Fukushima Institute for Research, Education and Innovation
Statement of Operating Procedures

Regulations No. 1 of 2023
April 1, 2023

Table of Contents

• Chapter 1 General Provisions (Articles 1 to 2)
• Chapter 2 Matters Concerning Operations (Articles 3 to 19)
• Chapter 3 Standards for Consignment of Operations (Article 20)
• Chapter 4 Competitive Bidding and Other Basic Matters Concerning Contracts (Article 21)
• Chapter 5 Structure, Etc. for Ensuring Appropriate Operations (Articles 22 to 32)
• Chapter 6 Other Matters Necessary for Execution of Operations of Institute (Articles 33 to 34)
• Supplementary Provisions

Chapter 1 General Provisions

(Purpose)

Article 1 The purpose of this Statement of Operating Procedures is to specify the matters prescribed in Article 125, paragraph (2) of the Act on General Rules for Incorporated Administrative Agencies (Act No. 103 of 1999; hereinafter referred to as “Act on General Rules”) as applied mutatis mutandis in Article 125 of the Act on Special Measures for the Reconstruction and Revitalization of Fukushima (Act No. 25 of 2012; hereinafter referred to as "Act"), in Article 57 of the Ordinance for Enforcement of the Act on Special Measures for the Reconstruction and Revitalization of Fukushima (Reconstruction Agency Order No. 3 of 2012), and in Article 8 of the Order on Management of Operations by the Fukushima Institute for Research, Education and Innovation (Reconstruction Agency, Ministry of Education, Culture, Sports, Science and Technology, Ministry of Health, Labour and Welfare, Ministry of Agriculture, Forestry and Fisheries, Ministry of Economy, Trade and Industry, and Ministry of the Environment Order No. 1 of 2023) pursuant to Article 28, paragraph (1) of the Act of General Rules, thereby contributing to the proper management of the operations of the Fukushima Institute for Research, Education and Innovation (hereinafter referred to as “Institute”).

(Basic Policy on Management of Operations)

Article 2 1 For the purpose of contributing to the reconstruction and revitalization of Fukushima following the nuclear power disaster, in light of the importance of operations such as research and development that will contribute to the creation of new industries and the strengthening of international competitiveness of industries in Fukushima (hereinafter referred to as “Research and Development for the Creation of New Industries, Etc.”) and the development of an environment for said research and development, the dissemination of the results thereof and the development and securing of human resources pertaining to the Research and Development for the Creation of New Industries, Etc., the Institute shall ensure the proper and efficient management of operations pursuant to the Basic Plan for Research and Development for the Creation of New Industries set forth in Article 90, paragraph (1) of the Act (hereinafter referred to as “Basic Plan”).

2 In performing operations, the Institute shall endeavor to closely coordinate and cooperate with related national institutions and Japanese local government, domestic and foreign research institutes, universities and other schools, companies, etc. (hereinafter referred to as “Domestic and Foreign Research Institutes, Etc.”).

Chapter 2 Matters Concerning Operations

(Research and Development for New Industry Creation, Etc. and Development of Environment Therefor)

Article 3 1 The Institute shall conduct Research and Development for the Creation of New Industries, Etc. and develop an environment therefor.

2 The Institute may consign Research and Development for the Creation of New Industries, Etc. to parties other than the Institute in cases where it is appropriate to conduct said research and development through that consignment.

3 In implementing the preceding two paragraphs, the Institute shall investigate and ascertain trends in research and development and intellectual property based on the Basic Plan, select challenges, and configure implementing agencies as well as establish an appropriate research and development structure.

(Acceptance of Research and Development for New Industry Creation, Etc. on Consignment)

Article 4 1 The Institute may accept the consignment of the conducting of Research and Development for New Industry Creation, Etc. upon request from parties other than the Institute.

2 When it intends to accept the consignment under the preceding paragraph, the Institute shall enter into a contract for that consignment with the consigner.

3 The matters set forth in the contract under in the preceding paragraph shall be as listed below.

• (1) Purpose and period of Research and Development for New Industry Creation, Etc.
• (2) Overview of Research and Development for New Industry Creation, Etc.
• (3) Expenses pertaining to conducting of Research and Development for New Industry Creation, Etc.
• (4) Handling of intellectual property rights
• (5) Other necessary matters

(Joint Research)

Article 5 1 The Institute may conduct research and development for the creation of new industries, etc. jointly with other parties (hereinafter referred to as “Joint Research”).

2 When it intends to conduct Joint Research, the Institute shall enter into a contract for Joint Research with the other party to that research.

3 The matters set forth in the contract under in the preceding paragraph shall be as listed below.

• (1) Purpose and period of Joint Research
• (2) Overview of Joint Research
• (3) Expenses pertaining to conducting of Joint Research
• (4) Handling of intellectual property rights
• (5) Other necessary matters

(Collaborative Activities in Japan and Overseas)

Article 6 In collaborating with Domestic and Foreign Research Institutes, Etc., the Institute shall actively cooperate with Research and Development for the Creation of New Industries, Etc., and may conclude necessary arrangements, etc. with Domestic and Foreign Research Institutes, Etc.

(Granting of Consent to Implement, Transfer of, Etc. Intellectual Property Rights)

Article 7 1 The Institute will effectively promote the practical application and dissemination of results obtained through Research and Development for the Creation of New Industries, Etc. (hereinafter referred to as “Research and Development Results”) by granting consent to implement, transferring, etc. intellectual property rights obtained through Research and Development for the Creation of New Industries, Etc.

2 The Institute shall develop regulations, etc. for the implementation of the operations under the preceding paragraph. The matters listed below shall be stipulated in said regulations, etc.

• (1) Standards for granting consent to implementation of intellectual property rights
• (2) Standards for transferring intellectual property rights
• (3) Other necessary matters

3 When it implements the operations under paragraph (1), the Institute may collect appropriate compensation as separately stipulated.

(Dissemination of Results of Research and Development for New Industry Creation, Etc.)

Article 8 1 The Institute shall disseminate the Research and Development Results using the methods listed below in addition to the granting of consent to implement, transfer of, etc. of intellectual property rights listed in the preceding Article.

• (1) Holding of presentations on Research and Development Results
• (2) Preparation and distribution of reports, etc. on Research and Development Results
• (3) Holding of lectures on Research and Development Results
• (4) Exhibiting of Research and Development Results
• (5) Electronic communication of Research and Development Results
• (6) Other appropriate methods in accordance with Research and Development Results

2 When it implements the operations under the preceding paragraph, the Institute may collect appropriate compensation as separately stipulated.

(Subsidies for Research and Development for New Industry Creation, Etc. and Development of Environment Therefor)

Article 9 The Institute shall provide Domestic and Foreign Research Institutes, Etc. and their researchers, etc. with necessary subsidies for Research and Development for New Industry Creation, Etc. and the development of an environment therefor.

(Use of Facilities, Etc.)

Article 10 1 When it provides its facilities and equipment (hereinafter referred to as “Facilities, Etc.”) for use by parties engaged in business activities prescribed in Article 88-2 of the Act or other persons engaged in activities that contribute to Research and Development for New Industry Creation, Etc., the Institute shall take into consideration the purpose of use, the period of use, the level of urgency, the impact on its own Research and Development for New Industry Creation, Etc., social and economic importance, etc.

2 In cases where it provides its Facilities, Etc. to parties outside of the Institute, the Institute shall enter into a contract for the use of those Facilities, Etc. with said parties.

3 In cases where it enters into a contract under the preceding paragraph, the Institute may collect appropriate compensation as separately stipulated.

(Training of Researchers, Etc. and Improvement of Qualities Thereof)

Article 11 1 The Institute shall endeavor to train researchers, engineers, etc. for Research and Development for New Industry Creation, Etc. and improve the qualities thereof using the methods listed below.

• (1) Taking in domestic and foreign researchers, engineers, graduate students, etc., and providing training and instruction using other methods
• (2) Dispatching Institute officers, researchers and engineers and providing training and instruction using other methods
• (3) Using other appropriate methods

2 In addition to the items listed in the preceding paragraph, the Institute will promote human resource development activities mainly targeting the young generation who will bear the future of the region, specialized human resources of companies, etc. as initiatives that contribute to the training of researchers, etc. and the improvement of the qualities thereof.

3 The Institute may collect appropriate compensation as separately stipulated from parties who undergo the training, instruction, etc. in the preceding two paragraphs.

(Improvement of Qualities of Employees)

Article 12 To facilitate the improvement of the qualities of its employees, the Institute may take measures such as dispatching them to Domestic and Foreign Research Institutes, Etc., and having them undergo training.

(Invitation of Researchers, Etc. from Overseas for Research and Development for New Industry Creation, Etc.)

Article 13 The Institute shall effectively invite overseas researchers, etc. who concern Research and Development for New Industry Creation, Etc.

(Establishment and Operation of Council of Research and Development for New Industry Creation)

Article 14 To hold necessary discussions on Research and Development for New Industry Creation, Etc., the development of an environment therefor, the dissemination of the results thereof, measures for developing and securing human resources pertaining to Research and Development for New Industry Creation, Etc. and the implementation of measures related thereto, the Institute shall establish and operate a Council for Research and Development in New Industry Creation as prescribed in Article 109, paragraph (1) of the Act and liaise and coordinate with the members of said Council.

(Collection, Analysis, and Provision of Information and Data Pertaining to Research and Development for New Industry Creation, Etc.)

Article 15 The Institute shall appropriately collect, analyze, and provide domestic and foreign information and data pertaining to Research and Development for New Industry Creation, Etc.

(Collection, Analysis, and Provision of Information on Radiation Pertaining to Nuclear Power Plant Accidents and Associated Public Relations and Awareness-Raising Activities)

Article 16 The Institute shall collect, analyze, and provide information on radiation pertaining to nuclear power plant accidents set forth in Article 4, item (ii) of the Act and appropriately conduct public relations and awareness-raising activities in order to deepen public understanding of said radiation.

(Capital Contributions and Personnel and Technical Assistance)

Article 17 1 The Institute shall contribute capital to and provide personnel and technical assistance to parties who implement projects for promoting the utilization of the results of Research and Development for New Industry Creation, Etc. stipulated by a Cabinet Order and who are deemed to be appropriate.

2 When it is deemed appropriate to dispose of shares acquired through capital contributions under the preceding paragraph, the Institute may dispose of all or part of those shares.

(Training and Educational Activities, Etc. for Research and Development for New Industry Creation, Etc.)

Article 18 1 The Institute shall conduct training on Research and Development for New Industry Creation, Etc. that it undertakes on consignment from or conducts jointly with parties other than the Institute and other educational activities on Research and Development for New Industry Creation, Etc. in collaboration with parties other than the Institute (hereinafter referred to as “Training, Etc.” in this Article).

2 When it intends to conduct the Training, Etc. under the preceding paragraph that it undertakes on consignment from Japanese local government, private companies, etc., the Institute shall enter into a consignment contract on matters separately stipulated with the consigner as necessary.

3 In cases where it enters into a contract under the preceding paragraph, the Institute may collect appropriate compensation as separately stipulated.

(Incidental Operations)

Article 19 The Institute shall conduct operations incidental to the operations set forth in Article 3 through the preceding Article.

Chapter 3 Standards for Consignment of Operations

(Consignment of Operations)

Article 20 1 In addition to operations consigned pursuant to the provisions of Article 3, paragraph (2), the Institute may consign the implementation of operations that are found to be more efficient if consigned than if they were conducted by the Institute itself.

2 When it intends to conduct the consignment under Article 3, paragraph (2), and the preceding paragraph, the Institute shall enter into a contract concerning that consignment with the party who intends to undertake the consignment.

3 The matters set forth in the contract under in the preceding paragraph shall be as listed below.

• (1) Purpose and period of consignment
• (2) Overview of consignment
• (3) Expenses pertaining to consignment
• (4) Other necessary matters

Chapter 4 Tendering and Other Basic Matters Concerning Contracts

(Method of Contract)

Article 21 In cases where it enters into a contract for sale and purchase, lease, contracting or other form of procurement, the Institute shall, in principle, offer all such contracts for tendering by issuing a public notice and asking for applications. However, when the nature or purpose of the contract does not permit tendering or the target price is small or when otherwise stipulated separately in regulations, etc., the contract may take the form of a selective or single tender.

Chapter 5 Structure, Etc. for Ensuring Appropriate Operations

(Basic Policy on Internal Controls)

Article 22 The Institute shall develop an internal control system (a structure for ensuring that the execution of duties by officers (excluding auditors) complies with the Act, the Act on General Rules, or other laws and regulations and any other structure for ensuring that operations of the Institute are executed properly) as well as endeavor to review that system on an ongoing basis.

(Matters Concerning Establishment of Board of Officers and Division of Duties among Officers)

Article 23 The Institute shall develop regulations, etc. concerning the establishment of the Board of Officers. The matters listed below shall be stipulated in said regulations, etc.

• (1) Matters concerning clarification of rules for decision-making at Institute
• (2) Matters concerning establishment of Board of Officers to assist decision-making by President
• (3) Matters concerning clarification of responsibilities by specifying division of duties among officers

(Matters Concerning Promotion of Internal Controls)

Article 24 The Institute shall develop regulations, etc. concerning the promotion of internal controls. The matters listed below shall be stipulated in said regulations, etc.

• (1) Matters concerning establishment of internal control committee, etc., composed of officers
• (2) Matters concerning determination of officer responsible for internal controls
• (3) Matters concerning designation of organization to promote internal controls and designation of persons responsible for promoting internal controls, etc.
• (4) Matters concerning holding of reporting meetings among officer in charge of internal controls, organization promoting internal controls, and persons responsible for promoting internal controls
• (5) Matters concerning reporting from officer in charge of internal controls to internal control committee, etc. and examination of improvement measures
• (6) Matters concerning holding of interviews between officer in charge of internal controls and employees
• (7) Matters concerning operation of monitoring structure by officer in charge of internal controls
• (8) Matters concerning operation of monitoring structure in organization promoting internal controls
• (9) Matters concerning implementation of training on internal controls
• (10) Matters concerning response in instances when compliance violations or other facts arise
• (11) Matters concerning response to antisocial forces
• (12) Matters concerning preparation of operational procedures for related departments (standard operating procedures, maintenance of manuals, etc.)

(Matters Concerning Risk Assessment and Response)

Article 25 The Institute shall identify, analyze, and evaluate in advance factors that serve to hinder the conducing of operations as risks and develop regulations, etc. to enable appropriate responses to said risks.

(Matters Concerning Appropriate Management and Disclosure of Information)

Article 26 The Institute shall develop regulations, etc. concerning the appropriate management and disclosure of information and ensure that documents pertaining to decision-making by the Institute are appropriately managed as well as develop regulations, etc. concerning the disclosure of financial and other corporate information on the Internet, etc.

(Matters Related to Securing of Information Security and Protection of Personal Information)

Article 27 The Institute shall develop regulations, etc. concerning the securing of information security and protection of personal information. The matters listed below shall be stipulated in said regulations, etc.

• (1) Matters listed below concerning ensuring of information security, including measures for vulnerability of information systems, periodic inspections of access logs, and improvement of information literacy
  a Matters concerning ensuring of effective means for guaranteeing that controls for information system-related risks are appropriately developed and operated
  b Matters concerning prevention of information leakage, including cases where system management is outsourced
• (2) Matters listed below concerning protection of personal information
  a Matters concerning implementation of inspection activities pertaining to protection of personal information
  b Matters concerning compliance with “Guidelines on Measures for the Proper Management of Personal Information Held by Incorporated Administrative Agencies, etc. (Notification by the Director of the Administrative Management Bureau, Ministry of Internal Affairs and Communications, September 14, 2004)”

(Matters Concerning Auditors and Audits by Auditors)

Article 28 The Institute shall develop regulations, etc. concerning auditors and audits by auditors. The matters listed below shall be stipulated in said regulations, etc.

• (1) Matters concerning auditors
  a Matters concerning auditor involvement in development of regulations, etc. concerning audits by auditors
  b Matters concerning structure to ensure communication with President
  c Matters concerning holding of meetings between auditors and accounting auditor and President
• (2) Matters concerning audits by auditors
  a Matters concerning cooperation in audits based on regulations, etc. concerning audits by auditors
  b Matters concerning reporting of status of improvements taken towards audit results
  c Matters concerning reporting of audit results to competent Minister and President
• (3) Following matters required in monitoring by auditors
  a Matters concerning attendance by auditors at Board of Officers meetings and other important meetings
  b Matters concerning mechanisms through which auditors can inspect and investigate documents pertaining to decision-making for operational execution
  c Matters concerning collaboration between auditors and accounting auditor
  d Matters concerning collaboration between auditors and office in charge of internal audits
  e Matters concerning duty of reporting impropriety, legal violations and significant injustices by officers and employees to auditors
  f Matters concerning duty of officers and employees to respond to requests by auditors to submit documents or provide explanations

(Matters Concerning Internal Audits)

Article 29 The Institute shall establish an internal audit office to conduct internal audits as well as report to the President on the status of improvement measures taken towards the results of internal audits.

(Matters Concerning Whistleblowing and External Reporting)

Article 30 The Institute shall develop regulations, etc. regarding whistleblowing and external reporting. The matters listed below shall be stipulated in said regulations, etc.

• (1) Matters concerning establishment of points of contact for whistleblowing and external reporting
• (2) Matters concerning protection of whistleblowers and external reporters
• (3) Matters concerning development of mechanisms to ensure that whistleblowing and external reporting are conducted to directors in charge of internal controls and auditors in a reliable and confidential manner

(Matters Concerning Tendering and Contracts)

Article 31 The Institute shall develop regulations, etc. concerning tendering and contracts. The matters listed below shall be stipulated in said regulations, etc.

• (1) Matters concerning response in cases where it becomes difficult to achieve medium-term plans due to unsuccessful tendering, etc.
• (2) Matters concerning emergency response when there is information of collusion
• (3) Matters concerning appropriate implementation of administrative duties for contracts and establishment of mutual checks

(Matters Concerning Evaluation of and Prevention of Impropriety in Operations for Research and Development for the Creation of New Industries, Etc.)

Article 32 The Institute shall develop regulations, etc. concerning the evaluation of operations for Research and Development for the Creation of New Industries, Etc. and the prevention of impropriety in operations for Research and Development for the Creation of New Industries, Etc. The matters listed below shall be stipulated in said regulations, etc.

• (1) Matters concerning evaluation of operations for Research and Development for the Creation of New Industries, Etc.
  a Matters concerning evaluation structure
  b Matters concerning incorporation in budget allocation
• (2) Matters concerning prevention of impropriety operations for Research and Development for the Creation of New Industries, Etc.
  a Matters concerning recognition and clarification of risk factors in research and development requiring strict rules
  b Matters concerning proper accounting of expenses
  c Matters concerning internal checks on expenditure
  d Matters concerning prevention of fabrication of theses and other impropriety
  e Matters concerning prevention of leakage of research and development contents
  f Matters concerning ascertainment of management status of research and development funds

Chapter 6 Other Necessary Matters Concerning Execution of Institute Operations

(Leasing of Facilities, Etc.)

Article 33 1 In addition to the provision of the Facilities, Etc. to parties other than the Institute for use as set forth in Article 10, the Institute may lease a part of its Facilities, Etc. to parties other than the Institute to the extent that doing so will not hinder the management of the operations of the Institute.

2 When it conducts the loaning under the preceding paragraph, the Institute may collect appropriate compensation as separately stipulated.

(Other Operating Procedures)

Article 34 In addition to the stipulations of this Statement of Operating Procedures, necessary matters concerning operations shall be separately stipulated by the President.

Supplementary Provisions

This Statement of Operating Procedures shall be entered into force on the day approval was granted by the competent Minister and shall apply from April 1, 2023.