Q3	Q4	Remarks
Compliance: Proper Use of Public Funds Course (Basic elements of compliance) All OIST members (excl.Students) eLearning (30 min)				Mandatory; every fiscal year, at the beginning of each FY; on demand after that for new members joined mid of FY; Examination (Re-examination until a passing mark is achieved).
TIDA Announcement (eLearning promotion) All OIST members Online provision	TIDA Announcement (Introduction of Prevention plan) All OIST members Online provision	TIDA Announcement (Financial closing) All OIST members Online provision	TIDA Announcement (prep for next FY) All OIST members Online provision	Awareness promotion; Draw attention to seasonal notes and tasks, while taking into account the overall misuse prevention plan and contact information of the consultation service.
-	TIDA Story (Anti-fraud initiatives) All OIST members Online provision	-	TIDA Story (Anti-fraud initiatives) All OIST members Online provision	Awareness promotion; Introduction of stories and conversations with the Persons in Charge of Promoting Compliance and their key concepts.
New faculty orientation (Subsidy rules and budgetary operations) Budget holders Face to face/teleconference session (60 min)				Mandatory; As often as required (each entry of new faculty member).
New employee orientation (Subsidy rules and financial operations) All OIST members (excl.Students) eLearning (60 min)				Mandatory at entry on campus; Integrated with the other university administrations.
Accounting and Document Management Training (Rules and operations for Asset management / Travel Expense / Procurement) RUA/Admin (new employees in charge) Face to face (85 min)				Monthly: For new employees related to financial activity; To acquire a basic knowledge of the rules and operations for asset management, travel expenses, and procurement.
-	-	-	Financial Closing Explanatory Session (Rules and required operations for financial closing) RUA/Administrative staff Face to face/teleconference session (60 min)	Once a year (Q4); To acquire a basic knowledge of the rules and required operations for financial closing.
HEART and Administrative Training / Fixed Asset Management (Rules and operations for asset management) RUA/Administrative staff eLearning (30 min)				Can be taken at any time of the fiscal year; To acquire a basic knowledge of the rules and operations for asset management.
HEART and Administrative Training /Request and Settlement for Travel Expenses, Meeting Expenses and Honorarium (Rules and operations for Travel Expenses, Meeting Expenses and Honorarium) RUA/Administrative staff eLearning (60 min)				Can be taken at any time of the fiscal year; To acquire a basic knowledge of the rules and operations for travel expenses, meeting expenses and honorarium.
Travel Expenses consultation session (Rules and operations for Travel Expenses, Meeting Expenses and Honorarium) RUA/Administrative staff Face to face/teleconference session (60 min)				Every other week or Once a month; To have consultations to reimburse in accordance with the rules for each case.
-	-	Asset Management Explanatory Session (Rules and operations for asset management) RUA/Administrative staff Face to face/teleconference session (60 min)	-	Once a year (Q3); Subject persons can acquire a basic knowledge of the latest rules and operations for asset management.
-	Procurement Explanatory Session (Update on Procurement rules and operations) Budget holders/RUA/Administrative staff Face to face/teleconference session (90 min)	-	-	Once a year (Q2); Also regarding to promote awareness of the Misconduct Prevention Plan for Public Research Funds.
-	Kakenhi Explanatory Session (Guidelines for KAKENHI Use) Budget holders/RUA/Administrative staff Face to face/teleconference session (60 min)	-	-	Once a year (Q2); Subject persons can acquire a basic knowledge and updated information of the kakenhi budget execution and rules.
-	-	-	Kakenhi Explanatory Session for New Awardees (Guidelines for KAKENHI Use) Budget holders/RUA/Administrative staff Face to face/teleconference session (60 min)	Once a year (March); Subject persons can acquire a basic knowledge of the kakenhi budget execution and rules.
Individual guidance for grant awarded persons (Grant rules and operations) Budget holders/RUA/Administrative staff Face to face/teleconference session (60 min)				As often as required (at each grant award); Subject persons can acquire a basic knowledge of the grant rules and financial operations.
Individual guidance for grant awarded persons (Okinawa Pref funds, Private sector fundings, etc.) (Grant rules and operations) Budget holders/RUA/Administrative staff Face to face/teleconference session (60 min)				As often as required (at each grant award); Subject persons can acquire a basic knowledge of the grant rules and financial operations.
Explanatory session of Internal Audit plan (Informing/sharing with Internal Audit plan) 1) BOG/BOC, 2) Executive members, 3) Managers Face to face/teleconference session (30 min)	-	-	Explanatory session of Internal Audit result (Feedback and sharing with Internal Audit result) BOG/BOC + Executive members Face to face/teleconference session (30 min)	Awareness promotion; To communicate the IA activity's plans to acquire a basic understanding on the IA and direct appropriate cooperation with the IA activity; To report the result including significant risks and controls issues.