OIST Graduate University
Policies, Rules & Procedures
Authority:
Approved by the President
School Education Act
Chapter 3: Faculty Handbook
3.1 Policy
The OIST Graduate University Faculty Handbook describes policies governing thefaculty, including teaching, research, appointments, promotion, and governance. The
Dean of Faculty Affairs is responsible for implementation of University policy
regarding appointments and promotions, salary setting, sabbaticals, grievances, andother general matters concerning the faculty. The Dean of Faculty Affairs ensurescompliance with policies set by the Board of Governors and Faculty Council, maintains
the Faculty Handbook and faculty records, works with OIST Graduate University (the“University”) officers and committees to develop new policy, and responds to externalreporting requests.
3.2 Faculty Assignment
3.2.1 Composition of FacultyConsistent with the principles outlined in the section on the “Purpose and Necessityof Establishment,” the University will work toward “best in the world” status byappointing outstanding faculty members. The aim of being “international” will besupported by ensuring that at least half of the faculty members are from outside
Japan, and by attracting faculty members with strong international experience andperspective. The overall ratio of faculty to students will be about 1:3.
All faculty members will be expected to teach in English.
Faculty will be expected to maintain a program of excellent research and publication,
to participate in the teaching program of the Graduate University, to supervise
graduate research projects, and to assume appropriate responsibilities in the
University academic community.
3.2.1.1 Full-time faculty
The full-time faculty will be composed of Professors, Associate Professors, andAssistant Professors, all of whom have independent research programs, teach in
the Graduate University and supervise doctoral research.
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ch03_faculty-handbook_en_20240502_cl3.2.1.2 Other categories of faculty
3.2.1.2.1 Adjunct Professor
Adjunct Professor appointments may be made to fill special needs that cannot be
filled at the time with a full-time appointment or may be made in connection
with collaborative inter-institutional projects.
Appointments of the Adjunct Professor at OIST are exceptional. The total
number of Adjunct appointments should not exceed 10% of the full-time faculty.
Adjunct Professors generally are under a non-employee relationship and do not
exceed 25% time commitment. Their contract is for 3 to 5 years and can only be
extended under exceptional circumstances and at the invitation of the President.
Adjunct Professors will have research units with resources appropriate to their
appointment. Adjunct Professors are eligible and encouraged to seek additional
external funding.
A candidate for an Adjunct Professor may be proposed by the President, theProvost, the Deans, or the Chair of the Faculty Assembly. A Faculty SearchCommittee is formed upon approval by the President, and a recruiting process
is initiated.
The application will be reviewed according to standard procedures described in
PRP 3.2.4. The criteria for appointment are described in PRP 3.2.4.3 (c). The
recommendation of the Faculty Search Committee will be reviewed by the Deanof Faculty Affairs and forwarded to the President for a final decision on theappointment. The approved candidate consults with the Dean of the Graduate
School and the Dean of Faculty Affairs to prepare a plan for research, teaching,
and academic service with appropriate scope and content.
A review of Adjunct Professor units will follow the standard unit review processdescribed in PRP 3.2.7 and will be completed by the end of the penultimate yearof the appointment. Adjunct appointments may be renewed with the approval of
the President.
Adjunct Professors in at least a tenured position at another institution who havedone very well in their latest unit review at OIST (there needs to be at least onesuch) may be invited by the President to apply for a full-time regular faculty
position at OIST. They may request an early unit review, if necessary, for thispurpose. The OIST unit review and an equivalent review at their current
institution should be submitted as part of this conversion application. In case an
external review is not available, at least two letters of evaluation by established2

ch03_faculty-handbook_en_20240502_cland independent senior scientists in their field will be required in lieu.
Besides the two review reports or equivalent, two additional letters of evaluation
by appropriate and independent external experts will be required. Identificationof these evaluators, acquisition of the letters, and a recommendation will behandled by a Faculty Conversion Committee to be appointed by the Dean ofFaculty Affairs. Next, the Appointment and Promotion Committee will review all
materials and make a recommendation to the President via the Dean of Faculty
Affairs, who will also provide a recommendation to the President. The President
may then make a final recommendation for conversion to full-time faculty,
which must be approved by the Board of Governors.
3.2.1.2.2 Transitional Professor
Transitional Professor appointments may be made during transition periods forincoming professors whose appointments have already been approved, but
before they can begin full-time work at OIST, and for outgoing professors tocomplete ongoing research and educational supervision.
3.2.1.2.3 External Professor
External Professors are not OIST employees and should not be counted as OIST
faculty. They are appointed if they are of faculty rank at another institution andplan a substantial research collaboration with OIST, e.g. supervision of OIST
students who conduct research activities in their external institution. External
Professors must satisfy the qualifications set forth in Article 14 through 16-2 ofthe Standards for Establishment of Universities even though they are not fulltime OIST faculty. External Professors will be appointed based on a service
agreement with a typical term of three years.
External Professors do not have the same responsibilities as full-time faculty but
teach courses and might be occasionally requested to participate in OIST facultycommittees as external members. They are not entitled to having OIST research
units and do not participate in our faculty assembly. External Professors are
expected to be at OIST as needed and are provided resources at OIST asnecessary (Guidelines for External Professors).
A faculty committee will be appointed by the Dean of Faculty Affairs torecommend the appointment and renewal of External Professor. The committee
should solicit three or more letters from OIST and/or external institution faculty
testifying to the mentoring and research capabilities of the candidate.
Recommendations of the committee will be reviewed by the Dean of Faculty3ch03_faculty-handbook_en_20240502_cl

Affairs and forwarded to the President for a final decision on the appointment.
This committee will also address any other issues dealing with External
Professors.
External Professors will have a service agreement with OIST, which will follow
the requirements of an OIST Memorandum of Understanding (MoU) with their
host institution. Such an MoU is mandatory in order to specify health andwelfare for OIST students, housing, travel, research agreements, and othermatters as necessary. The MoU should also describe the financial, travel, andresearch agreements of the External Professor and our personnel for thiscollaboration.
3.2.1.2.4 Visiting Professor and Sabbatical Visitor
Visiting Professors and Sabbatical Visitors should have existing external
appointments in other universities. They will not have independent laboratory
resources at the University but will spend significant time at OIST. Visiting
Professors will contribute by directing or assisting in teaching University courses,
contributing to University international workshops, and participating incollaborative research. Visiting faculty members will not be primary Thesis
Supervisors but may serve on Thesis Committees.
The definition of Emeritus Professor is stipulated in PRP 3.3.1.
3.2.2 Faculty Teaching Assignment
The University is dedicated to excellence in research and education. Access toopportunities to develop and coordinate a course is important for the professional
development of faculty members because scholarship and teaching are the primaryfactors in evaluation for promotion and tenure. While the quality of teaching isparamount, an evenly distributed teaching load is also important to ensure that all
staff can achieve and demonstrate excellence in a sufficient amount of teaching andthat individual staff members do not carry excessive teaching loads.
The Dean of the Graduate School will assign faculty members to be Course
Coordinators and determine which faculty members contribute to each course. The
Course Coordinators will be responsible for overseeing the content, teaching, andexamination requirements of the course. Faculty will be expected to have an in-depth
knowledge of the area covered by the syllabus of the courses they teach.
Guidelines for teaching assignment
1. All full-time faculty members are required to teach two credits per year starting4

ch03_faculty-handbook_en_20240502_clfrom the second year of their appointment. For example, the two credits could beachieved by teaching one approved elective course of two credits or teaching two
courses of one credit.
Elective courses taught by multiple faculty must appoint one faculty member ascoordinator of the course. Such coordination will be equivalent to teaching 2
credits (for a 2-credit course) in the first year of coordination, and either 1 or 2
credits in subsequent years, negotiated as dependent on the complexity. For theparticipant teachers no credit is given; however, if the load of teaching is several
weeks this can be negotiated with the Graduate School.
2. The credit loading may be amortized over two years, provided the overall teachingcommitment of the University in any given year is realized. Faculty who offer acourse where no students enroll should still teach their required number ofcredits through other means, such as supervising Independent Study orpresenting a Special Topic.
Details of Independent Study and Special Topics are described in the Graduate
School’s web site.
3. Faculty may teach more than one elective course per year, provided this iscommitted to on a long-term basis to ensure the stability of the regularcurriculum. Faculty are encouraged to supervise students who approach them for
Independent Study, where such requests match their expertise. Independent
Study or Special Topic courses may be counted towards annual required teachingcredits when no students enroll in the regular elective offered by faculty.
4. The teaching expectation of Adjunct Professors is proportional to their timecommitment to the University. For example, an Adjunct Professor with a 50%
commitment to the University is expected to teach one credit annually. Adjunct
Professors with less than 50% commitment should discuss teaching
opportunities with the Graduate School.
5. External Professors have a teaching obligation at OIST.
6. We have a commitment and an obligation to MEXT to deliver teaching byaccredited faculty members. Abdication of teaching responsibilities, either byrefusing to teach or through the use of substitute teachers, will be communicatedto the Faculty Affairs Office by the Graduate School and will need to be explainedat the annual appraisal. The opportunity to enhance teaching by the participationof Visiting Professors or other Speakers is recognized, but certain guidelines
apply.
5ch03_faculty-handbook_en_20240502_clSubstitute teachers may not be used to deliver the faculty commitment, except
under the sabbatical leave regulations. Guest lectures by visiting faculty arewelcome but require prior approval by the Dean of the Graduate School, basedon confirmation that the teaching content and methods will fulfill the course
objectives. Applications must be submitted at least one month prior to thescheduled teaching on form [Link].
7. With the agreement of the Deans of the Graduate School and Faculty Affairs, nonfaculty researchers (Senior Staff Scientists, Science and Technology Associates,
Staff Scientists, and Postdoctoral Scholars) may contribute to courses under thesupervision of a faculty member. Non-faculty researchers may not be theprincipal supervisor of graduate students but may assist in supervising theirresearch assignments. If such members of the research staff are engaged inteaching, it should be connected with their project and enhance their academic
development, and be recorded by the Graduate School. In such cases, it is expectedthat the University faculty member is present for the scheduled teaching hours toprovide mentoring and quality control; this should not be used to replace facultyin teaching. Measures of performance of non-faculty researchers may include thecontribution to teaching. Non-faculty members wishing to teach should consult
the relevant section of the Graduate School Handbook.
8. Other teaching and administrative responsibilities do not offset the baselinefaculty teaching expectation. Other teaching responsibilities include service as
Academic Mentors, on Committees including the Admissions Committee and theCurriculum and Examinations Committee, supervision of Ph.D. Thesis Research,supervision of Laboratory Rotations, and supervision of Research Interns, etc.
3.2.3 Research Units
The Research Unit is the administrative entity for managing faculty research at the
University. All full-time faculty members including Assistant Professors will be
independent heads of Research Units. The non- hierarchical organization of thefaculty and the absence of departmental structure will encourage interaction between
Research Units and sharing of space, equipment, and expertise, which will promoteinterdisciplinary research activities. Research Units may appoint Postdoctoral
Scholars, Staff Scientists, Senior Staff Scientists, or Technicians as fixed term
employees. For continuing appointments, the Unit Head may make a proposal to the
Research Staff Appointments Committee. Staff Scientists may be nominated as
Senior Staff Scientists. Postdoctoral Scholars are always fixed term employees.
Administrative personnel will be appointed according to the administrative needs of
the Research Units, and may be shared between different Research Units. Faculty6ch03_faculty-handbook_en_20240502_clmembers have a high level of responsibility when employing fixed term research staff
to ensure that their training and career development needs are taken into account.
3.2.3.1 Non-Faculty Research Appointments
There are five classes of non-Faculty Research Appointments; Postdoctoral
Scholars, Staff Scientists, Senior Staff Scientists, Technicians and Science andTechnology Associates. Non-faculty research staff may undertake limited teaching
duties as described in 3.2.2 item 6. The definition of each non-Faculty ResearchAppointment is stipulated in 4.2.
3.2.3.2 Faculty responsibilities upon departure of a research unit
memberWhen a research unit member leaves the unit, the faculty member is responsible
for overseeing that the unit member follows necessary procedures without delay.
This may include making changes to the research plan involving departing unit
members and obtaining approval from the relevant internal committees andexternal funding agencies. In addition, the faculty member is responsible forkeeping track of equipment, samples, and data used by the departing staff and for
ensuring that the necessary procedures are followed for the handover, disposal,
and archiving of such items.
3.2.3.3 Closure of Research Unit
When a faculty member who leads a research unit retires or resigns, the research
unit will be closed at the end of their contract or at another time as specified by the
Dean of Faculty Affairs. The departing faculty member is responsible forcompleting the necessary paperwork and procedures to properly close the research
unit on time. The faculty member shall cooperate with the relevant sections toundertake various procedures required for the closure. This includes, but is not
limited to:
1. Promptly inform unit members of the unit closure date to give them enoughtime to prepare for departure or transfer to another unit at OIST and instructthem to cooperate with the unit closure process.
2. Consult with the Dean of the Graduate School regarding the transfer of researchsupervision for remaining graduate students, if any
3. Take steps to terminate any ongoing research projects that require safety or
ethics committee approval.
4. Take steps to terminate or arrange to transfer collaborative research
agreements, contract research for external funding, etc.
5. Take steps to store and transfer research data, research samples, lab notebooks,
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ch03_faculty-handbook_en_20240502_cletc.
6. Take appropriate procedures for the management of intellectual property suchas patents, if any.
7. Take appropriate measures for the disposal of research reagents and waste
liquids, etc.
8. Hand over fixed assets (software, IT equipment, research equipment, andfurniture used in the unit) to the relevant sections in the IT division and to Core
Facilities after conducting a fixed asset inspection at the unit. The departing
faculty member or a delegated unit member should be present at the onsite
inspection with the relevant office to check the condition and damage of such
assets.
9. Clear out lab space, desk space, and office space assigned to the unit anddispose of any items that are not required for storage or handover.
See Unit Closure Checklist and Procedures [Link] for detailed procedures forclosing the research unit.
3.2.4 Recruitment and New Appointment
Faculty members of the University are selected based on the highest international
standards of evaluation of candidates to ensure the recruitment of the best available
faculty. The procedures are described in the Faculty Search Committee Handbook.
The entire appointment proceedings require discussion of specific individuals, andthe opinions of others regarding those individuals. This and other relevant
information must be held in strict confidence by all participants. The University
commits to extensive measures to protect the privacy of the candidates by preserving
the confidentiality of the information it receives regarding the candidates.
3.2.4.1 Strategies for Recruiting the Best Available Faculty
The University will recruit faculty through open competition and strict review withthe highest academic and research standards, expressly including external
evaluation. To attract world-class researchers, the University will need to provide
an excellent research environment. An important consideration is internal funding.
Funding is provided for each Research Unit based on a five-year approved budget
plan, adjusted annually to conform to the actual budget and changes that may haveoccurred in the Unit. Faculty members also will be encouraged to seek externalfunding. To attract world-class researchers, the University will offer salaries, travel
expenses, and other benefits that are competitive with top universities in othercountries.

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ch03_faculty-handbook_en_20240502_cl3.2.4.2 Age and Gender Distribution of the Research and Teaching Staff
The University’s recruiting policies will aim for a balance in the age distribution of
the University faculty. This will ensure that both new researchers and moreestablished researchers will be represented among the faculty. The University is anequal opportunity employer and is committed to increasing the diversity of its
faculty. The University welcomes nominations of and applications from womenand members of underrepresented groups, as well as others who would bring
additional dimensions to the University’s research, teaching and commercial
development missions.
3.2.4.3 New Appointment
The University will use standard tiered ranks of appointment enabling smoothtransfer of personnel between institutions and enhancing recruitment at
appropriate levels to maintain world-best standards of faculty teaching andresearch. This will consist of a tenure-track system comprising AssistantProfessors, Associate Professors and Professors. Appointments may be made atany of these levels. Tenure carries with it a commitment of employment until
retirement. However, it does not guarantee internal research support. Tenured
faculty will compete along with their fellow tenured and untenured facultycolleagues for internal research funding on a 5-year cycle.
For an appointment, the evaluation and recommendation phase is carried out by
a Faculty Search Committee.
a) Process of Determining Rank and Tenure Status at New
Appointment
Appointments follow a rigorous process of evaluation and recommendation fromamong the following ranks,-

Assistant Professor is an untenured position.
Associate Professor can be made at the tenured or untenured level.
Professor is normally the position denoting tenure, although there may besome situations where this is not the case, such as when the individual isbeyond the retirement age.

b) Structure and Membership of the Faculty Search Committee
The Faculty Search Committee is responsible for gathering data on scholarship,teaching, and other relevant matters. The Faculty Search Committee will consistof at least 3 and typically 5 to 8 members of the Faculty Assembly. The Dean ofFaculty Affairs will appoint Faculty Search Committee members and the Chair.
9ch03_faculty-handbook_en_20240502_clFaculty Search Committees may include external members, but the Chair shouldbe from the Faculty Assembly. Members of the Senior Level Executives should notnormally be members of Faculty Search Committees.
A member of the Faculty Search Committee will be assigned the responsibility of
insuring that the diversity standards for the search are met.
c) Criteria for New Appointment
The University is dedicated to excellence in scholarship, teaching, technology
development, and technology transfer. The purpose of the appointment evaluationof the candidate is to appraise, on the basis of the record to date, the standing andpotential on at least two of these criteria, always including the quality of teaching
and mentoring.
The Faculty Search Committee will select candidates considered for possible
appointments. The Faculty Search Committee will solicit advice from external
advisor(s) about the standing of the chosen candidates, and suggest external
reviewers (letter writers) who will write letters for the candidates. Letters fromexternal reviewers (letter writers) are essential for an objective process and, ingeneral, carry more weight than letters from reviewers of the candidate’s choice.
The Faculty Search Committee aims to collect 4 letters from external reviewers(letter writers) for an appointment at the untenured level and 8 letters fromexternal reviewers (letter writers) for tenure appointments, within 2 months fromthe initial request for the letters. If 25% of the letters at this point recommend nonappointment, it will require some other justification to make the recommendation
to appoint. The external reviewers (letter writers) should neither be co- authors,mentors, nor close working colleagues of the candidate. When soliciting the opinion
of internal or external reviewers (letter writers), the Faculty Search Committee
should use the sample letters of request from the Faculty Search Committee
Handbook.
The first criterion for an appointment is that the scholarship and research rank
among the top 5-10 percent in their worldwide cohort at their level of professional
development for the proposed appointment level. Scholarship can be evaluated byjournal papers, conference proceedings, and/or intellectual properties (patents,
software, designs, procedural documents, etc.). Letters from external reviewers(letter writers) should support this assessment in an unequivocal fashion.
The second criterion for appointment is a record of high-quality teaching thatclearly establishes that the candidate can plan and sustain a quality teaching10

ch03_faculty-handbook_en_20240502_clprogram. Given that some candidates (especially for appointment to the AssistantProfessor rank) may not yet have had an opportunity to teach extensively, theFaculty Search Committee must assess whether the candidate has the potential to
be a qualified instructor at the University. For candidates where the Faculty SearchCommittee is unsure of their teaching ability, a demonstration of teaching should bearranged. Teaching is broadly defined to include the classroom or laboratory,
advising, mentoring, program building, and curriculum development. If available,
evidence and testimonials of the teaching record should be included in the file.
The outcome of the Faculty Search Committee will be a file containing the
Appointment Papers and a cover letter from the Chair submitted to the President,
after review by the Appointment and Promotion Committee as described in the
Faculty Search Committee Handbook, through the Dean of Faculty Affairs.
When a Faculty Search Committee process results in a positive recommendation
for tenured appointments, there will be the following levels of review that are
required in order to achieve ratification. Taken in the order they are:
1) Review by the President.
2) If the President agrees with the recommendation by the Faculty SearchCommittee, the file, accompanied by a letter from the President, goes to theBoard of Governors for final approval.
3) If the President disagrees with the Committee’s recommendation, thePresident will discuss how to resolve the disagreement with the Committee.
They may convene a separate assessment for their own use if necessary.
When a Faculty Search Committee process results in a positive recommendation
for untenured appointments, there will be the following levels of review that are
required in order to achieve ratification. Taken in the order they are:
1) Review by the President.
2) If the President agrees with the recommendation by the Faculty SearchCommittee, they report to the Board of Governors.
3) If the President disagrees with the Committee’s recommendation, thePresident will discuss how to resolve the disagreement with the Committee.
They may convene a separate assessment for their own use if necessary.
3.2.5 Faculty Evaluation
Evaluations (Promotions Review and Tenure Review) follow a rigorous process ofevaluation, recommendation and review. The procedures are described in the
Promotion Review Evaluation Committee (PREC) Handbook and Tenure Review
Evaluation Committee (TREC) Handbook, respectively.
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The entire Promotion Review and Tenure Review proceedings require discussion of
specific individuals, and the opinions of others regarding those individuals. This andother relevant information must be held in strict confidence by all participants. The
University commits to extensive measures to protect the privacy of the candidates bypreserving the confidentiality of the information it receives regarding the candidates.
3.2.5.1.1 Promotion Review (Applicable to tenured Associate
Professors)
Associate Professor appointed with tenure will be reviewed for promotion toProfessor during Year 4 after tenure appointment. Early review will be permitted
in exceptional circumstances.
a) Structure and Membership of Promotion Review Evaluation
Committee (PREC)
For a promotion review, the evaluation and recommendation phase is carried out
by a Promotion Review Evaluation Committee (PREC).
The PREC will comprise three to five members of the Faculty Assembly. The
Dean of Faculty Affairs will appoint PREC members and the Chair. The PREC
may include external advisors, but the Chair should be from the Faculty
Assembly. Details are described in the corresponding PREC Handbook.
The PREC is a non-standing committee that is established independently foreach individual action. In evaluation, substantial input from external reviewers(letter writers) is required and the external reviewer (letter writer) input carries
the most weight with regard to the final evaluation.
b) Outline of Promotion Review
The PREC has the responsibility for gathering data on scholarship, teaching,service and other relevant matters.
Members of the PREC should have no collaborative or mentoring relationshipwith the candidate, although this may sometimes be unavoidable or preferable
to other alternatives. Any mentoring or collaborative relationship between thecandidate and a PREC member should be clearly disclosed in the cover letterfrom the Chair.
Letters from external reviewers (letter writers) are essential for an objective
evaluation process and, in general, carry more weight than letters from reviewers
12ch03_faculty-handbook_en_20240502_cl

of candidate’s choice. The PREC aims to collect 6 letters from external reviewers(letter writers) within 2 months from the initial request of the letters. If 25% of
the letters at this point recommend non-promotion, the case needs to becarefully reconsidered. The external reviewers (letter writers) should neither be
co-authors, mentors nor close working colleagues of the candidate. Whensoliciting the opinion of external reviewers (letter writers), the PREC should
draft the letter requesting the evaluation based on the template in the PREC
Handbook.
A member of the PREC should be assigned the responsibility of insuring that thediversity standards for the promotion review evaluation are met.
c) Criteria for Promotion
The criteria for promotion concern the performance in scholarship, teaching andservice while at OIST.
Scholarship: The first criterion for promotion is that the individual's scholarshipand research ranks among the top 5 or 10 percent in their world-wide cohort at
his or her level of professional development for the proposed promotion level.
The appraisal of the scholarship will be based on the letters received from theexternal reviewers (letter writers), and on the quality of the three nominatedpapers for review, and their impact and originality. Letters from external
reviewers (letter writers) should support this assessment in an unequivocal
fashion.
Teaching and mentoring: The second criterion for promotion is a record of highquality teaching that clearly establishes that the candidate can plan and sustain
a quality teaching program. The appraisal of teaching performance will be based
mainly on the experience at OIST. Teaching is defined to include the classroom
and laboratory, as well as advising, mentoring, program building, and curriculardevelopment. In evaluating teaching, testimonials from students, postdoctoral
scholars and OIST faculty will be important. As part of the CV and Academic
Service Record, the candidate can provide relevant, yet objective, feedback fromstudents attending courses presented by the candidate, and/or examples ofmentoring practice. The Dean of the Graduate School and others may beconsulted for an appraisal.
Academic Service: Supporting the University in its widest sense throughcommittees and other service work, and the international scientific community
through, for example, service on conference organizing committees, editorial
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ch03_faculty-handbook_en_20240502_clboards and peer review committees is an important part of the academic duties.
The Provost, the Dean of Faculty Affairs and others (for example, Committee
Chairs) may be consulted for an appraisal.
There is no fixed weighting of these aspects. However, excellence in scholarshipand teaching is required, and the performance in service work must be, at least,
assessed as good. It will not be possible to be promoted if the performance ineither teaching or service work is unsatisfactory.
d) Process after Promotion Review
The PREC recommendation will be a file containing Promotion Review papers
and a cover letter from the Chair of the PREC, submitted to the President, after
review by the Appointment and Promotion Committee as described in the PREC
Handbook, through the Dean of Faculty Affairs.
A positive recommendation from the PREC will proceed through the following
levels of review. Taken in order, these are:
1) Review by the President
2) If the President agrees with the PREC recommendation, the file,accompanied by a letter from the President, goes to the Board of Governors
for final approval.
3) If the President disagrees with the PREC recommendation, the President will
discuss how to resolve the disagreement with the PREC. He/She may convene
a separate assessment for own use if necessary.
A negative PREC recommendation with which the President concurs, will be sent
to the candidate, and will also be reported to the Board of Governors.
No review for promotion will be undertaken for at least 3 years.
3.2.5.1.2 Appeal Process
The purpose of the appeal process is to determine whether the promotion review
procedures were correctly followed. The Appeal Process itself is not areevaluation of the decision. The grounds for an appeal are limited todetermining whether there were procedural errors (such as the failure to bringproper facts and criteria to bear on a decision, or the introduction of improper
facts and criteria, or the failure to follow procedures correctly) that substantiallyaffected the outcome. An unsuccessful candidate who believes there was aprocedural error in the promotion review can file an appeal with the Dean ofFaculty Affairs within ten (10) business days from receipt of the failure notice.
Detailed appeal documents, if any, should be submitted within one month of14

ch03_faculty-handbook_en_20240502_clregistering the appeal.
When an appeal is filed, the matter is automatically referred to the Provost, theDean of Research and the Dean of the Graduate School to select an ad-hoc Appeal
Committee comprised of tenured faculty. If the Appeal Committee finds that
there were procedural errors that substantially affected the outcome, the Appeal
Committee may recommend actions to correct the errors. The details of thecorrective actions will depend on the nature of the procedural errors, but may
involve a new PREC, new external reviewers (letter writers), new letters, or otherchanges. If the Appeal Committee finds that there were no procedural errors that
affected the outcome, the recommendation will be to dismiss the appeal. The
Appeal Committee, itself has no authority to recommend or deny promotion.
The recommendation of the Appeal Committee is final and is communicated inwriting to the President and to the candidate who filed the appeal within 2months from registering the appeal. The candidate may not challenge theoutcome of the appeal. If further actions are recommended by the Appeal
Committee, it is the responsibility of the President to implement those actions.
3.2.5.2.1 Tenure Review (A)[Transitional Provision]
Tenure Review (A) is applicable to Assistant Professors and untenured Associate
Professors who were negotiated their contracts or appointed as faculty members
at OIST SC between November 1st 2011 and December 31st 2016. However, they
may choose Tenure Review (B) in consultation with the Dean of Faculty Affairs.
The detailed information of the Tenure Review (A) can be referred to the TREC
Handbook. For Assistant Professors, a tenure evaluation is conducted in Year 6.
Untenured Associate Professors will be evaluated for tenure in Year 4.
Scholarship and teaching are the primary factors in evaluation for tenure
because the University is dedicated to excellence in research and education.
Service to the University and/or the community is also a relevant consideration.
Scholarly distinction is especially important because it sustains both the
University's research and teaching mission, which derives its strength from theongoing involvement of the instructors in research at the forefront of a field. The
purpose of the tenure evaluation is to appraise, on the basis of the record to date,the standing and potential in the relevant scholarly discipline, quality of teaching
and mentoring, and quality and relevance of service.

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The tenure decision is based on the career scholarly, teaching and service
achievement during the full career, not solely the achievements at OIST.
The Tenure Review Evaluation Committee (TREC) has the responsibility forgathering data on scholarship, teaching, service and other relevant matters. The
Dean of Faculty Affairs will appoint the TREC members after discussion ofpotential membership and possible external advisors with the candidate. The
TREC will comprise three to five members of the Faculty Assembly with chairnominated by Dean of Faculty Affairs.
The TREC may enlist an external advisor to assist with identifying suitable
external reviewers (letter writers) and should include an external member toassist in assessing the case for tenure, with full membership of the TREC andvoting rights.
Members of the TREC should have no collaborative or mentoring relationshipwith the candidate, although this may sometimes be unavoidable or preferable
to other alternatives. Any mentoring or collaborative relationship between thecandidate and a TREC member should be clearly disclosed in the cover letterfrom the Chair.
A member of the TREC should be assigned the responsibility of insuring that thediversity standards for the tenure review evaluation are met.
Letters from external reviewers (letter writers) are essential for an objective
evaluation. The TREC aims to collect 8 letters from external reviewers (letter
writers) within 2 months from the initial request for letters. If 25% of thosecollected at this point recommend against tenure, that should be sufficient torefuse tenure.
The external reviewers (letter writers) should neither be co-authors, mentors nor
close working colleagues of the candidate. When soliciting the opinion of
external reviewers (letter writers), the TREC should draft the letter requesting
the evaluation based on the template in the TREC Handbook.
The first criterion for a tenure appointment is that the candidate has achieved
the highest level of distinction in scholarship and research that places themwithin the top echelon of their international peer group. The peer group
comprises world-wide scholars that are at the same level of academic maturity
who work in research areas that are similar or closely allied to that of the16

ch03_faculty-handbook_en_20240502_clcandidate. Letters from external reviewers (letter writers) should support thisassessment in an unequivocal fashion.
The second criterion for a tenure appointment is a record of high quality
teaching that clearly establishes that the candidate can plan and sustain a firstrate teaching program. Teaching is broadly defined to include the classroom orlaboratory, advising, mentoring, program building, and curriculum development.
A letter from the Dean of the Graduate School is required to document andevaluate the teaching, rotation supervision and mentoring roles.
In some cases, service to the University can be relevant to the tenure decision.
But service, however exemplary, cannot substitute for major shortcomings inscholarship or teaching.
The outcome of the TREC will be a file containing the Tenure Review Papers anda cover letter from the Chair of the TREC to the President, after review by the
Appointment and Promotion Committee as described in the TREC Handbook
through the Dean of Faculty Affairs.
The positive recommendation of the TREC will proceed through the following
levels of review. Taken in order they are:
1) Review by the President
2) If the President agrees with the recommendation by TREC, the file,accompanied by a letter from the President, goes to the Board of Governors
for final approval.
3) If the President disagrees with the TREC recommendation, the President will
discuss how to resolve the disagreement with the TREC. He/She may
convene a separate assessment for own use if necessary.
A negative TREC recommendation with which the President concurs, will be sent
to the candidate, and will also be reported to the Board of Governors.
For an Assistant Professor, the award of tenure automatically involves promotion
to Associate Professor.
Under exceptional circumstances, an Assistant Professor who has had a negative
tenure outcome can be reviewed for promotion to Associate Professor without
tenure. In such exceptional case, the second review as Associate Professor
without tenure is conducted in Year 8 from the initial appointment as an
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Assistant Professor and follows the similar procedure stipulated in Tenure
Review (B). Such tenure review must be completed by the end of Year 9 from theinitial appointment as an Assistant Professor.
For an Associate Professor, TREC may solicit from the external reviewers (letter
writers) an opinion on whether to promote to Professor and on the basis of the
responses may make such a recommendation.
In the case of a negative decision for tenure, the appointment will terminate as
in the contract, or after a year if the remaining time on the contract is less thana year. The unsuccessful candidate should work with the Provost and the Deanof Faculty Affairs to ensure an orderly transition, including making proper
provision for the timely completion of any theses that are in progress, forredeployment of any continuing staff and for the completion of the contracts forthe fixed- term staff and post-doctoral scholars.
3.2.5.2.1 Tenure Review (B)Tenure Review (B) is applicable to untenured faculty who negotiated theircontracts after January 1st, 2017. The main difference from Tenure Review (A)is that a unit review is conducted by an external review committee (ERC) and thereview itself, letters from at least 3 experts on the ERC, and letters fromadditional external letter writers as in system (A) are considered by the TREC; insystem (A) there was no associated unit review and therefore, of course, noletters from ERC members.
Detailed information of this Tenure Review (B) can be found in the TREC (B)
Handbook.
a) Structure and Membership of Tenure Review Evaluation
Committee (TREC)
The tenure review process is carried out by the TREC, which consists of 3 or more
faculty appointed by the Dean of Faculty Affairs with advice from the
Appointment and Promotion Committee (APC) and after discussion of potential
membership with the candidate.
Members of the TREC should have no collaborative or mentoring relationshipwith the candidate, although this may sometimes be unavoidable or preferable
to other alternatives. Any mentoring or collaborative relationship between thecandidate and a TREC member should be clearly disclosed in the cover letterfrom the Chair.

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A member of the TREC should be assigned the responsibility of insuring that thediversity standards for the tenure review evaluation are met. A member of the
ERC is appointed as a non-voting member of the TREC; typically this is the chairof the ERC.
The TREC is a non-standing committee that is established independently foreach individual action. In evaluation, substantial input from external reviewers(letter writers) is required and the external reviewers’ / letter writers’ input
carries the most weight with regard to the final evaluation.
b) Outline of Tenure Review
The ERC has the responsibility for conducting an on-site review, providing
liaison with the TREC via the one member who is appointed to the TREC, andwriting evaluation letters (each of the experts on the ERC writes one letter). The
TREC then analyzes all external letters and the data on scholarship, teaching,service and other relevant matters, and finalizes a report.
The purpose of the tenure review is to appraise, based on the record to date, andan on-site unit review, the standing and potential in the relevant scholarly
discipline, quality of teaching and mentoring, and quality and relevance ofservice.
The tenure decision is based on the career scholarly, teaching and service
achievement during the full career, not solely the achievements at OIST.
Scholarship and teaching are the primary factors in evaluation for tenure
because the University is dedicated to excellence in research and education.
Service to the University and/or the community is also a relevant consideration.
Scholarly distinction is especially important because it sustains both the
University's research and teaching mission, which derives its strength from theongoing involvement of the instructors in research at the forefront of a field.
Letters from external evaluation letter writers are essential for an objective
evaluation. The TREC aims to collect 8 letters from external evaluation letter
writers, including those from at least 3 experts on the ERC (as external
evaluation letter writers), within 4 months from the TESD (Tenure Evaluation
Starting Date). If at least three letters recommend against tenure at this point,that should be sufficient to refuse tenure, although it is recommended thecommittee wait until 8 letters are received before proceeding.

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The external reviewers (letter writers) should neither be co-authors, mentors nor
close working colleagues of the candidate. When soliciting the opinion of
external reviewers (letter writers), the TREC should draft the letter requesting
the evaluation based on the template in the TREC Handbook.
c) Criteria for Tenure
The first criterion for a tenure appointment is that the candidate has achieved
high levels of distinction in scholarship and research that places them within the
top echelon of their international peer group. The peer group comprises worldwide scholars that are at the same level of academic maturity who work inresearch areas that are similar or closely allied to that of the candidate.
The second criterion for a tenure appointment is a record of high quality
teaching that clearly establishes that the candidate can plan and sustain a firstrate teaching program. Teaching is broadly defined to include the classroom orlaboratory, advising, mentoring, program building, and curriculum
development. A letter from the Dean of the Graduate School is required to
document and evaluate the teaching, rotation supervision and mentoring roles.
In some cases, service to the University can be relevant to the tenure decision.
But service, however exemplary, cannot substitute for major shortcomings inscholarship or teaching.
d) Timeline of Tenure Review Assistant Professor (as such at initial
appointment)
The Tenure Review begins on or by the TESD, which is the last day of the 6thmonth of Year 5 (4 years and 6 months after initial appointment). The 1st Tenure
Review of an Assistant Professor must be completed by the end of Year 6. The
TESD is the deadline for receiving tenure materials from the candidate. The
Tenure Review decision will normally be made within 6 months of the TESD.
The TESD cannot be delayed, except for the circumstances in accordance withthe “Stop-the-Clock” Policy in PRP3.2.5.2.2. An early review will be permitted in
exceptional circumstances.
Year 1: Appointment as Assistant Professor begins. A Mentor is appointed.
End of Year 3: The candidate should submit the following to the Dean ofFaculty Affairs: a CV including publication list, two 1-page outlines: an outlineof research highlights at OIST or prior to joining OIST, and an outline of a
research plan for the next five years.
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The Dean of Faculty Affairs will send a copy of these to the candidate's faculty
mentor, and to another tenured faculty member appointed by the Dean ofFaculty Affairs. The candidate then has a meeting with these two faculty.
Following this meeting the two faculty write a status report about the candidate’s
readiness for the tenure review, and this report is submitted to the Dean ofFaculty Affairs. Finally, the candidate has a status meeting with the Dean ofFaculty Affairs.
Between the mid-Year 5 and Year 6: The 1st Tenure Review is conducted.
By the end of Year 6, the Tenure Review must be completed (The TREC’s
recommendation is sent to the President and the candidate is notified of theTenure Review outcome by the President). There are four possible outcomes:• Tenured Full Professor: The Assistant Professor is awarded tenure andappointed as a Professor with approval from the Board of Governors.
• Tenured Associate Professor: The Assistant Professor is awarded tenure andappointed as Associate Professor with approval from the Board of Governors.
• Untenured Associate Professor: The Assistant Professor is promoted tountenured Associate Professor with approval from the President.
• “Unsuccessful”: The contract is terminated at the end of the contract period,or one year from notification of the failed review, whichever is later, subject
to the limitation in PRP3.2.5.2.4.
Year 8: The 2nd Tenure Review is conducted for those that received the outcome“Untenured Associate Professor” in the 1st Tenure Review. This review must becompleted before the end of Year 9 (The TREC’s recommendation is sent to the
President and the candidate is notified of the Tenure Review outcome by the
President). There are three possible outcomes:• Tenured Full Professor: The Associate Professor is awarded tenure andappointed as a Professor with approval from the Board of Governors.
• Tenured Associate Professor: The Associate Professor is awarded tenure withapproval from the Board of Governors.
• “Unsuccessful”: The contract is terminated at the end of the contract period,or one year from notification of the failed review, whichever is later, subject
to the limitation in PRP3.2.5.2.4.
Associate Professor (untenured at initial appointment)
The Tenure Review begins on or by the TESD, which is the last day of the 6thmonth of Year 4 (3 years and 6 months after initial appointment). The Tenure
Review of an Associate Professor must be completed by the end of Year 5. The
TESD is the deadline for receiving tenure materials from the candidate. The
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ch03_faculty-handbook_en_20240502_cltenure review decision will normally be made within 6 months of the TESD. The
TESD cannot be delayed, except for the circumstances in accordance with the“Stop- the-Clock” Policy in PRP3.2.5.2.2. An early review will be permitted in
exceptional circumstances.
Year 1: Appointment as Associate Professor (untenured at initial appointment)
begins. A Mentor is appointed.
End of Year 3:
The candidate should submit the following to the Dean of Faculty Affairs: a CV
including publication list, two 1-page outlines: an outline of research highlights
at OIST or prior to joining OIST, and an outline of a research plan for the next
five years.
The Dean of Faculty Affairs will send a copy of these to the candidate's faculty
mentor, and to another tenured faculty member appointed by the Dean ofFaculty Affairs. The candidate then has a meeting with these two faculty.
Following this meeting the two faculty write a status report about the candidate’s
readiness for the tenure review, and this report is submitted to the Dean ofFaculty Affairs. Finally, the candidate has a status meeting with the Dean ofFaculty Affairs.
Between mid-Year 4 and Year 5: The Tenure Review is conducted for the
Associate Professor (untenured at initial appointment). By the end of Year 5, theTenure Review must be completed (The TREC’s recommendation is sent to the
President and the candidate is notified of the Tenure Review outcome by the
President). There are three possible outcomes:• Tenured Full Professor: The untenured Associate Professor is awarded tenure
and appointed as Professor, with approval from the Board of Governors.
• Tenured Associate Professor: The Associate Professor is awarded tenure,with approval from the Board of Governors.
• “Unsuccessful”: The contract is terminated at the end of the contract period,or one year from notification of the failed review, whichever is later, subject
to the limitation in PRP3.2.5.2.4.
e) Process after Tenure Review
The TREC recommendation will be a file containing Tenure Review papers anda cover letter from the Chair of the TREC, submitted to the President, after review
by the Appointment and Promotion Committee as described in the TREC (B)
Handbook , through the Dean of Faculty Affairs.

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A positive recommendation from the TREC will proceed through the following
levels of review. In order, these are:
1) Review by the President
2) If the President agrees with the TREC recommendation, the file,accompanied by a letter from the President, goes to the Board of Governors
for final approval.
3) If the President disagrees with the TREC recommendation, the President will
discuss how to resolve the disagreement with the TREC. The President may
convene a separate assessment of the candidate for additional advice, if
necessary.
A negative TREC recommendation with which the President concurs, will be sent
to the candidate, and will also be reported to the Board of Governors.
The unsuccessful candidate should work with the Provost and the Dean ofFaculty Affairs to ensure an orderly transition, including making proper
provision for timely completion of any theses in progress, for redeployment ofcontinuing staff, and for completion of contracts for fixed-term staff and postdoctoral scholars.
3.2.5.2.2 “Stop-the-Clock” Policy for Tenure-track faculty
Tenure-track faculty may request a contract extension and postponement oftenure review to accommodate parental responsibilities relating to childbirth,
adoption of a child, or rearing of a baby. A second extension may be requested.
Stop-the-Clock cannot be multiplied for multiple births (e.g., twins).
This policy is independent of maternity, parental, or childcare leave. Taking suchleave does not automatically lead to application of Stop- the Clock Policy. An
extension of the TESD does not alter the candidate’s normal duties (i.e. teaching,supervision).
The form [Link] must be submitted to the Dean of Faculty Affairs prior to the
TESD. Upon approval of the form by the Dean of Faculty Affairs and thePresident, the following actions will be taken.
1. The TESD will be postponed one year.
2. The employment of the candidate will be continued for one more year.
3. The unit funding will be extended one year.
4. The contracts of unit staff will not automatically be extended.

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In case of extenuating circumstances (e.g., multiple births, difficult pregnancy,premature birth, or medical conditions associated with childbirth), the Dean ofFaculty Affairs may grant an additional 3-6- month discretionary extension. A
request for an additional extension must be submitted to the Dean of Faculty
Affairs together with supporting documentation (e.g., a medical certificate).
OIST Tenure Review offers a flexible timeline. With approval from the Dean ofFaculty Affairs, “Stop-the-Clock” requests and other delays of the TESD arisingfrom exceptional circumstances may be accommodated.
The total period of fixed-term contracts should not exceed 10 years for either
Assistant Professors or untenured Associate Professors, subject to 3.2.5.2.4.
Under the Tenure Review (B), when an Assistant Professor received the outcome“Untenured Associate Professor” in the 1st Tenure Review and undertakes a 2nd
Tenure Review, that review must be concluded before the end of Year 9. Whenthe outcome of the 2nd Tenure Review is negative, the contract of the candidate
will be terminated at the end of the contract period.
3.2.5.2.3 Appeal Process
The purpose of the appeal process is to determine whether the tenure review
procedures were correctly followed. The Appeal Process itself is not areevaluation of the decision. The grounds for an appeal are limited todetermining whether there were procedural errors (such as the failure to bringproper facts and criteria to bear on a decision, or the introduction of improper
facts and criteria, or the failure to follow procedures correctly) that substantiallyaffected the outcome. An unsuccessful candidate who believes there was aprocedural error in the tenure review can file an appeal with the Dean of Faculty
Affairs within ten (10) business days from receipt of the failure notice. Detailed
appeal documents, if any, should be submitted within one month of registering
the appeal.
When an appeal is filed, the matter is automatically referred to the Provost, theDean of Research and the Dean of the Graduate School to select an ad-hoc Appeal
Committee comprised of tenured faculty. If the Appeal Committee finds that
there were procedural errors that substantially affected the outcome, the Appeal
Committee may recommend actions to correct the errors. The details of thecorrective actions will depend on the nature of the procedural errors, but may
involve a new TREC, new external reviewers (letter writers), new letters, or otherchanges. If the Appeal Committee finds that there were no procedural errors that24

ch03_faculty-handbook_en_20240502_claffected the outcome, the recommendation will be to dismiss the appeal. The
Appeal Committee, itself has no authority to recommend or deny tenure.
The recommendation of the Appeal Committee is final and is communicated inwriting to the President and to the candidate who filed the appeal within 2months from registering the appeal. The candidate may not challenge theoutcome of the appeal. If further actions are recommended by the Appeal
Committee, it is the responsibility of the President to implement those actions.
3.2.5.2.4 Total Period of Fixed-term Contracts
Under any circumstances, the total period of fixed-term contracts should notexceed 10 years counting from the fixed term contract start date executed on orafter April 1, 2013 for either Assistant Professors or untenured Associate
Professors.
3.2.6 Faculty Annual Performance Appraisal and Salary Increase
Faculty members will meet annually with the Dean of Faculty Affairs to discuss theirperformance during the previous fiscal year, and to provide them with mentoring asnecessary. Details are described in the Guidelines for the Annual Faculty Appraisal.
This is an opportunity to appraise the faculty member’s performance, including
teaching, research, mentoring, university service, grants received (especiallyexternal grants), and faculty obligations. It is also an opportunity for them to obtainhelp and feedback, especially in the area of unit management, including
implementation of OIST’s respectful workplace policy, and to set objectives for thesubsequent year and to develop a plan of action to improve performance, if necessary.
If the performance is “Satisfactory”, faculty members may be eligible for a salary
increase, depending on OIST’s budgetary status.
Research performance of units will be evaluated separately, as described in PRP 3.2.7,“Research Unit Budget and Evaluation”.
3.2.7 Research Unit Budget and Evaluation
Each full-time and adjunct faculty research unit will receive multi-year subsidy
support based on a proposal reviewed and approved at the time of hiring for new
faculty, or for current faculty, reviewed and approved at a progress review conductedby a committee of experts from outside of OIST [link: External Review Committee
Handbook]. Faculty whose research is evaluated as mostly positive by the external
review committee, may negotiate their salary with the President.

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ch03_faculty-handbook_en_20240502_cl3.2.8 Conflict of Interest
OIST policies concerning conflicts of interest are described in PRP Chapter 22.
Members of the faculty must declare conflicts of interest or the appearance of aconflict of interest when these exist. The existence of a conflict of interest is notnecessarily a barrier to employment or procurement relationships. However, special
procedures must be followed to ensure the integrity of interactions with and the fairtreatment of students, researchers, employees, contractors, vendors, and others
associated with faculty in the execution of their duties.
3.3 Retirement
The normal retirement date for faculty members will be at the end of the academic year
in which they reach 70 years of age, or on the date they reach 70, whichever is specified
in the contract. Two years prior to retirement, faculty members should work with the
Provost and the Dean of Faculty Affairs to ensure an orderly transition- i.e., making
proper provisions for staff/postdocs, and other matters. Professors are not permitted
to accept new PhD students and to serve as their primary supervisors after reaching 68.
No external Unit review will be conducted after 65 years.
Faculty members may choose to retire early, after the age of 60, if they have served theuniversity in a significant capacity for at least 10 years. Early retirement will be granted
at the discretion of the President.
3.3.1 Emeritus Professor
OIST will apply the title Emeritus Professor indefinitely to all full-time faculty uponretirement, including those who have retired early. This comes with no salary, butwith access to OIST resources and limited privileges for a period of five years, which
may be renewed in negotiation with the President. Entitlement to emeritus status
and access to OIST resources is conditional upon adherence to Japanese law andUniversity policies, rules, and procedures. The President may rescind both emeritus
status and access without notice in the event of a violation.
3.3.2 Continuing employment beyond retirement age
Upon invitation by the President, faculty members may extend their contracts
beyond retirement age, subject to successful external review. Such cases will behighly unusual.
For continuing employment, faculty members will submit a research plan with aterm of no more than 5 years to the President for agreement, including a strategy forclosing the unit within the term, and for being substantially financed using externalfunds. The President and faculty members will discuss access to space and26

ch03_faculty-handbook_en_20240502_clequipment with the Provost and the Dean of Faculty Affairs. If faculty members
invited by the President wish to continue doing research after retirement, they must
undergo an external review with their research plan in the academic year in which
they turn 68 in principle. Faculty members thus approved after the external review
will continue doing research and carrying teaching and service responsibilities andthe title “Professor” during the agreed term beyond retirement age.
This is considered a fixed-term, untenured position and will involve a significant
reduction in unit space and funds. Salary will be negotiable, but will normally be
reduced.
3.3.3 Faculty members serving in executive capacities
Faculty members who have served in executive capacities (i.e. Dean or Vice
President) for a certain period will be allowed additional time for research after theretirement date, that was negotiated with the President. This policy will function as
an incentive for faculty members to assume executive functions. Research funds,salaries and unit space will not be affected during this period, and will continue as
stipulated in their then current contract for the duration of their additional service.
3.3.4 Non-Faculty Research Appointments
There are five classes of non-Faculty Research Appointments; Postdoctoral Scholars,
Staff Scientists, Senior Staff Scientists, Technicians and Science and Technology
Associates. Non-faculty research staff may undertake limited teaching duties as
described in 3.2.2 item 6. The definition of each non-Faculty Research Appointment
is stipulated in 4.2.
3.4 Management Structure for Academic Issues
The management structure of the University is described in the Chapter 2. The
administrative organization responsible for faculty governance and academic issues
will be the Faculty Assembly (the “Assembly”). The Assembly will have an executive
body, the Faculty Council (the “Council”). The Assembly and Council are described in
sections 3.4.1 and 3.4.2, respectively. The administrative home of the members of thefaculty will be the Dean of Faculty Affairs.
The Provost will administer research resources, promote good conduct in research andensure that the research program conforms to the highest ethical standards; leadappropriate subcommittees of the Core Facilities as well as represent OIST in researchrelated domains; liaise with the Deans for Faculty Affairs, of Research and of the
Graduate School.

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The Dean of the Graduate School will administer the OIST Graduate School. The
position of Dean of the Graduate School will be a rotating position of the faculty with athree-year term, which is renewable at the discretion of the President.
The Dean of the Graduate School will manage the academic program, including thefollowing matters:• Student recruitment and admissions• Curriculum and organization of courses• Student guidance and supervision• Student career development• Award of degrees and graduation• Enrollment, re-enrollment, withdrawals, transfers, overseas study, leave of absence• Appraisals and sanctions of students• Evaluation of teaching• Other matters relating to education
As necessary, the Dean of the Graduate School will appoint committees that the Deanof the Graduate School chairs, the Dean of the Graduate School’s committees, which
include faculty members to advise on those matters requiring academic andeducational input. For instance, faculty will staff the Admissions Committee. To enablechanges to the curriculum in a given area, the Dean of the Graduate School will choose
specific people to help in approving suggested modifications.
A Senior Assistant to the Dean of the Graduate School will administer the studentrelated functions including financial aid to students, student housing, student
organization, student activities, student welfare, mentoring and career development,
and student records. The position of Senior Assistant is an administrative, nonrotating position that will provide continuity in administration of the Graduate School.
3.4.1 Faculty Assembly
3.4.1.1 Role of the Assembly
The Assembly is a self-governing body of the whole professoriate that provides thefaculty with information about university matters and serves as a forum for open
discussion of University affairs with the President. The Assembly is advisory to the
President. The Assembly can bring issues that warrant the attention of the
University management directly to the President. For operational efficiency the
Assembly elects a sub-group, called the Council. The Council, under the leadershipof the Chairperson of the Assembly, acts as the executive committee of theAssembly. The members of the faculty in addition have administrative duties on
various committees. These functions are services to the University; the President,
Senior Vice President, Provost, Dean of the Graduate School, Dean of Faculty28

ch03_faculty-handbook_en_20240502_cl

Affairs and Dean of Research make appointments to these committees.
3.4.1.2 Membership of the Assembly
The membership of the Assembly includes all full-time Professors, Associate
Professors, Assistant Professors and Adjunct faculty. Emeritus, Distinguished andVisiting faculty members may participate in Assembly meetings as non-voting
members. Two student representatives (elected by the students), two researcher
representatives (elected by the OIST Researcher Community) and one
representative of the Science and Technology Group (elected by the Science andTechnology Group Forum) may participate in the Assembly, with speaking rights
but without voting rights.
The President, Senior Vice President, Provost, Secretary General, Dean of the
Graduate School, Dean of Faculty Affairs, and Dean of Research may participate
as ex officio members. The ex-officio members and student and research
representatives attend the Assembly meetings at the invitation of the Chairperson
and may be excused when the Chairperson deems necessary.
3.4.1.3 Chairperson of the Assembly
The Assembly has a Chairperson. The Chairperson of the Assembly will be electedby secret ballot of the Assembly. Elections to the position of Chairperson will takeplace every two years. The term of office as Chairperson is two years. For theelection of the Chair of the Faculty Assembly, a call for nominations will be madeon February 1. Candidates will make their presentations at the Faculty Assembly
meeting in March. The election will be held immediately following the Faculty
Assembly presentations. If the Chair of the Faculty Assembly is unable to serve,
the Faculty Council will appoint an interim Chair, who will hold elections within
two months, to fill the position until the end of the previous Chair’s term.
The role of the Chairperson is to preside at meetings of the Assembly. The
Chairperson will set the dates of meetings. The agenda is set by the Chair of theAssembly, but the President, Senior Vice President, Provost, Dean of the Graduate
School, Dean of Faculty Affairs, and Dean of Research should always be consulted
and be invited to the meeting. The Chairperson will represent the faculty as exofficio member of OIST administrative committees as deemed necessary. The
Chairperson will communicate the results of the deliberations of the Assembly andits subsidiary bodies to the appropriate members of the administration (Board ofGovernors, Board of Councilors, President, Senior Vice President, Provost, Deanof the Graduate School, Dean of Faculty Affairs, and Dean of Research).

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ch03_faculty-handbook_en_20240502_cl3.4.1.4 Frequency of Convocation
The Chairperson will call meetings of the Assembly at least three times per year.
3.4.1.5 Items to be Discussed at Meetings of the Assembly
The Assembly will deliberate on policy matters, strategic direction and educational
philosophy. The Assembly may consider specific matters as follows:• Election of the Council• Enrollment, re-enrollment, withdrawals, transfers, overseas study, leave ofabsence• New research initiatives• Common resources and space• Faculty recruitment, promotions, and tenure• Staff welfare• Information technology and libraries• Formation of subcommittees• Reports on academic matters• Reports on other committees• Other matters
The Faculty Assembly shall state its opinion for the admission and graduation
matters and completion of academic programs. Authority is delegated to the
Admissions Committee to select students for admission to the PhD program.
Authority is delegated to the Curriculum and Examinations Committee to deal
with matters related to the curriculum and individual student progress in the PhD
program, The Admissions Committee and the Curriculum and Examinations
Committee are advisory to the Dean of the Graduate School, and report to the
Assembly through the Dean of the Graduate School.
3.4.1.6 Procedures and Rules of the Faculty Assemblya) The Faculty Assembly may transact its business but shall not vote on
resolutions unless a majority of full-time faculty members is present.
b) Resolution of the Faculty Assembly shall be passed by a majority vote ofattending faculty members with voting rights. Faculty members who holdExecutive positions will be asked to abstain from voting on matters that relate
directly to their responsibilities as members of the OIST Executive. The Chair
shall decide in the event of a tie votes.
c) As deemed necessary by the Chair, faculty members may participate in the
Faculty Assembly by teleconference and may exercise voting rights. Absent
faculty members may not vote.
d) If there are resolutions that need to be voted on but a quorum of faculty30

ch03_faculty-handbook_en_20240502_clmembers is not present, the Chair will decide and announce during theAssembly meeting whether to conduct voting online or to postpone voting until
the next Assembly meeting. In regard to online voting, the Faculty Assembly
shall formulate a summary of the topic under discussion or the Assembly may
delegate this duty to the Chair. This summary will be circulated to faculty
members, who will be given 5 business days to vote. A resolution will be deemed
to have passed if there is an online quorum (i.e., a majority of faculty memberswith voting rights participate in online voting) and the majority of those who
vote are in favor.
e) As deemed necessary by the Chair, people other than faculty members may be
invited to attend the meeting.
f) Agendas and minutes of Faculty Assembly meetings shall be made available to
all Faculty members.
3.4.2 Faculty Council
The Council is the elected executive body of the Assembly and its role is to advise to
the President on academic and administrative matters. The agenda is set by the Chairof the Council, but the President, Senior Vice President, Provost, Dean of the
Graduate School Dean of Faculty Affairs and Dean of Research should always be
consulted and be invited to the meeting. Other members of the administration canbe invited as appropriate. These meetings are critical for the healthy operation of theinstitution and provide a venue in which the trust and cooperation between
administration and faculty can be established and maintained. The Assembly
delegates the responsibility to deliberate on specific matters to the Council. Council
members are elected members of the Faculty, including the Chair of the Faculty
Assembly, who is also the Chair of the Council. Consistent with the Japanese
government gender equality goal of 30% women in leadership positions, at least 20%
of Faculty Council positions will be reserved for female faculty members. In order fora quorum of the Faculty Council to conduct business, at least one female faculty
member must be present. If the remaining reserved position(s) is/are not filled, thenthe position will remain vacant, to be filled via an election, when one or more female
candidates become available.
Terms of Faculty Council members and the Chair of the Faculty Assembly start on
September 1. Members are elected for a term of two years and may serve twoconsecutive terms. The Assembly may vote to increase the number of members on
the Council proportionately as the faculty grows, but the number may not exceed 20%of the whole faculty. The following ex- officio members and the advisor may attend
the Council. The composition of the Council is as follows:

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ch03_faculty-handbook_en_20240502_clElected Members
Chair of the Assembly
Nine elected members of the Assembly
Ex-Officio Members
President
Senior Vice President
ProvostDean of the Graduate School
Dean of Faculty Affairs
Dean of Research
Secretary to the Assembly
The Council will meet monthly. Council minutes will be available to all faculty
members.
3.4.2.1 Election of Council members
It is important that the Faculty Council reflects the composition of the Faculty, with
an appropriate mix of gender, ethnicity, scientific discipline, and seniority. All fulltime Professors, Associate Professors, and Assistant Professors are eligible to serveas Council members. Voting members of the Assembly, including Adjunct faculty,
are eligible to nominate and elect Council members.
For the election of the Faculty Council members, a call for nominations will bemade on April 15. Candidates will make their presentations at the Faculty
Assembly meeting in May, but if a quorum is not convened in May, a special faculty
meeting may be called in June for candidate presentations. The election will beheld immediately following the presentations at either of the foregoing Faculty
Assembly meeting.
Election Rules and Procedures are as follows:
1. If the number of candidates does not exceed the number of positions to be filled,
candidates who receive more than 50% of the votes cast will be elected,
including reserved positions for female faculty members.
2. If the number of candidates exceeds the number of positions to be filled, thecandidates who receive the greatest numbers of votes will be elected until all
positions are filled.
3. Election results must be publicized to Faculty Assembly members as soon aspracticable after the close of voting.
4. When there is a need to replace a Council member before his/her term
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completes, the Council will appoint the eligible candidate with the highest votein the latest Council election within the last 6 months. If there has been noelection for the last 6 months, the Council will decide whether to hold anelection. The replacing member will serve for the remaining term of thedeparting member.
3.4.2.2 Procedures and Rules of the Faculty Councila) A majority of votes is required to pass any resolution in the Faculty Council.
Elected members of the Faculty Council have voting rights, but Ex-Officio
Members and Advisors do not have voting rights. If there is not a majority ofthe members with voting rights is not in attendance, the Faculty Council shallnot transact any business.
b) The Faculty Council agendas and minutes will be available to all faculty
members.
3.4.3 The Secretariat of the Faculty Assembly and Faculty Council
The Faculty Affairs Office serves as Secretariat of the Faculty Assembly. A Secretary
to the Assembly will work with the Chair of the Faculty Assembly and act as the
Executive Secretary to the Assembly and to the Council, with the responsibility for
preparing agendas, preparing or commissioning documents for meetings, serving
any sub-Committees created by the Assembly or Council, and coordinating with
Senior Executives [Link: 30.2.2.1.1].
3.5 Academic Program Evaluations
3.5.1 Basic Policy
The University will conduct regular assessments of education, research and results
leading to technological developments. This will entail the review of organizational
operation, facilities and equipment, and the release and dissemination of theresearch results and technologies and patents to the public.
3.5.2 Method
Assessment will be conducted regularly, based on the criteria set in advance, inregards to the goals of the University.
3.5.3 Structure for Assessment and Evaluation
The University will have an ongoing internal procedure of periodic review andassessment by committees of experts from the best universities in the world. In
addition to this internal assessment, an external evaluation will be conducted by athird-party evaluation organization accredited by the government.

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ch03_faculty-handbook_en_20240502_cl3.5.4 Publication and Utilization of the Results
The University will summarize the results of the external evaluation as a report to
the Board of Governors, which has the responsibility for disseminating the reportappropriately. The Board will deliberate on the results and use them to improve theeducation, research, technology impact and management of the University. Such
results will be made publicly available by means of the University’s web site and otherpublications.
3.5.5 Major Evaluation Items
Major evaluation items include:
•
•
•
•
•
•
•
•
•
•
•
•
•

Purpose of the University
Research results
Technology impact
Organization for education and research
Faculty and supporting staff
Student admission
The contents and methods of education
Educational performanceStudent support
Facilities and equipment
System(s) to improve the quality of education
Finance
Management

3.6 Strategies to Maintain and Improve the Quality of Teaching Staff
3.6.1 Basic Policy of Educational Development
The University must maintain and improve the quality of its faculty in order toprovide an outstanding education at the University and to meet the different
educational needs of each student. The office of the Dean of the Graduate School
will play an active role in the development of faculty members by implementing
programs for faculty development in teaching and supervision of graduate
students.
3.6.2 Methods
Specifically, the University will conduct the following:
3.6.2.1 Teaching Guidelines
The Dean of the Graduate School’s office will create, maintain and distribute
guidelines for quality teaching to ensure that uniform best-practice teaching34

ch03_faculty-handbook_en_20240502_clstandards are observed at the University.
3.6.2.2 Student Teaching Evaluations
Students will evaluate each course with a standardized questionnaire at the end of
the course. The student responses will be reported to the Dean of the Graduate
School’s office and will be distributed to the instructors and students. The Dean of
the Graduate School’s office will assist the instructors to respond appropriately tothis feedback. This feedback should be treated as confidentially as possible.
3.6.2.3 Peer Review of Teaching
Faculty members will support the development of their colleagues by participatingfrom time to time as classroom observers, with the agreement of the instructor.
The date of such observation will be reported to the Dean of the Graduate School’s
office, and the observer will discuss their observations with the instructor in acollegial, respectful and supportive manner.
3.6.2.4 Instructor Training
The Dean of the Graduate School’s office will arrange training sessions, andworkshops for faculty development from suitably qualified facilitators, in order toenhance the teaching ability of faculty members.
3.6.2.5 Mentoring
A mentoring system will be established so that faculty with less experience inteaching and thesis supervision can meet with more experienced faculty to receive
advice and support. As a part of this system the Thesis Committee supervising each
student will include junior and senior faculty members to facilitate the transfer ofskills relating to supervision of research.
The Dean of the Graduate School’s office will implement these methods to ensure
the improvement of the education and research of the Graduate University.
3.7 Faculty Leave
3.7.1 Holiday Entitlements
Holiday entitlements are defined in PRP Chapter 33 Leave.
3.7.2 Sabbatical Leave
Sabbatical leave offers tenured faculty members opportunities for study, research,acquisition of new techniques, and enhanced professional development. Sabbaticalleave allows faculty members to focus on such matters without teaching andadministrative duties. Details are described in the Sabbatical Leave Application35

ch03_faculty-handbook_en_20240502_cl

Handbook.
Tenured faculty members are eligible to apply for sabbatical leave if they have served
at least six (6) years since joining OIST as full-time faculty members. The tenuretrack period is included as part of the sabbatical qualifying period so that untenured
faculty members can apply for sabbatical leaves after being awarded tenure. Yearsfrom the OIST Promotion Corporation period are not counted.
For every three (3) years of academic service, tenured faculty members earn six (6)months of sabbatical credit. The maximum sabbatical credit that can be accrued istwelve (12) months.
Once eligibility is granted, at least nine (9) months before the start of the academic
year in which sabbatical leave is to commence, the applicant must submit a “Request
for Sabbatical Leave Application Form” online.
As part of sabbatical leave application process, an agreement between the hostinstitution and OIST must be prepared. This agreement must include managementof intellectual property that may result from the sabbatical research, and otherpertinent sabbatical terms and conditions.
After submitting the online application form, the applicant must make necessary
arrangements with the Deans of the Graduate School (DGS) and Faculty Affairs(DFA) to cover teaching, supervision of students and unit members, andadministrative responsibilities during sabbatical leave.
When arrangements described in Sections 5 and 6in the Handbook have been
approved in principle by the Provost and the three Deans (DFA, DGS, and DoR) andif the Executive Vice President for Technology Development and Innovation andGeneral Counsel validate the Intellectual Property-related arrangements with thehost institution, the Provost and the three Deans will sign the Sabbatical Leave
Application Form. The application form will be sent by the Faculty Affairs Office tothe President for final approval.
3.7.3 Leave without Salary
A leave without salary is a period of leave that is without salary from the University
or its disability, retirement, or other benefits programs.
3.7.3.1 Requesting a Leave without Salary
Leave without salary should be requested on a standard leave request form for36

ch03_faculty-handbook_en_20240502_clreview and approval by the Dean of the Graduate School and the Dean of Faculty
Affairs.
3.7.3.2 Review Criteria for Leave without Salary
In deciding a request for leave without salary, consideration will be given to thefaculty member’s teaching and other academic responsibilities, scholarly
productivity, number of doctoral theses supervised, previous leaves without salary,
and any other relevant circumstances.
3.7.3.3 Effect of Leave on Term of Appointment
A leave without salary for faculty on fixed-term appointments extends the term of
appointment by a period equal to the duration of the leave, unless there is advanced
written agreement. This extension is not automatic and must be requested fromand approved by the Dean of the Graduate School and Dean of Faculty Affairs.
3.7.3.4 Effect of Leave on Term of Research Support
With a leave without salary the period of research support may be extended by aperiod up to the duration of the leave. The total funds committed are not increased.
Extension of the period of research must be approved by the Dean of Faculty Affairs.
3.7.3.5 Period of Partial Leave without Salary
Periods of partial leave without salary have the same effect on Term of
Appointment and Term of Research Support as described in 3.7.3.3, and 3.7.3.4,
but on a proportional basis.
3.7.4 Period of Pure Research Leave
Full-time faculty members may apply for a period of pure research leave, which isdefined as leave from teaching and other institutional responsibilities during which
the faculty member receives full or partial salary supported by the University.
3.7.4.1 Requesting a Period of Pure Research Leave
Applications for periods of pure research should be requested on the regular leave
form for review and approval by the Dean of the Graduate School and the Dean ofFaculty Affairs.
3.7.4.2 Reviewing a Request for Period of Pure Research Leave
In deciding a period of pure research leave request, consideration will be given to
the faculty member’s teaching and other contributions to the educational programof the University, scholarly productivity, number of doctoral theses completed
under his or her supervision, previous leave without salary, and any other relevant
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ch03_faculty-handbook_en_20240502_clcircumstances.
3.7.4.3 Effect of Leave without Salary or Pure Research Leave on
Sabbatical Leave Service Accrual
Sabbatical eligibility does not accrue during periods of leave without salary or pureresearch leave.
3.7.5 Family and Medical Leave Policies
The family, medical, childcare and other leave policies for OIST employees aredescribed in PRP Chapter 33 Leave. In addition to the standard leave options, faculty
can request adjustments in time or amount of teaching through the Dean of the
Graduate School.
3.8 Concurrent Appointment or Employment
Full-time faculty members may accept external visiting or adjunct appointments or
employment in another university, research organization, or company provided that
their educational, research and other activities in OIST are not affected and that there
is no conflict with OIST PRPs, including intellectual property, research safety, animalcare and use, human subjects or other relevant areas. Prior approval for concurrent
appointment or employment must be obtained from the Dean of Faculty Affairs inaccordance with OIST Rules for Concurrent Appointment. Such appointments or
employment may not exceed 20% time. There must be disclosure of any financial
interests.
3.9 Resolving Complaints and Disputes
Procedures for resolving complaints and disputes are described in PRP Chapter 39
Resolving Complaints & Disputes. For complaints and disputes reported by faculty, thesupervisor is the Dean of Faculty Affairs. The next level of management for the Deanof Faculty Affairs is the CEO/President. For Committee Level Dispute Resolution, theCEO/President will appoint a Dispute Resolution Committee. For complaints anddisputes reported by employees supervised by faculty, the standard procedures
described in Chapter 39 apply. For complaints and disputes reported by students, theprocedures in Chapter 5 Graduate School Handbook apply.
3.10 Term and Conditions of Appointment
3.10.1 Employment Agreement
The term and conditions of academic appointments are stated in the Employment
Agreement, a copy of which should be in the possession of both the University andthe faculty member. The term of academic appointments may be either (a) for a fixed
number of years for non- tenured appointments or (b) without limit of time for38

ch03_faculty-handbook_en_20240502_cltenured appointments. A tenured academic appointment without limit of timeextends from the effective date of the appointment to the date of academic retirementof the appointee.
3.10.2 Prior Notice of Non-renewal of Appointment
A faculty member holding a renewable, non-tenured appointment shall be notified
by one year before the end of the term of the appointment if the appointment is not
to be renewed. Failure to give timely notice of non- renewal shall entitle theindividual to an extension of appointment for a period of one year from the time ofnotification.
3.10.3 Prior Notice of Non-renewal of Internal Funding
A tenured or non-tenured faculty member who after review has been notified that
his or her internal funding will not be renewed will be provided with a negotiatedlevel of funding to allow a scale-down during the last year of funding. Failure to givetimely notice of non-renewal of internal funding shall entitle the individual to an
extension of the current level of internal funding to the date of notification and to an
extension of the scale-down period to a period of one year from the time ofnotification.
3.11 Discipline
Procedures for taking disciplinary action in response to conduct that violates the OISTPRPs are described in PRP Chapter 38 Discipline, which covers all OIST employees.
For discipline of faculty members the supervisor is the Dean of Faculty Affairs, and if
this cannot be resolved satisfactorily, the President.

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