39.1 Policy for Employees
The OIST Graduate University (University or OIST, as applicable) has procedures in place that provide employees with the following review processes for resolving complaints about inappropriate treatment or actions.
39.1.1
For disputes or allegations relating to Respectful Workplace Policy violations, every employee is entitled to use the external hotline to reach OIST-designated outside independent mediators who provide external consultation and reporting services. Alternatively, every employee can directly consult the Vice President for Human Resource (VPHR) [39.4.3].
39.1.2
Cases where the main issue is academic, scientific, or research misconduct or non-compliance are managed by the Dean of Faculty Affairs and the Secretary General, in accordance with the procedures provided for in PRP 23.4.
39.1.3
Conflict of interest issues are managed by the Secretary General in accordance with the procedures provided for in PRP 22.1.
39.1.4
For all other non-harassment disputes, every employee should discuss and attempt to solve disputes with the immediate supervisor or Unit, Section, or Division head. If the issue cannot be resolved within the Unit/Section/Division, the employee may contact the Vice President for Human Resource (VPHR) for further steps for resolution, provided, however, that every employee should attempt to solve disputes in accordance with the procedures provided for in 39.6.1.
39.2 Policy for Students
OIST has procedures in place that provide students with systematic review processes for resolving both non-harassment and harassment issues. Students should discuss and attempt to resolve disputes with the Dean of the Graduate School.
39.3 The Ganjuu Wellbeing Service
For students and employees who need advice and counseling, the Ganjuu Wellbeing Service is available to all OIST community members. The Ganjuu Wellbeing Service offers consultation, advice, and intervention in relation to a range of problems including harassment and other behaviors inconsistent with the OIST Respectful Workplace Policy. Employees can visit Ganjuu Wellbeing Service during their working hours.
39.4 Anti-Harassment and Anti-Bullying Policy
The University is committed to creating and maintaining a safe and respectful environment in which all officers, employees, students, and visitors are treated with dignity and respect, in accordance with the Respectful Workplace Policy. The University will not tolerate disrespectful communication, discrimination, harassment, bullying, and sexual violence in any form. We will take disciplinary action against those who engage in disrespectful communication, discrimination, harassment, bullying, or sexual violence depending upon the nature and severity of the act and the seriousness of the consequences in accordance with our Rules on Disciplines, etc. for Employees.
39.4.1
The University will take all disputes and harassment complaints seriously and handle them in confidence. When a dispute or an act of harassment is established, the University will take remedial measures and appropriate corrective actions.
39.4.2
If an OIST officer, employee, student, or exchange visitor feels that he or she is a victim of, or has witnessed, a violation of the Respectful Workplace Policy, or feels that he or she is the victim of sexual, power, academic harassment, or other harassment, that individual should immediately consider taking action to inform the University of the situation.
39.4.3
To report such disputes or incidents of harassment, employees should contact either the confidential external Respectful Workplace and Anti-Harassment hotline (RWAH hotline) [39.6.2.2] or the Vice President for Human Resource (VPHR) [39.6.2.3].
39.5
The University will not tolerate retaliatory action against any employee or student for making a good faith report of disputes or incidents of harassment based on 39.4.2 and 39.4.3 or 39.2. Similarly, the University will not tolerate any direct or indirect use (or attempted use) of official authority or official influence for the purpose of interfering with the rights of a student or an employee making a protected disclosure.
39.6 Rules
39.6.1 Non-harassment Dispute Resolution Procedures
39.6.1.1 Eligibility
All University employees are eligible to seek informal and formal non-harassment dispute resolution.
39.6.1.2 Local Informal Problem Resolution
39.6.1.2.1 Employees/students and supervisors are expected to work effectively to resolve complaints and disputes on other than harassment issues at the lowest level as possible. An employee will first seek informal problem resolution with the supervisor. If the dispute specifically involved the supervisor, the employee will discuss the problem with the next level of management.
39.6.1.2.2 The supervisor and higher level manager must investigate the complaint and take steps to resolve the problem. A written response must be presented to the employee. If the employee believes the problem has not been resolved within the Unit/Section/Division, the next level of dispute resolution (HR Level Dispute Resolution) is available.
39.6.1.3 HR Level Dispute Resolution
39.6.1.3.1 An Employee who makes a claim (claimant) may contact the Vice President for Human Resource (VPHR), who first determines within 5 working days if the claim is appropriately filed, and informs the claimant if the claim should be resolved through the Misconduct (PRP 23) or Conflict-of-Interest (PRP 22) procedures.
39.6.1.3.1.1 A confidential email box has been set up to contact VPHR to make a claim: RWAH.HR@oist.jp. VPHR or a HR staff designated by VPHR will contact the person within 2 working days.
39.6.1.3.2 Once it is determined that the complaint is appropriately filed, the VPHR must facilitate communication about the dispute between the claimant and the Unit/Section/Division. The VPHR and the Unit/Section/Division must investigate the problem and take steps to attempt to resolve the complaint.
39.6.1.3.3 A written response to the dispute must be given to the claimant by the VPHR within 15 working days from the date the dispute was filed, unless additional time is needed in which case the claimant must be informed of the expected date of response.
39.6.1.4 Committee Level Dispute Resolution
39.6.1.4.1 A problem that has not been resolved at the HR level may be brought to the Committee level. The request must be submitted in writing by the claimant to the VPHR for review by a Dispute Resolution Committee (DRC).
39.6.1.4.1.1 For each such case, the Secretary General will establish a DRC consisting of at least 3 members, which may include external experts. The Secretary General will appoint the chair.
39.6.1.4.2 The DRC must be formed and convened to review the dispute within 15 working days after receipt of the written request. If additional time is needed to convene the DRC, the 15 working days may be extended.
39.6.1.4.3 The DRC must conduct an impartial and confidential review to determine the facts and circumstances of the case, and make recommendations to resolve the matter. In principle, the DRC must make a recommendation within 20 working days from the date the DRC first convenes. If additional time is needed to complete the review, the period may be extended for additional 20 working days.
39.6.1.4.4 The DRC’s report and the recommendation must be submitted to the Secretary General. The Secretary General is responsible to determine the final disposition of the case within 30 working days after receipt of the DRC’s report and recommendation. If the Secretary General needs additional time, the period may be extended for additional 30 working days.
39.6.1.4.5 The decision of the Secretary General become final with concurrence of the President. Once the final decision has been implemented, the Secretary General must notify the claimant that the case is closed. Due to privacy considerations, in some cases, the claimant may only be notified that the matter has been closed, without receiving any details of the outcome.
39.6.2 Harassment Resolution Procedures
39.6.2.1 Eligibility
All University employees are eligible to seek both informal and formal harassment issue resolution. An employee who makes a claim (claimant) should either seek informal resolution with the confidential external Respectful Workplace and Anti-Harassment hotline (RWAH hotline) [39.6.2.2] or directly consult the VPHR [39.6.2.3.2].
39.6.2.2 RWAH Hotline
The Secretary General establishes the external Respectful Workplace and Anti-Harassment hotline.
The RWAH hotline provides a way to seek consultation or to make a complaint in Japanese or English that is confidential and separate from the University. The hotline is answered by experienced and trained professional mediators who can provide consultation, and if necessary report the matter to the University to seek a resolution of the situation. The claimant can choose which mediator to contact within the hotline.
Since the mediators of the RWAH hotline may not immediately be available to answer the call, voice mail is provided, and they will call back, in general, within 2 working days of the call.
The mediators may also be contacted by email at oistmediators@yahoo.co.jp, which reaches the mediators exclusively.
Every effort will be made to protect the privacy of claimants using the RWAH hotline. Claimants can choose to be anonymous or can identify themselves.
While every effort will be made to keep the consultation process confidential to respect the claimant’s desire to remain anonymous, this cannot be guaranteed under all circumstances. If the matter is sufficiently serious, the mediator may encourage the claimant to give his/her name and to allow the mediator to report to the Secretary General or the VPHR [39.6.2.2.1 c]. In cases where the allegations involve bodily harm or other illegal action or present the imminent risk to the safety or health of the claimant or others at the University, the mediator may immediately inform the Secretary General and the VPHR [39.6.2.2.1 d] even without the consent of the claimant.
39.6.2.2.1 Role of the mediators
The ways in which the mediators provide consultation to the claimant vary from case to case according to the situation. The basic process is as follows:
- The mediators will listen to the complaint and discuss with the claimant how to resolve the problem.
- The mediator may also mediate the situation depending on the circumstances. With the consent of the claimant, the mediator may contact the claimant’s supervisor, the accused, the accused’s supervisor, or the designated person/section/division, when the mediator considers such contact to be useful or effective in resolving the situation.
- If the complaint contains serious allegations which are deemed to require the University to investigate and take remedial action, the mediator may urge the claimant to allow the mediator to report to the Provost, the Secretary General or the VPHR.
- In cases where the allegations involve bodily harm or other illegal action (such as an assault, sexual or otherwise) or present an imminent risk to the safety or health of the claimant or others at the University, the mediator may immediately inform the Secretary General and VPHR even without the consent of the claimant.
39.6.2.2.2 Follow-up with the claimant: The claimant will, in principle, be informed by the Mediator of the outcome in cases described in b, c, d above when and as appropriate. Due to privacy considerations, in some cases, the claimant may only be notified that the matter has been closed, without receiving any details of the outcome.
39.6.2.2.3 Allegations against the President or a Member of the Executive: In the case of allegations made against the President, regardless of the nature of the allegations, the mediators will report directly to the Chair of the Board of Governors of the University. In the case of allegations made against a Member of the Executive including Deans, regardless of the nature of the allegations, the mediators will report directly to the President.
39.6.2.2.4 Record Destruction: The mediators will routinely destroy their informal notes containing identifying information pertaining to claimants who contact the mediators and those involved in resolving matters brought to the mediators. The only records maintained permanently contain aggregate statistical trend information.
39.6.2.3 HR-Level Dispute Resolution
39.6.2.3.1 If an employee making a claim (claimant) believes that the complaint and dispute on harassment issues have not been resolved through the confidential External Hotline, the claimant may contact the Vice President for Human Resources (VPHR). A claimant may directly contact VPHR without going through the External Hotline.
39.6.2.3.1.1 A confidential email box has been set up to contact VPHR to make a claim: [RWAH.HR@oist.jp]. VPHR or a HR staff designated by VPHR will contact the person within 2 working days.
39.6.2.3.2 The VPHR conducts an initial investigation and attempts to resolve the complaint. This investigation is carried out informally and confidentially, and in close consultation with the claimant.
39.6.2.3.3 Issues that cannot be resolved through the informal process will be forwarded to a Harassment Investigative Committee (HIC), which will be established and convened by the VPHR within 15 working days after forwarding the issues, for resolution.
39.6.2.3.4 The HIC consists of 3 members, one of whom is designated as chair by the VPHR, and a legal counsel appointed by the General Counsel serving as an observer. An HR staff member provides secretarial support.
39.6.2.3.5 The HIC conducts an impartial and confidential investigation/ review to determine the facts and circumstances of the case, and make recommendations to resolve the matter. In principle, the HIC should prepare a written response to the VPHR within 20 working days from the date the HIC first convenes. If additional time is needed, the VPHR must be informed of the expected date of response.
39.6.2.3.6 A written response to the dispute must be given to the claimant by the VPHR within 10 working days from the date the HIC report was received by the VPHR unless additional time is needed, in which case the claimant must be informed of the expected date of response. Due to privacy considerations, in some cases, the claimant may only be notified that the matter has been closed, without receiving any details of the outcome.
39.6.2.3.7 Allegations against the President or a Member of the Executive: In the case of allegations made against the President, regardless of the nature of the allegations, the VPHR will report directly to the Chair of the Board of Governors of the University. In the case of allegations made against a Member of the Executive including Deans, regardless of the nature of the allegations, the VPHR will report directly to the President.
39.6.2.4 Executive Committee Level Harassment Dispute Resolution
39.6.2.4.1 A problem that has not been resolved at the HR level or GS level (GS RWAH Policies) may be brought to the Executive Committee level. The request must be submitted, in writing, by the claimant to the VPHR or Dean of the Graduate School for review and investigation by a Harassment Dispute Resolution Committee (HRC).
39.6.2.4.1.1 The Secretary General (in case of employees) or Provost (in case of graduate students) will appoint at least 3 members to a HRC for each case. The Secretary General or Provost will appoint the HRC chair. The HRC members may include external experts.
39.6.2.4.2 The HRC must be formed and convened to review the dispute within 15 working days after receipt of the written request. If additional time is needed to convene the HRC, the time may be extended by 15 additional days.
39.6.2.4.3 The HRC must conduct a formal, confidential, impartial investigation/review to determine the facts and circumstances of the case. The HRC must make a recommendation within 20 working days from the date the HRC first convenes. If additional time is needed to complete the review, the time period may be extended for additional 20 working days.
39.6.2.4.4 The HRC’s report and the recommendation must be submitted to the Secretary General. The Secretary General is responsible for the final disposition of the case within 40 working days after receipt of the HRC’s report and the recommendation. If the Secretary General needs additional time, the time period may be extended for additional 40 days.
39.6.2.4.5 The decision of the Secretary General become final with concurrence of the President. Once the final decision has been implemented, the Secretary General must notify in writing the claimant that the case is closed. Due to privacy considerations, in some cases, the claimant may only be notified that the matter has been closed, without receiving any details of the outcome.
39.7 Responsibilities
39.7.1 Employees
Employees must attempt to solve disputes in accordance with the procedures provided in this chapter.
39.7.2 Supervisors and Managers
Supervisors and Managers must inform their subordinates about the availability of the mediators and the formal and informal complaint and dispute resolution procedures.
39.7.3 The VPHR, the President, the Provost, the Secretary General, Dispute Resolution Committee (DRC), Harassment Investigative Committee (HIC), Harassment Dispute Resolution Committee (HRC), or their Representatives
The Vice President for Human Resource (VPHR), the President, the Provost, the Secretary General, Dispute Resolution Committee (DRC), Harassment Investigative Committee (HIC), Harassment Dispute Resolution Committee (HRC) or their designated representatives, are responsible for performing the tasks and duties outlined for them in this chapter.
39.7.4 The Mediators of the RWAH hotline
RWAH hotline mediators are responsible for performing the tasks and duties outlined for them in this chapter.
39.8 Contacts
39.8.1 Policy Owner
Vice President for Human Resource (VPHR)
39.8.2 Other Contacts
Mediators of the RWAH hotline
Employee and Labor Relations Section
39.9 Definitions
39.9.1 Employees
Employees, Fellows, External Researchers, and Personnel from Staff Agencies.
39.9.2 Bullying
Bullying is any ongoing antisocial or unreasonable actions that offends, degrades, intimidates, or humiliates a reasonable person, and has the potential to create a risk to health, safety, or wellbeing.
39.9.3 Harassment
Harassment involves repeated antisocial or irrational behavior, such as humiliation, threats, or insults that violates the personality and dignity of employees, students, uses of OIST facilities and institutions, and related business vendors, which causes mental suffering, worsening the person’s working or studying environment, or creates anxiety. Such inappropriate behaviors, for example, the abuse of supervisory authority or other abuses of organizational or academic power relationships, are not limited to those by supervisors, but can also occur between colleagues, students, or from lower-level employees to higher-level employees. It can also occur outside of the usual working or studying place.
39.9.4 Sexual Harassment
Sexual Harassment is harassment of a sexual nature, whether between individuals of the same or different sexes. The misuse of power in a manner that has sexual overtones, offending or causing discomfort or disadvantage to employees or students, or creating a poor working or studying environment by using obscene language or conduct (including e-mail or other media) against their will, or by using language or conduct based on prejudice regarding stereotypical gender roles or gender identity.
39.9.5 Academic Harassment
Academic Harassment is the misuse of power or authority by an employee, faculty member or equivalent, or student towards another individuals in a research or educational setting, causing significant disadvantage in education or research, or any behavior that harms the educational or research environment, through inappropriate language, behavior, or discriminatory treatment.
39.9.6 Power Harassment
Power Harassment is the misuse of authority, status, or hierarchy by an employee or faculty member towards another individual, beyond the appropriate scope of duties, education, or research by engaging in antisocial or irrational behavior such as offending, degrading, intimidating, or humiliating a person, thereby threatening the health, safety, or wellbeing of the individual.
39.9.7 Harassment related to Pregnancy, Childbirth, Childcare, or Nursing Care
This refers to inappropriate language or behavior related to pregnancy, childbirth, childcare, or nursing care that worsens the working or studying environment for female employees and students who have become pregnant or given birth, or for male and female employees and students who have applied for or obtained childcare or nursing care leave, etc.
39.9.8 Sexual Violence
Sexual violence refers to performing or forcing someone to perform sexual intercourse or indecent acts by using assault or threats, or by taking advantage of such positions as employment or school status, or where it it difficult for the person to form or express a will of non-consent.
