Response to Misconduct in Research Activities at the Japan Academy of Nursing Science

February 22, 2009 at the Board of Directors Meeting

(Purpose)
1 This guideline sets forth the necessary matters concerning the handling of misconduct in research activities at the Japanese Society of Nursing Science (hereinafter referred to as "the Society").

(Coverage)
2 These rules apply to members of the Society who are involved in research activities and to researchers who conduct joint research with such members.

(Definition)
3 The misconduct covered by this arrangement refers to the following acts in the process of producing and presenting research results in violation of the "Code of Conduct for Scientists of the Japanese Society of Nursing Science".
Fabrication of data, research results, etc. (meaning to create data, research results, etc. that do not exist, or to record, report, or use such created data, results, etc. in papers, etc.) Falsification (refers to the manipulation of research materials, equipment, or processes to change them, recording such manipulation, or using such manipulated data, results, etc. to publish research results, prepare papers, etc.). Plagiarism (refers to the misappropriation of another researcher's ideas, methods of analysis, data, research results, papers, or terminology without the consent or proper attribution of the said researcher). (2) Plagiarism.
However, in the process of preparing and reporting research results, it does not constitute misconduct if it is unintentional and if data and experimental records are handled in accordance with general practices in the relevant research field.

(Charge Requirement)
4 Regardless of the existence of a wrongful purpose, any person who believes that a wrongful act has occurred or is about to occur may file a complaint with the Society.

(Responsible person)
5 The Society shall have a person in charge of operations related to the handling of accusations, who shall be a Director (Ethics Review Committee).

(System for accepting complaints, etc.)
6 The JSPS shall establish a contact point for accepting complaints, etc. concerning misconduct in research activities, as well as for providing consultation and information on misconduct (hereinafter referred to as the "Complaints Office"). (hereinafter referred to as the "Complaints Office") as a contact point for receiving complaints, etc. concerning misconduct in research activities and for providing consultation and information on misconduct.
2) The contact point for the reporting of complaints shall be the office of the JSCE.
3) Upon receiving a complaint, the responsible person shall immediately report it to the President.

(Method of prosecution, etc.)
7 Accusations should be made directly to the contact point by registered mail through the prescribed letter to the contact point.
2) As a general rule, we will only accept accusations that clearly identify the researcher or research group that has committed the misconduct, the manner of the misconduct, the nature of the incident, and the scientific and rational reasons for the misconduct.
3) Anonymous complaints shall not be accepted. The protection of the accuser is described in Article 21.
4) When the suspicion of misconduct is raised by the press or the research community, including academic societies, it shall be handled in the same manner as when a complaint of misconduct is filed with the Society by the person who is accused of misconduct.
5) The whistle-blowing office will notify the whistle-blower whether or not the complaint has been accepted.

(Preliminary study)
8 The responsible person shall investigate the possibility that the accused misconduct has been committed, the rationality of the scientific rationale given at the time of the accusation, the facts, and the possibility of investigation (hereinafter referred to as "preliminary investigation"). The investigator shall conduct a preliminary investigation (hereinafter referred to as the "Preliminary Investigation").
2) The responsible person may establish a preliminary investigation committee to conduct a preliminary investigation.
3) In the case of a preliminary investigation of accusations against a paper that was withdrawn before the accusation was made, the circumstances leading to the withdrawal of the paper shall be included, and a determination shall be made as to whether or not the issue should be investigated as a matter of misconduct.

(Judgment Conference)
9 The Society shall establish a judgment meeting to determine whether or not a case in which an accusation has been made as a result of the preliminary investigation requires a full investigation by the Society (hereinafter referred to as the "main investigation"), and whether or not to refer the accusation to the research institution, etc. 9. A Judgment Conference shall be established to determine whether or not a case in which an accusation is made as a result of the Preliminary Investigation needs to be subjected to the main investigation by the Society (hereinafter referred to as the "Main Investigation"), and whether or not to forward the said accusation to the research organization, etc.
2) The Judgment Council shall consist of the following persons
(1) Responsible person
(2) The Director in charge of the business pertaining to the misconduct complained of
(3) Other persons deemed necessary by the responsible person
3) The responsible person shall report the judgment results of the Judgment Conference to the President.
4) A decision on whether or not to conduct a full investigation and whether or not to forward the accusation to the research institution, etc., shall be made approximately within 30 days after receiving the accusation.
5) If a decision is made not to conduct the main investigation, the Accreditor shall be notified to that effect, together with the reasons for the decision. In this case, the materials and other documents pertaining to the preliminary investigation shall be preserved.

(Circulation of investigation of the accused case)
10 Research institutions (including cases where the researcher is not affiliated with any research institution but exclusively uses the facilities and equipment of a specific research institution. The same shall apply hereinafter). When an accusation of misconduct in research activities is made against a researcher, the investigation shall, in principle, be forwarded to the research institution concerned.
2) If the accused case involves research activities related to competitive funds, the case shall be forwarded to the research organization that received the allocation of the funds in principle.
3) If the accusation relates to research conducted at a research institution different from the research institution to which the accused belongs, the case shall be forwarded to both the research institution to which the accused belongs and (or) the research institution where the research was conducted, requesting an investigation of the accused case.
4) If the accused has already left the research institution to which he/she belonged when he/she was conducting research on the accused case, the information shall be circulated to both the research institution to which he/she currently belongs and/or the research institution from which he/she left, and the accused case shall be investigated. If the accused is not affiliated with any research institution after leaving his/her employment, the case shall be forwarded to the research institution to which he/she belonged when he/she was conducting the research related to the accused case, and the accused case shall be requested to be investigated.
5) If the accused case is a research activity for which funds are allocated by the Society, the Society may investigate the case even if the accused is a researcher affiliated with the research institution.
6) If the accused case involves research activities for which funds are allocated by the Society, the Society may investigate the case even if the accused is a researcher affiliated with the research institution.
7) If the accused case is a research activity by a researcher who is not affiliated with the research institute, and if no competitive funds are involved and the research institute does not appear to be involved, the Society will investigate the case.
8) When requesting an investigation of an accused case, the research institution is requested to conduct the investigation in good faith, regardless of whether or not the accused is currently affiliated with the research institution.
9) For accusations of misconduct or requests for misconduct, the case shall also be forwarded to the institution to which the accused belongs. The accused's institution will also be asked to issue a warning.

(Misconduct Investigation Committee)
11. When the President deems it necessary to conduct this investigation based on the report stipulated in Paragraph 3 of the preceding Article, the President shall establish the Misconduct Investigation Committee (hereinafter referred to as the "Investigation Committee") and promptly conduct this investigation. The President shall promptly conduct the main investigation.
2) The Investigation Committee shall consist of the following members
(1) One director appointed by the President
(2) Two members of the Editorial Committee
(3) A few persons with knowledge in the field of research pertaining to the misconduct complained of
(4) One person with knowledge of law
(5) A few other persons deemed necessary by the President
3) The Committee shall have a chairperson, who shall be the director as stipulated in the first item of the preceding paragraph.
4) One of the committee members in items 3 through 5 of paragraph 2 shall not be a member.
5) The members of the Committee as described in Items 2.2 through 2.5 of Paragraph 2 shall be appointed or delegated by the President with the approval of the Board of Directors.

(this survey)
The Investigation Committee shall conduct the investigation in the following manner
(1) Hearing from the accuser, the accused, and other persons concerned (hereinafter referred to as "persons under investigation"). (2) Hearing the circumstances from the person who is the subject of the investigation.
(2) Investigation of related materials, etc.
(3) Other investigations reasonably necessary for this investigation
2) The study should be initiated within a reasonable period of time (e.g., approximately 30 days) after the decision to conduct the study.
3) The subject of the investigation shall be notified of the commencement of this investigation. 4) When requested to cooperate in this investigation, the subject of the investigation shall cooperate in good faith.
4) In addition to research related to the accusation, etc., the scope of the investigation may include, at the discretion of the Investigation Committee, other research by the accused related to the investigation.
5) The Investigation Committee may take measures such as temporarily closing facilities, etc. necessary for the investigation and preserving related materials, etc., when necessary to obtain related materials, etc. or when there is a risk that related materials, etc. may be destroyed in the course of the investigation.
6) When taking the measures described in the preceding paragraph, the chairperson must obtain the prior consent of the heads of the research institutions concerned, etc., and must report the details of the measures to the Board of Directors (and the President) after the fact, within the minimum necessary scope and period.
7) In conducting an investigation, sufficient care shall be taken to ensure that information that should be kept confidential from a research or technical perspective, such as pre-publication data and papers on the subject of the investigation, is not leaked outside the scope necessary for the conduct of the investigation.

(Certified)
13 Based on the results of this investigation as stipulated in the preceding Article, the Investigation Committee shall make a finding as to whether or not misconduct has occurred and to what extent, within a reasonable period of time (approximately 150 days).
2) If the Investigation Committee determines through its investigation that no misconduct has occurred and that the accusation is based on malicious intent, it will also make a finding to that effect.
3) In making the finding in Paragraph 1, the Investigation Committee shall give the accused an opportunity for written or oral explanation. (4) In making the finding in Paragraph 2, the accused shall be given an opportunity to present his/her case in writing or orally.
4) When the Investigation Committee makes the findings described in Paragraphs 1 and 2, it shall immediately report its findings to the President.
5) The Investigation Committee shall certify the details of the measures to be taken against the subject as a result of this investigation. If any of the following measures are found to be necessary, the Committee shall recommend to the President and the Board of Directors the details of the action to be taken.
(1) Disciplinary actions, etc., based on the rules and regulations of JSCE
(2) Suspension of use of research funds, refund measures, etc.
(3) Measures to prevent or eliminate fraud

(Notification of certification results)
14 Upon receiving the report stipulated in Paragraph 4 of the preceding Article, the President shall promptly notify the accuser, the accused, and the institutions concerned of the results of said investigation in writing.

(Appeal)
15 The accuser and the accused may appeal against the finding of Article 13, Paragraph 1 to the President within 14 days from the day following the date of notification.

(Appeals Committee)
16 Upon receipt of an appeal under the preceding Article, the President shall promptly establish an Appeal Committee and notify the accuser and the accused.
2) The Investigation Committee shall serve as the Appeal Committee. However, if the purpose of the appeal is related to the fairness of the Investigation Committee, such as its composition, the President may, at his/her discretion, have another person examine the appeal instead of the Investigation Committee. In such a case, the committee shall consist of a few persons appointed by the President (excluding members of the Investigation Committee and persons involved in the preliminary investigation). In such a case, the Investigation Committee shall be organized by a few persons appointed by the President (excluding Investigation Committee members and persons involved in the preliminary investigation).
3) The Appeals Committee shall, upon the appeal described in the preceding Article, examine the certification of this investigation and related materials, etc., as well as interview the persons concerned as necessary, determine the necessity of a retrial, and report the results to the President.

(Rehearing)
17 Upon receipt of the report as stipulated in Paragraph 3 of the preceding Article, if the President deems it necessary to re-examine the case, the President shall order the Investigation Committee to re-examine the case promptly and shall notify the accuser and the accused of such order.
2) The provisions of Articles 11 through 13 shall apply mutatis mutandis to the re-investigation.
3) Neither the accuser nor the accused may challenge the results of the re-investigation.

(Publication of survey results)
18 The President shall, in principle, make public the results of the certification and recommendations in writing after deciding on the measures to be taken against the accused, except for those portions for which there are reasonable grounds for nondisclosure, such as the protection of personal information or intellectual property. In this case, if there are opinions of the accused regarding the matters to be made public, those opinions shall also be made public.

(Dispositions and other measures)
19 When the President receives a report or recommendation on the findings from the Investigation Committee pursuant to Article 13, Clause 4 or Clause 5, he/she shall promptly take the necessary measures.
2) In cases where the Investigation Committee confirms that no misconduct existed, and the President deems it necessary to normalize the accused's educational and research activities or to restore his/her reputation, the President must take sufficient measures against the accused.

(Commissioning and Cooperation of Surveys)
20 The Society may be entrusted with investigations into "misconduct" by research institutes, etc., or may receive cooperation in conducting such investigations. In such cases, the handling of the accuser and the accused, and the system and methods of investigation of the accusation, etc., shall apply mutatis mutandis to the entrusted or cooperating organization.

(Protection of the accused and accuser)
21 The Society shall take appropriate measures to ensure that persons who blow the whistle, consult, provide information, or cooperate in investigations related to misconduct are not treated unfavorably because of such actions.

(Prohibition of Abuse of Charges)
22 No person shall make false accusations, slanderous or defamatory accusations against others, or any other accusations with a dishonest purpose.

(Protection of personal information)
23 Those involved in the work related to the handling of accusations must not disclose the details of the accusation, consultation and information provided, as well as any personal information obtained in the investigation.
2) JSCE may take disciplinary action, etc., in accordance with the rules and regulations of JSCE against a person who discloses personal information as described in the preceding paragraph without justifiable reason.

(Educational activities)
24 To prevent misconduct, the responsible person shall conduct educational activities, including ethics education for scientists, to ensure that they are aware of the manners they should observe with regard to research activities and to improve the ethics of researchers.

(Administrative)
25 The affairs concerning the handling of misconduct related to research activities shall be handled at the office of the Society.

Note: Partially revised on May 14, 2011.