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Conflict of Interest Management Policy

  1. Basic Philosophy of Conflict of Interest Management Policy

    Japan Agency for Marine-Earth Science and Technology (JAMSTEC) will actively encourage business activities by its employees on enabling the results of scientific research and other outcomes available to the public and promotion of their utilization, and will properly manage any conflict of interest that may arise in connection with such activities as follows.

    (1)
    JAMSTEC will ensure that it fulfills its obligations in respect of business activities by the employees concerning dissemination of the research and development results and promotion of their utilization, and will maintain and secure social trust in JAMSTEC.
    (2)
    JAMSTEC will appropriately manage conflict of interest among individual employees to prevent the occurrence of problems.
    (3)
    JAMSTEC will appropriately share responsibilities and benefits with individual employees for the purpose of providing employees with an environment in which they can engage in business activities on enabling the results of scientific research and other outcomes available to the public and promotion of their utilization without anxiety, and thereby promoting more active collaboration.

  2. Definition of Conflict of Interest

    JAMSTEC defines conflict of interest as follows. Definitions (1) and (2) below are collectively considered conflict of interest in the broad sense, and are subject to conflict of interest management.

    (1)
    Conflict of Interest in the Narrow Sense: a situation in which private profit obtained by employees from third party organizations can be in conflict with the profit of JAMSTEC. One such example is that an employee acts in favor of the organization from which he/she receives additional income when such organization conducts joint research with JAMSTEC.
    (2)
    Conflict of Duties: a situation in which work-performing duties of the employees at third party organizations can be in conflict with their work-performing duties at JAMSTEC. One such example is that an employee performs any work for any third party during working hours of JAMSTEC in any way unacceptable to JAMSTEC.

  3. Management System
    (1)
    Establishment of Conflict of Interest Management Committee: The committee organized by employees will deliberate on the basic policy on conflict of interest and specific issues.
    (2)
    Appointment of Conflict of Interest Advisors: JAMSTEC will create the post of Conflict of Interest Advisor, who will act as an advisor to the Conflict of Interest Management Committee and as a consultant on conflict of interest for the employees. Outside experts with specialist knowledge concerning the management of conflict of interest (e.g. lawyer, public certified accountant, etc.) will be appointed Conflict of Interest Advisors.

  4. Scheme of Conflict of Interest Management
    (1)
    Management Based on Self-Assessment
    1. Periodic Self-Assessment: JAMSTEC will require those executives and employees engaging in business activities on enabling the results of scientific research and other outcomes available to the public and promotion of their utilization to file a “Periodic Self-Assessment Report” including the income from the entities for which such activities were conducted and the number of working hours spent on such activities, etc., in order to determine if they have personal interest in such entities for which such activities were conducted.
    2. Hearing: If the Conflict of Interest Management Committee deems it necessary for a person who filed a self-assessment report (hereinafter referred to as “Periodic Self-Assessment Reporter”), a hearing will be conducted by the Committee or the Conflict of Interest Advisors to examine if there is any adverse effect of conflict of interest.
    3. Correction and Advice by Conflict of Interest Committee: If, as a result of the hearing, the Committee determines that any adverse effect of conflict of interest exists or threatens to arise in the future, it will issue advice of correction, improvement or suspension of such business activities. The Periodic Self-Assessment Reporter in question will be required to report on the action taken based on the advice. If such Periodic Self-Assessment Reporter fails to take any action based on the advice without persuasive reason, the case will be reported to the President, who will consider how to handle it.
    (2)
    Prior Management of Occurrence of Event
    1. Prior Consultation: Consultation with the Conflict of Interest Advisors or the secretariat of the Conflict of Interest Management Committee concerning any matter relating to conflict of interest will be made available in the planning stage of business activities on enabling the results of scientific research and outcomes available to the public and promotion of their utilization,
    2. Prior Self-Assessment: If an employee who is planning to conduct business activities on enabling the results of scientific research and outcomes available to the public and promotion of their utilization has personal interest in the entity for which such activities are to be conducted, such employee will be required to submit a prior self-assessment report at such time as determined by the Conflict of Interest Management Committee.
    3. Guidance by Conflict of Interest Management Committee: The Conflict of Interest Management Committee will examine the prior self-assessment and determine whether any adverse effect of conflict of interest is expected on the business activities in question and, where deemed necessary, provide guidance to the employee who conducted the prior self-assessment and the head of the department, etc. to which such employee belongs.
    (3)
    Other Management
    1. Other Management: In other management process than the periodic self-assessment management such as the Prior Management of Occurrence of Event, too, if the Conflict of Interest Management Committee deems necessary, a hearing will be conducted by the Committee or the Conflict of Interest Advisors.
    2. Correction and Advice by Conflict of Interest Management Committee: If, as a result of the hearing, the Committee determines that any adverse effect of conflict of interest exists or threatens to arise in the future, it will issue advice of correction, improvement or suspension of such business activities and demand a report on the action taken based on the advice. If the employee who received such advice fails to take any action based on the advice without persuasive reason, the case will be reported to the President, who will consider how to handle it.
    (4)
    Request for Reexamination: If the employee has an objection against the advice, he/she may file a request for examination with the Conflict of Interest Management Committee. The President will then issue a final determination based on the result of examination by the Conflict of Interest Management Committee and the contents of the request by the employee, and order the Committee and such employee to take action pursuant to such final determination.

  5. Training, etc.

    In order to ensure that the importance of the management of conflict of interest is widely known, training programs, etc. concerning conflict of interest will be provided on a regular basis as determined by the Conflict of Interest Management Committee.

    *
    “Employees” means:
    (1)
    The executives as specified in Article 10 of the Independent Administrative Institution, Japan Agency for Marine-Earth Science and Technology Law (2003 Law No. 95);
    (2)
    Persons specified in Article 2 of the Work Rules (2004 Rules No.9), Article 2 of the Fixed-Term Employees Work Rules (2004 Rules No.10), Article 2 of the Research Vessel Crew Work Rules (2004 Rules No.11), Article 2 of the Deep-Sea Drilling Vessel Crew Work Rules (2005 Rules No.22), Article 2 of the Staff Assistant Work Rules (2005 Rules No.5), Article 2 of the Short-term Part Time Employees Work Rules (2005 Rules No.6), and Article 2 of the Research Support Part Time Employees Work Rules (2005 Rules No.29); and
    (3)
    Persons in positions at JAMSTEC that are established under special rules.

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