OIST Graduate University
Policies, Rules & Procedures
Authority:• Approved by the President• Act on Securing, Etc. of Equal Opportunity and Treatment between Men and
Women in Employment• Act on Employment Promotion etc. of Persons with Disabilities• Act for Securing the Proper Operation of Worker Dispatching Undertakings andImproved Working Conditions for Dispatched Workers• Act on Childcare Leave, Caregiver Leave, and Other Measures for the Welfare ofWorkers Caring for Children or Other Family Members• Act for Eliminating Discrimination against Persons with Disabilities• Penal Code• Act on the Prevention of Sexual Violence against Children by Educational
Personnel, etc.

Chapter 39: Resolving Complaints & Disputes
39.1 Policy for Employees
The OIST Graduate University (University or OIST, as applicable) has procedures inplace 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 OISTdesignated outside independent mediators who provide external consultation andreporting services. Alternatively, every employee can directly consult the Vice
President for Human Resource (VPHR) [Link: 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 inaccordance with the procedures provided for in PRP 22.1.
39.1.4 For all other non-harassment disputes, every employee should discuss andattempt 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 forresolution, provided, however, that every employee should attempt to solve disputes
in accordance with the procedures provided for in 39.6.1.

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ch39_resolving-complaints-&-disputes_en_20240619_cl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 discussand 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 respectfulenvironment 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 seriousnessof 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 isestablished, 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 otherharassment, 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) [Link: 39.6.2.2] or the Vice President for Human Resource(VPHR) [Link: 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 orindirect use (or attempted use) of official authority or official influence for the purposeof interfering with the rights of a student or an employee making a protected disclosure.

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ch39_resolving-complaints-&-disputes_en_20240619_cl39.6 Rules
39.6.1 Non-harassment Dispute Resolution Procedures
39.6.1.1 Eligibility. All University employees are eligible to seek informal andformal 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 thesupervisor. 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 thecomplaint and take steps to resolve the problem. A written response must bepresented 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 aclaim: 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, unlessadditional 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
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ch39_resolving-complaints-&-disputes_en_20240619_cl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 toconvene the DRC, the 15 working days may be extended.
39.6.1.4.3 The DRC must conduct an impartial and confidential review todetermine the facts and circumstances of the case, and make recommendations toresolve 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 tocomplete 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 theSecretary General. The Secretary General is responsible to determine the final
disposition of the case within 30 working days after receipt of the DRC’s reportand 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 concurrenceof 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 matterhas 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) [Link:
39.6.2.2] or directly consult the VPHR [Link: 39.6.2.3.2].
39.6.2.2 RWAH Hotline
The Secretary General establishes the external Respectful Workplace and AntiHarassment hotline.
The RWAH hotline provides a way to seek consultation or to make a complaint inJapanese or English that is confidential and separate from the University. The
hotline is answered by experienced and trained professional mediators who canprovide consultation, and if necessary report the matter to the University to seek aresolution 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 toanswer the call, voice mail is provided, and they will call back, in general, within 24

ch39_resolving-complaints-&-disputes_en_20240619_clworking days of the call.
The mediators may also be contacted by email at oistmediators@yahoo.co.jp, whichreaches 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 torespect 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 [Link: 39.6.2.2.1 c]. In cases where theallegations 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 [Link: 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 fromcase to case according to the situation. The basic process is as follows:a. The mediators will listen to the complaint and discuss with the claimant how
to resolve the problem.
b. 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 designatedperson/section/division, when the mediator considers such contact to be
useful or effective in resolving the situation.
c. If the complaint contains serious allegations which are deemed to require theUniversity to investigate and take remedial action, the mediator may urge theclaimant to allow the mediator to report to the Provost, the Secretary Generalor the VPHR.
d. In cases where the allegations involve bodily harm or other illegal action (suchas 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 detailsof the outcome.
39.6.2.2.3 Allegations against the President or a Member of the Executive: In the5

ch39_resolving-complaints-&-disputes_en_20240619_clcase of allegations made against the President, regardless of the nature of theallegations, the mediators will report directly to the Chair of the Board ofGovernors of the University. In the case of allegations made against a Member ofthe Executive including Deans, regardless of the nature of the allegations, themediators will report directly to the President.
39.6.2.2.4 Record Destruction: The mediators will routinely destroy theirinformal notes containing identifying information pertaining to claimants who
contact the mediators and those involved in resolving matters brought to themediators. The only records maintained permanently contain aggregate statisticaltrend information.
39.6.2.3 HR-Level Dispute Resolution
39.6.2.3.1 If an employee making a claim (claimant) believes that the complaintand 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 throughthe External Hotline.
39.6.2.3.1.1 A confidential email box has been set up to contact VPHR to makea claim: [RWAH.HR@oist.jp]. VPHR or a HR staff designated by VPHR willcontact the person within 2 working days.
39.6.2.3.2 The VPHR conducts an initial investigation and attempts to resolve thecomplaint. This investigation is carried out informally and confidentially, and inclose 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 beestablished 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 anobserver. 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 the6ch39_resolving-complaints-&-disputes_en_20240619_cl

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 somecases, 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 thecase of allegations made against the President, regardless of the nature of theallegations, the VPHR will report directly to the Chair of the Board of Governorsof 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 (GSRWAH 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 toconvene 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 theSecretary 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 therecommendation. 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 concurrenceof 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 matterhas been closed, without receiving any details of the outcome.
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ch39_resolving-complaints-&-disputes_en_20240619_cl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 ofthe mediators and the formal and informal complaint and dispute resolution
procedures.
39.7.3 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 Representatives
The Vice President for Human Resource (VPHR), the President, the Provost, theSecretary General, the Dispute Resolution Committee (DRC), the Harassment
Investigative Committee (HIC), the 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,
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ch39_resolving-complaints-&-disputes_en_20240619_clusers 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 notlimited to those by supervisors, but can also occur between colleagues, students, orfrom 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 individualsof 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 individual in a research or
educational setting, causing significant disadvantage in education or research, or any
behavior that harms the educational or research environment, throughinappropriate 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 thehealth, safety, or wellbeing of the individual.
39.9.7 Harassment related to pregnancy, childbirth, childcare, or
nursing careThis 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 sexualintercourse or indecent acts by using assault or threats, or by taking advantage ofsuch positions as employment or school status, or where it is difficult for the person
to form or express a will of non-consent.

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