OIST Graduate University
Policies, Rules & Procedures
Authority: Approved by the Provost and the President

Chapter 4: Research Activities
4.1
PolicyThe OIST Graduate University (hereinafter, “University”) promotes research activities
that embody the five central concepts stated in 1.1.1 OBJECTIVES OF THE OISTGRADUATE UNIVERSITY: Best in the World, International, Flexible, Global
Networking, and Collaboration with Industry. The University encourages
interdisciplinary research through effective collaboration between University faculty,
research staff (which means those who engage in research activities at the University(people with research appointment other than University Faculty, Research Fellows
and Science and Technology Associates; the same applies hereinafter), and students.
The University respects Academic Freedom, and all researchers (University faculty andresearch staff; the same applies hereinafter) at the University should observe Openness
in Research. The Provost [Link: 2.4.6.1] is responsible for providing technical andadministrative support for the Research Units.
A unique feature of research at the University is its internal funding that enables
challenging critical problems with cutting-edge technologies. The President, throughthe Provost, has the authority to allocate internal research funding for common
resources and Research Units in accordance with their research programs. The Provost
is responsible for implementing the mechanisms to ensure the efficient and fair use of
research resources. Over the years, the University is expected to become lessdependent on government subsidies and expects to be able to win competitive research
grants and funding from industry. All faculty and research staff are encouraged toapply for external funding, and the Dean of Research [Link: 2.4.5.7] shall provide
support for externally funded research applications and monitor execution of thesegrants.
All researchers are expected to comply with legal and regulatory requirements anduphold the highest standards of research ethics and integrity. It is the responsibility of
all researchers at OIST to ensure that the appropriate steps are taken with regard to
the recording, handling and preservation of data and associated information such as
computer programs and logbooks, and take great care to prevent any research activity
misconduct, such as fabrication, falsification, and plagiarism, in the research groups.
Furthermore it is necessary to ensure the soundness and fairness of research which is
required to respond to new risks associated with the openness and internationalizationof research. (Link: Rules on Ensuring Research Integrity)
Faculty have a responsibility to promote and oversee the proper conduct of research intheir Unit.
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While externally funded research and collaboration with industry is encouraged, secret
research that precludes the disclosure of research results is not permitted. Sponsoredresearch for which the sponsor requires a delay in publication in excess of six months
may constitute “secret” research. The research conducted at the University must be
intended for public dissemination.
Research at the University may not be conducted for the economic benefit of any
particular company or other commercial entity. Commercially sponsored research has
the potential to generate significant Conflicts of Interest [Link: 22], which must be
disclosed and carefully evaluated.
In case conducting collaborative research with academia, such research shall be
conducted in accordance with OIST Graduate University Joint Research Regulations.
[Link]
It is prohibited by law to use the subsidy for operations of the University for purposes
other than University’s business.
4.2 Research Appointments
4.2.1 The RSAC (Research Staff Appointment Committee)
The RSAC, which consists of the DFA (chair), the Provost, the Chair of the Faculty
Assembly, and member(s) appointed by the DFA, reviews the appointments of nonfaculty research staff. This includes appointment changes to Staff Scientist andSenior Staff Scientist positions.
The RSAC also reviews the requests for appointment change from fixed term tocontinuing term (non-fixed term) through Continuing Appointment Review (CAR).
The RSAC additionally conducts performance reviews of continuing appointment
staff in conjunction with the research unit review schedule.
These requests are expected to originate from the Faculty supervisors of applicants.
Details about review procedures, dossier submission, and evaluation factors aredescribed in the RSAC handbook. [Link to RSAC Handbook and RSAC Terms ofReference]
The RSAC is consulted, when requested by the DFA, regarding the appointment of
Postdoctoral Scholars, Science and Technology Associates (STA), and the transfer of
research staff to the Dean’s Research Group.
4.2.2 Faculty
Faculty appointments are described in Chapter 3, “Faculty Handbook.”
4.2.3 Senior Staff Scientists (*Note: This is to replace Group Leader andResearch Specialist)
Senior Staff Scientists belong to a Research Unit and manage and/or supervise a2
ch04_research-activities_en_20240502_clresearch team under the overall guidance of the Faculty. These positions are forresearch scientists who have significant research management or supervisory
experience. Senior Staff Scientists do not receive independent resources; however,they are expected to perform independent research, to take responsibility for projects,
and to achieve leadership recognition internally and externally for their original
research and service in the field.
The fundamental definition of a Senior Staff Scientist at the University is as follows:a. Typically, the appointee has more than 10 years of post-Ph.D. researchexperience and at least 2 years of research management or supervisory
experience.
b. The appointment is fixed term and requires the approval of the Dean of Faculty
Affairs. Initial appointment is typically 2 years and shall not exceed 3 years.
Approval of the Dean of Faculty Affairs is required to make an initial appointment
for less than 2 years.
c. Under extraordinary circumstances, a 4th or 5th year renewal is allowed for a
Senior Staff Scientist hired from outside OIST. The renewal is to be initiated by
the Faculty member and the Senior Staff Scientist and must be approved by the
Dean of Faculty Affairs. Total appointment period cannot exceed 5 years.
d. Extension of appointment beyond 5 years is only possible under extraordinary
circumstances and requires approval by the Dean of Faculty Affairs.
e. The appointment involves full-time research and scholarship.
f. The appointee works under the guidance of a faculty member.
g. The appointee is expected to publish the results of their research.
h. The appointee may be involved with the pre-thesis and thesis work of students
and mentoring of Postdoctoral Scholars and Staff Scientists working in the
Research Unit of their Faculty supervisor.
4.2.3.1 Notice of contract termination
Faculty supervisors and their Senor Staff Scientists should discuss contract
renewal or termination 6 months prior to the contract end date. Usually contract
renewal or termination must be finalized 3 months prior to the contract end date.
4.2.3.2 Total period of fixed-term appointment
When there was an appointment change from Staff Scientist to Senior Staff
Scientist, under no circumstances should the total period of fixed-term
employment exceed 10 years unless they have passed a Continuing Appointment
Review. Ten years are counted from the first fixed term (non-continuing) contract
start date on or after April 1, 2013, or a contract extension executed on or after
April 1, 2013.
4.2.3.3 Contract change from fixed term to continuing appointment(non-fixed term)
Continuing appointments have non-fixed term contracts ending at retirement,
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ch04_research-activities_en_20240502_clapart from the termination clause in the contract. As a rule, research staff should
not be awarded a fixed-term contract that brings them past the 10-year
employment mark or a continuing (non-fixed term) contract unless they havepassed a Continuing Appointment Review.
4.2.4 Staff Scientists
Staff Scientists belong to a Research Unit. Staff Scientists do not receive independent
resources, although they are expected to be capable of working independently and tohave sophisticated skills and knowledge essential to the research. Staff Scientists
should be capable of designing experiments independently but do not have theresponsibility of initiating new research programs. The fundamental definition of a
Staff Scientist at the University is as follows:a. Typically, the appointee should have more than 5 years of post-Ph.D. researchexperience and is expected to demonstrate capability to conduct independent
research.
b. The appointment is fixed term and requires the approval of the Dean of Faculty
Affairs. Initial appointment is typically 2 years and shall not exceed 3 years.
Approval of the Dean of Faculty Affairs is required to make an initial appointment
for less than 2 years.
c. Under extraordinary circumstances, 4th or 5th year renewal is allowed for a Staff
Scientist hired outside OIST. The renewal is to be initiated by the Faculty member
and the Staff Scientist and must be approved by the Dean of Faculty Affairs. Total
appointment period cannot exceed 5 years.
d. Extension of appointment beyond 5 years is only possible under extraordinary
circumstances and requires approval by the Dean of Faculty Affairs.
e. The appointment involves full-time research and scholarship.
f. The appointee works under the supervision of a faculty member.
g. The appointee is expected to publish the results of their research.
h. The appointee may be involved with the pre-thesis and thesis work of students
and mentoring of Postdoctoral Scholars working in the Research Unit of their
Faculty supervisor.
4.2.4.1 Notice of contract termination
Faculty supervisors and their Staff Scientists should discuss contract renewal or
termination 6 months prior to the contract end date. Usually contract renewal or
termination must be finalized 3 months prior to the contract end date.
4.2.4.2 Total period of fixed-term appointment
When there was an appointment change from Postdoctoral Scholar to Staff
Scientist, under no circumstances should the total period of fixed-term
employment exceed 10 years unless they have passed a Continuing Appointment
Review. Ten years are counted from the first fixed term (non-continuing) contract
start date on or after April 1, 2013, or a contract extension executed on or after
April 1, 2013.
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ch04_research-activities_en_20240502_cl4.2.4.3 Appointment change to a Senior Staff Scientist
In exceptional cases, Staff Scientists with fixed-term and continuing contracts may
be recommended for a Senior Staff Scientist position. This appointment change is
expected to be rare, and the majority of Staff Scientists are expected to leave OIST
for positions elsewhere.
4.2.4.4 Contract change from fixed term to continuing appointment(non-fixed term)
Continuing appointments have non-fixed term contracts ending at retirement age
apart from the termination clause in the contract. As a rule, research staff should
not be awarded a fixed-term contract that brings them past the 10-year
employment mark or a non-fixed term contract unless they have passed aContinuing Appointment Review.
4.2.5 Postdoctoral Scholars
A Postdoctoral Scholar is an individual who belongs to a Research Unit, recently
graduated with a doctoral degree, and is engaged in a temporary period of mentoredresearch and scholarly training for the purpose of acquiring the professional skills
needed to pursue an independent research career of their own choosing.
The fundamental definition of a Postdoctoral Scholar at the University is as follows:a. Typically, the appointee has been awarded a Ph.D. or equivalent doctorate (e.g.,
D.Sc., M.D.) in an appropriate field within the past 5 years.
b. Appointment to a postdoctoral position at OIST is not permitted for OIST Ph.D.
graduates for a period of 2 years from the date of degree conferral.
c. The appointment is fixed term and requires approval of the Dean of Faculty
Affairs. Initial appointment is typically 2 years and shall not exceed 3 years.
Approval of the Dean of Faculty Affairs is required to make an initial appointment
for less than 2 years. However, a 4th or 5th-year renewal is to be initiated by thefaculty member and the Postdoctoral Scholar and must be approved by the Deanof Faculty Affairs. Total appointment period cannot exceed 5 years; however, withthe approval of the Dean of Faculty Affairs, an extension of up to one year may be
granted as an exception if any of the following reasons apply.
i.
ii.
iii.

Termination of the appointment may affect the results of OIST research.
The appointee has domestic reasons such as child delivery, illness of theappointee, or his/her family members.
The appointee has other reasons which the Dean of Faculty Affairs deems
necessary.

d. The appointment involves full-time research and scholarship.
e. The appointee works under the supervision of a faculty member.
f. The appointee is expected to publish the results of their research.
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g. The appointee may be involved with the pre-thesis and thesis work of students
working in the Research Unit of their Faculty supervisor.
h. The appointment is viewed as preparatory for an independent, full-time career.
4.2.5.1 Postdoc development
Postdoctoral Scholars are responsible for their professional and careerdevelopment and therefore are allowed 12 hours per year to pursue activities that
prepare them for a career of their own choosing. In addition, the creation of an
Individual Development Plan (IDP) is highly recommended to establish clear
career goals and to monitor training progress. The IDP form is to be reviewed by
the faculty supervisor and/or postdoctoral mentor(s) at least annually and cannot
be used to evaluate postdoctoral performance.
4.2.5.2 Notice of contract termination
Faculty supervisors and their Postdoctoral Scholars should discuss contract
renewal or termination 6 months prior to the contract end date. Usually contract
renewal or termination must be finalized 3 months prior to the contract end date.
4.2.5.3 Appointment change to a Staff Scientist
Exceptional Postdoctoral Scholars may be appointed to a Staff Scientist position if
they have been employed by OIST for at least 1 year as a Postdoctoral Scholar andnormally have at least 5 years of experience since graduating with a Ph.D.
4.2.5.4 Interdisciplinary Postdoctoral Scholars Fellowship
An Interdisciplinary Postdoctoral Scholar is engaged in a period of mentoredinterdisciplinary research and scholarly training to acquire the professional skills
needed to pursue an independent research career of their choosing. These
individuals are selected by a committee to receive this distinction and are expected
to be especially successful in research and have very high academic potential. This
category of postdoc has been created to enable OIST to attract the very highest
quality of young interdisciplinary researchers. Interdisciplinary postdocs will
receive, in addition to their title, a special allowance and a discretionary researchbudget. The use of this budget must comply with OIST regulations that dictate
allowable expenses. Interdisciplinary postdocs can select two units to research in.
These positions are part of the OIST postdoc PEREX pool. The fundamental
definition of an Interdisciplinary Postdoctoral Scholar at OIST is as follows:a. The Fellow has been awarded a Ph.D. in an appropriate field within the past 5
years.
b. The Fellowship is a fixed-term contract. The initial contract is 2 years and it
may be extended for an additional year upon approval by the DFA.
c. The Fellowship involves full-time research and scholarship at units of theFellow’s choosing.
d. The Fellow works under the supervision of faculty members.
e. The Fellow is expected to publish (or at least submit for publication) the results
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of their research during the Fellowship period.
Details of the selection committee, process, program administration, and otherfellowship particulars can be found on the website.
4.2.6 Research Unit Technicians
A Research Unit Technician is an individual who belongs to a Research Unit andprovides technical assistance for the research programs of the Research Unit, under
direct instructions from the Unit head or from appropriate researchers of the Unit as
designated by the Unit head.
The fundamental definition of a Research Unit Technician at the University is asfollows:
a. Definitions for Research Unit Technicians are described in “Guidelines for Title
and Job Class” [To be developed].
b. Appointment to a Research Unit Technician position at OIST is not permitted for
OIST Ph.D. graduates for a period of 2 years from the date of degree conferral.
c. The appointment is fixed term and requires approval of the Dean of Faculty
Affairs. Initial appointment is typically 2 years and shall not exceed 3 years.
Approval of the Dean of Faculty Affairs is required to make an initial appointment
for less than 2 years.
d. These positions are for individuals with the technical or engineering expertise
required to conduct research programs in the Research Unit.
e. The appointee works under the supervision of a faculty member.
4.2.6.1 Notice of contract termination
Faculty supervisors and their Research Unit Technicians should discuss contract
renewal or termination 6 months prior to the contract end date. Usually contract
renewal or termination must be finalized 3 months prior to the contract end date.
4.2.6.2 Total period of fixed-term appointment
Under no circumstances should the total period of fixed-term employment exceed
10 years unless they have passed a Continuing Appointment Review. Ten years arecounted from the first fixed term (non-continuing) contract start date on or after
April 1, 2013, or a contract extension executed on or after April 1, 2013.
4.2.6.3 Contract change from fixed term to continuing appointment(non-fixed term)
Continuing appointments have non-fixed term contracts ending at retirement age
apart from the termination clause in the contract.
4.2.6.4 Annual performance evaluations
Annual performance evaluations of the Research Unit Technicians will be done bytheir supervising Faculty.

7ch04_research-activities_en_20240502_cl4.2.7 Dean’s Research GroupThe Dean’s Research Group carries out research under the guidance of the Dean ofFaculty Affairs, and is used in exceptional circumstances when, for example, there
are research staff whose supervisor is no longer capable of supervising them (e.g. ison extended leave) and where there is no alternative unit or support service which
can accommodate them. Appointment is by the Dean of Faculty Affairs uponrecommendation of the RSAC.
4.3 Research Support Appointments
4.3.1 Research Support Leaders
Definitions for Research Support Leaders are described in “Guidelines for Title and
Job Class”.
4.3.2 Research Support Specialists
Definitions for Research Support Specialists are described in “Guidelines for Title
and Job Class”.
4.3.3 Research Support Technicians
Definitions for Research Support Technicians are described in “Guidelines for Title
and Job Class”.
4.4 Research Fellows
4.4.1 Research Fellows
Research Fellows are researchers who study in the University as their main researchbase (even though those who do not have employment relationship with the
University) and be engaged in a temporary period of mentored research andscholarly training at the University. They are excellent researchers (those who arematriculated as student at the University are excluded) who are awarded Research
Fellowship for Young Scientists by Japan Society for the Promotion of Science (JSPS)or receive other fellowship, stipend and/or research grant from research funding
agencies located in or outside of Japan.
4.4.2 Acceptance of Research Fellows
Those who want to be engaged in research at the University as Research Fellows shallapply for acceptance in such capacity to the Dean of Faculty Affairs after the approvalof the Faculty member who will act as their supervisor. The Dean of Faculty Affairs
shall allow their acceptance if it is not deemed to be an obstacle to the education andresearch of the University.
4.4.3 Duration of an Acceptance of Research Fellows
In principle, the duration of an acceptance as a Research Fellows at the University
shall be established on the basis of the duration of the fellowship, stipend and/or
research grant awarded by his/her respective agency. In the event that the
supporting research funding agency cancels the decision to award or its fellowshipor disqualify his/her from fellowship, the Dean of Faculty Affairs may
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ch04_research-activities_en_20240502_clcancel/terminate the acceptance of the individual as a Research Fellow at the
University.
4.4.4 Performance of Research Fellows
Research Fellows perform or are expected to perform following activities at the
University:a. Research Fellows work under the supervision of a faculty member.
b. Research Fellows are expected to publish, and may be supported towards the
publication of the results of their research during the training period.
c. Research Fellows may be involved with the pre-thesis and thesis work of students
working in the Research Unit of their supervising Faculty member.
4.4.5 ComplianceIn the same manner as employees of the University, Research Fellows must comply
with Japanese laws and regulations as well as OIST’s policies, rules and procedures.
If Research Fellows perform the acts indicated as the Reasons for Discipline for
Employees of the University [Link: 38.1], the Dean of Faculty Affairs may cancel theacceptance of the relevant Research Fellows.
4.4.6 Handling of intellectual property created by Research Fellows
Regulations of Chapter 14 of the PRP shall be applied for the handling of intellectual
property created by the researches in which Research Fellows engage.
4.4.7 Treatment and regulations of Research Fellows
Treatment and other detailed regulations of research Fellows are described in“Guideline for Treatment and other Regulations of Research Fellows” [Link].
4.4.8 Miscellaneous
Other details shall be separately determined by the Dean of Faculty Affairs.
4.5 OIST Researcher Community (ORC)
4.5.1 Role of the ORC
The ORC represents all Postdoctoral Scholars, Staff Scientists, Research Unit
Technicians, and Research Fellows at OIST. It provides them with information about
university matters, collects their opinions and suggestions, and provides feedback to
the University. The ORC champions diversity and welcomes/encourages
participation in its Office, Advisory Groups, and various Committees of members
representing different gender identities, cultures, religions, employee statuses,
scientific disciplines, etc.
4.5.2 Membership and Officers
The membership of the ORC includes all Postdoctoral Scholars, Staff Scientists,
Research Unit Technicians, and Research Fellows who have OIST as their primaryaffiliation. The ORC elects two Researcher Representatives and one alternate, a
Chairperson, and a Secretary. Elections will be held at least every two years by secret9ch04_research-activities_en_20240502_clballot, as often as the Chairperson deems necessary. Officers can be removed fromtheir position by a written petition signed by a majority of the members of the ORC.
4.5.3 Meetings
The ORC will hold meetings as necessary and at least quarterly. Each unit isencouraged to have at least one member attend the meetings to encourageinteraction, communication, and collaboration at OIST. Decisions of the ORC will bemade by majority vote with each attending member having a single vote. At thediscretion of the Chairperson, Executives or Faculty Members may be invited toattend for specific items on the agenda and may be invited to stay for the rest of themeeting.
4.5.4 Chairperson and Secretary
The Chairperson leads the ORC and moderates the discussion in the ORC meetings.
The Chairperson and a Secretary schedule the meetings for the ORC. The Secretary
prepares the agenda and records notes of the proceedings. In the absence of the
Chairperson or Secretary, the Researcher Representatives assume these roles.
4.5.5 Researcher Representatives and Researcher Representative
Alternate
The Researcher Representatives and Researcher Representative Alternate bringfeedback to, or initiate discussion with, the Faculty Assembly and members of the
Executive as appropriate. They may submit topics for consideration to the Chair of
the Faculty Assembly, based on discussions of the ORC.
4.5.6 Advisory Groups and Assistants
The Chairperson may organize ad hoc or standing Advisory Groups to assist the
Researcher Representatives for specific tasks or issues of importance to the ORC.
The Chairperson may appoint Assistants as necessary to manage the administrationof the ORC.
4.6 The Science and Technology Group (STG)
To achieve its goals, the University needs to be able to respond flexibly to opportunities
to extend and complement its research portfolio and to pursue activities in support of
the wider development of Okinawa. The STG provides a focus for these activities andcontributes to the research capabilities of the University in many ways. It enables newscientific or technical directions to be supported where a full research unit is notwarranted, as well as providing skilled leadership for technical support services, ordevelops scientific, technical, industrial, educational or cultural collaborations withlocal and international institutions.
4.6.1 Science and Technology Associates (STA)
STA work in the STG on projects that extend and complement the University’s
research portfolio and that support the wider development of Okinawa. These
positions cover a wide range of skills and are used flexibly to enhance the capabilities
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of the University.
STAs require special research skills and subject knowledge in a relevant scientific,
technical, industrial, educational, or cultural discipline. There are three STA levels,
dependent upon qualifications and experience, with each level requiring increasing
professional achievement. Definitions for STAs are described in “Guidelines for Title
and Job Class”.
STAs may conduct their own research or may be affiliated with a research unit andallocated resources. With the agreement of the Dean of Faculty Affairs, STAs may
apply for external grants as a Principal Investigators.
Where there is an affiliation with a research unit, the STA’s research evaluation will
normally be included in the unit review or tenure review of the Principal Investigator
who leads the unit based on on-site review by external reviewers. For such STAs, theexternal expert peer reviews are not conducted independently and the 1st and the 2nd
external expert peer reviews stipulated in 4.6.1.1 are replaced with such unit review
or tenure review, followed by the recommendations stipulated in 4.6.1.3 and 4.6.1.4;
provided, however, such recommendations will include the STA’s contract and/or
promotion (if applicable), but not research funding as the STA’s budget is includedin the unit budget.
4.6.1.1 Criteria for External Expert Peer Review
Appointment and research evaluation of STAs is based on external expert peer
reviews. Ideally the first review will be conducted before the end of Year 4, and thesecond review before the end of Year 8 if another non-continuing appointment isoffered by the first review. Details of peer review procedures are defined by the
Dean of Faculty Affairs [Link: Review Handbook for Science and Technology
Associates]. Review criteria include following:
1. Quality and significance of the research or research-equivalent activity.
2. Scientific, technical, industrial, educational or cultural importance and interestof the work.
3. Demonstrated effective utilization of research resources.
4. Contribution to development of external partnerships with academic
institutions, industries, or other international and local institutions.
5. Proposed future work.
4.6.1.2 “Stop-the-Clock” policy for STAs
STAs may request contract extensions and postponement of reviews toaccommodate 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
11ch04_research-activities_en_20240502_clextension of the review start date does not alter the STA’s normal duties.
The Stop-the-Clock application form must be submitted to the Dean of Faculty
Affairs before the review process begins (i.e., by the due date for submission ofmaterials for review evaluation). Upon approval of the application form by the
Dean of Faculty Affairs and the President, the following actions will be taken.
1. The review date will be postponed by up to one year.
2. Employment of the candidate will be continued for one more year, subject to4.6.1 5).
3. Research funding will be extended by up to one year.
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).
4.6.1.3 Process after the 1st review
a. Initial appointment of an STA is usually a non-continuing appointment up
to five years. Based on the result of the 1st external expert peer review describedin 4.6.1.1 and anticipated future contributions to the University, the RSAC will
make recommendations to the President about the STA’s contract and researchfunding. The recommendations include:
1. Offer of another contract as a non-continuing appointment, researchfunding up to five years, and/or promotion (if applicable); or
2. Termination of appointment of a non-continuing STA at the end of theircurrent contract period, or one year from notification of the decision,
whichever is later, subject to the limitation in 4.6.1.5.
b. In special circumstances, prior to when the above recommendations in 4.6.1.3(a) are made, the Dean of Faculty Affairs can decide to propose a continuing
appointment to the RSAC by considering the outcome of the 1st external expert
peer review described in 4.6.1.1 and anticipated future contributions to the
University. Procedures with the RSAC are described in 4.6.1.4 (b).
The President will render a decision based on the recommendations above and will
inform the STA of the result.
4.6.1.4 Process after the 2nd review (Change to continuing
appointment)
The Dean of Faculty Affairs will decide whether to propose a change from noncontinuing to continuing appointment to the RSAC by considering the outcome of
the 2nd external expert peer review described in 4.6.1.1 and anticipated future12
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contributions to the University.
a. If the Dean of Faculty Affairs decides not to propose a continuing appointment,
the Dean of Faculty Affairs recommends that the President terminate noncontinuing appointment of the STA at the end of their current contract period,or one year from notification of the decision, whichever is later, subject to thelimitation in 4.6.1.5. If the President disagrees with termination of theappointment, he may discuss other outcomes with the STA.
b. If the Dean of Faculty Affairs proposes a continuing-appointment,
documentation will be submitted to the RSAC. This includes the complete
dossier for the external expert peer review, plus a letter from the Dean ofFaculty Affairs making the case that the conditions are satisfied. The RSAC will
use the following criteria to recommend a continuing-appointment, researchfunding, and/or promotion (if applicable) to the President:
1. That the record of achievements during the period under review was“Outstanding” or “Excellent”;
2. That proposed future work is judged to be of high quality, with a good chanceof having a significant impact in that discipline over the next 10-15 years;
3. That there is an identifiable benefit to OIST’s academic reputation.
When the RSAC recommends the continuing appointment and the President
approves the recommendation, the STA can convert from a non-continuing to acontinuing appointment. Continuing STA appointments are based on the
University’s employment contract, which can be renewed under the same terms
and conditions for the same term period until age 65, unless either party raises theissue of termination of the employment contract in accordance with the applicable
Rules of Employment. At the time of conversion to a continuing appointment, or
subsequently after the completion of successful external reviews at 5 year intervals,
the salary may be negotiatedIf the RSAC does not recommend a continuing appointment, the STA’s
appointment will terminate at the end of their current contract period, or one year
from notification of the decision, whichever is later, subject to the limitation in
4.6.1.5.
4.6.1.5 Total period of non-continuing appointment
Under no circumstances, should the total period of non-continuing appointment
exceed 10 years counting from the fixed term (non-continuing) contract start dateor a contract extension executed on or after April 1, 2013.
4.6.1.6 STAs with continuing appointments
STAs with continuing appointments will be evaluated by external peer review andwill be reviewed for research funding, promotion, and salary adjustments (ifapplicable) by the RSAC at least every five years. If the RSAC recommends
13
ch04_research-activities_en_20240502_clpromotion, the Dean of Faculty Affairs will forward the RSAC’s recommendation
to the President for a final decision.
Continuing STAs will still be able to raise external funding in addition to researchfunding provided by the University or to replace OIST funding if the University’s
research funding is discontinued after a negative external review. Should the STA’s
achievements warrant, with approval of the Dean of Faculty Affairs, the STA may
apply for timely external peer review in order to restart OIST subsidy funding after
it has been discontinued. Based on the outcome of the external peer review, thePresident will
1. Approve restarting research funding for up to five years, or
2. Disapprove restarting research funding.
4.6.2 STA Annual Performance Appraisal and Salary Increase
STAs will meet annually with the Dean of Faculty Affairs to discuss their performance
during the previous fiscal year, and to provide them with mentoring, as necessary.
Details are described in the Guidelines for the STA Annual Performance Appraisal.
This is an opportunity to appraise the STAs’ performance, including research,
university service, grants received (especially external grants), and othercontributions. It is also an opportunity for them to obtain help and feedback,especially to set objectives for the subsequent year and to develop a plan of action to
improve performance, if necessary.
If the performance is “Satisfactory”, STAs may be eligible for a salary increase,depending on OIST’s budgetary status. STA’s research performance will be evaluatedseparately, as described in PRP 4.6.1.1, “Criteria for external expert peer review”.
4.6.3 The Science and Technology Group (STG) Forum
4.6.3.1 The Role of the STG ForumThe STG Forum provides an opportunity for the members of the STG to discuss
the development of the STG, and it provides them with information about
university matters, collects their opinions and suggestions to provide feedback to
the University, identifies and discusses common issues, and allows them to shareresearch results.
4.6.3.2 Membership and Officers
All STAs are members of the STG Forum. One member will be elected as the Chairof the Forum. The STG Forum will also elect the STG Representative to the Faculty
Assembly.
4.6.3.3 Meetings
The Forum will meet at least twice in each academic year. Forum meetings areattended by the Dean of Faculty Affairs, the Dean of Research, the STG Research
Unit Administrator (who acts as the forum secretary), the Executive Assistant to
the Dean of Faculty Affairs, and the HR Assistant to the Dean of Faculty Affairs as
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ch04_research-activities_en_20240502_clnecessary. The President has a standing invitations to attend.
The Dean of Faculty Affairs reports on the STG Forum to the Faculty Council, andpresents the STG Annual Report to the Faculty Assembly.
4.7 External Researchers
In enhancing OIST research through collaboration and exchange, OIST invites
researchers from other Universities or research entities to conduct research with OIST
researchers. This collaboration arrangement is normally requested by faculty, andapproved by the Dean of Faculty Affairs. The collaboration regularly entails access to
OIST facilities and resources, which must be appropriately requested and authorized
as part of the approval process. The categories are as defined below, with application
and approval procedures managed through the Faculty Affairs Office, with additional
approvals made by relevant resource managers. Please see theFaculty Affairs Officewebpage for details of the application and approval process for external researchers.
4.7.1
Visiting Researchers
This research takes place under the terms of an external researcher agreement, withthe sponsorship of an OIST faculty member. Agreements are valid for up to one
calendar year, extensions beyond the initial agreement term require a repeat of theapproval process prior to the expiry of the original agreement.
4.7.2 Visiting Fellows
This research takes place under the terms of an external researcher agreement, withthe sponsorship of an OIST faculty member. Agreements are valid for up to one
calendar year, extensions beyond the initial agreement term require a repeat of theapproval process prior to the expiry of the original agreement. Note that fellows
employed under formal awards from foundations made with OIST (i.e. where OISTis the host institution), are classified as “Fellows” and are managed separately.
4.7.3 Collaborating Researchers
This research takes place under the terms of both an external researcher agreement
and an over-arching inter-institutional agreement, along with the sponsorship of an
OIST faculty member. Invitations are valid for up to one calendar year, extensions
beyond the initial agreement term require a repeat of the approval process prior to
the expiry of the original agreement.
4.7.4 Research Consultants
This research takes place under the umbrella of an external researcher agreement,with the sponsorship of an OIST faculty member. Agreements are valid for up to one
calendar year, extensions beyond the initial agreement term require a repeat of theapproval process prior to the expiry of the original agreement.
4.7.5 Guest Researchers
Guest Researchers must sign a simple guest researcher agreement, binding them toconform to OIST policy and other legal and contractual requirements.
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ch04_research-activities_en_20240502_cl4.7.6 Visiting Scholars
Visiting Scholars are invited under the programs sponsored by OIST. These
programs aim to foster a vibrant scientific culture and promote collaboration with
Visiting Scholars. Visiting Scholars are expected to actively contribute to the research
environment at OIST and to its research output. Details are defined in the Program
Overviews:[Link to Visiting Program Overview]
4.8 Mentor
The University provides mentors who give appropriate assistance and advice to juniorresearchers so that they can perform research activities responsibly and autonomously.
Researchers (including Research Fellows) who belong to a research unit and membersof the STG are basically mentored by faculty members who are responsible for the
research unit and the Dean of the Faculty Affairs, respectively. Junior faculty members
are mentored by senior faculty members, and the assignments appointments are madeby the Dean for the Faculty Affairs. Students are mentored by academic mentors [Link:
5.3.10].
4.9 Responsibilities for Research Staff and Student
Faculty members are not only scientific mentors for research staff and students but arealso leaders in the workplace. They should make sure that the Policy on a Respectful
Workplace is observed within their units. Each faculty member should provide an
opportunity for their unit members to clearly understand this Policy. Assessing theknowledge of these policies and inviting constructive input regarding these policies
should be part of each unit members’ annual performance appraisal.
4.10 Organizations for Supporting Research
4.10.1 Advisory Committees
The offices of the Secretary General and Provost support the organization of thefollowing committees, which send recommendations to the Secretary General or
Provost who oversees concerning research related matters.
4.10.1.1 Safety and Health Committee
See Rules for Safety and Health Committee [Link: 13.2.1]
4.10.1.2 Radiation Safety Committee
See Rules for Radiation Safety Committee [Link: 13.3.10]
4.10.1.3 Biosafety Committee
See Rules for Biosafety & Recombinant DNA Committee [Link: 13.3.7/8]
4.10.1.4 Animal Care and Use Committee
See Rules for Animal Care and Use Committee [Link: 13.3.9]
16ch04_research-activities_en_20240502_cl4.10.1.5 Human Subject Research Review Committee
See Rules for Human Subject Research Review Committee [Link: 13.3.11]
4.10.1.6 Laser Safety Advisory Committee
See Rules for Laser Safety [Link: 13.3.3]
4.10.1.7 Field Work Safety Committee
See Rules for Field Work [Link: 13.3.13]
4.10.2 Core Facilities
The Core Facilities provide services utilizing common research resources to support
OIST approved research and commercial activities. The Core Facilities is comprisedof sections as described in the Description Regarding Responsibilities and Duties[Link] in PRP Chapter 2:
4.11 Research Ethics, Compliance, and Prevention of Conflicts of Interest
Recognizing that scientific research is developed on a foundation of a public trust
mandate, researchers must make honest and sincere decisions, and act accordingly toensure responsible conduct of research. The University promotes responsible conductof research and has established mechanisms to respond appropriately to research
misconduct in line with the Code of Conduct for Scientists (2013, Science Council ofJapan) and the Guidelines for Providing an Appropriate Response to Misconduct in
Research Activities (2014, Decision by the Minister of Education, Culture, Sports,
Science, and Technology).
Experiments in certain categories are required to be reviewed by the relevant Advisory
Committee and then approved by the Provost before commencement. Further, somematerials and equipment are subject to regulatory controls (including administrative
guidelines) for acquisition, handling, storage, record-keeping, disposal, andinstallation. Activities involving controlled items must comply with relevant statutes,
regulations and guidelines. Researchers have the right to engage in consulting andother activities with external partners, subject to the University’s policy on Conflicts ofInterest and Commitment as defined in Chapter 22.
4.11.1 Mechanisms for the Responsible Conduct of Research
4.11.1.1 Research Ethics Chief Administrative Officer
The President has the ultimate responsibility for ensuring responsible research
conduct at the University as the Research Ethics Chief Administrative Officer. The
Research Ethics Chief Administrative Officer eliminates those factors that may
foster wrongful research conduct, and establishes an environment and processes
that ensure and encourage responsible conduct of research by implementing
adequate misconduct-prevention functions. Further, if any misconduct occurs, theResearch Ethics Chief Administrative Officer provides the necessary measures
impartially and appropriately.
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ch04_research-activities_en_20240502_cl4.11.1.2 Research Ethics Education Officer
The Provost administers the promotion of the research ethics education provided
at the University as the Research Ethics Education Officer and provides regularresearch ethics education to the personnel involved in research activities.
4.11.2 Research Ethics Education
All researchers, research support employees, and students of the University
including faculty, postdoctoral scholars, staff scientists, technicians, Research
Fellows and science and technology associates must receive research ethics
education [link: https://groups.oist.jp/rs/responsible-conduct-research-0] at least
once every 5 years. Staff in other divisions are also highly encouraged to receive theresearch ethics education. When non-OIST researchers or students temporarily
engage in research activities at the University for collaborative research, internshipprograms, or other reasons, the research units or sections that accept these nonOIST personnel encourage them to receive the research ethics education. The Officeof Dean of Faculty Affairs supports the Provost in the preparation of the research
ethics education materials and the management of attendance records.
4.11.3 Management of Research Data and Laboratory Notebooks
Research data are valuable not only for the researcher who obtained them but also
for the science community at large. All researchers are asked to preserve data in asecure, identifiable way with appropriate backup methods, and disclose these whennecessary. Any research results at the University, including laboratory notebooks
and electronic data files, are in general deemed as property of the University. It is the
responsibility of each researcher to ensure that all of their research is properly
documented in accordance with best practice in the field of study. This responsibility
includes the safe keeping of research data and where appropriate lab note books, forfuture examination. Faculty should provide clear guidance to all researchers in their
Unit on the form that this research record should take. The fabrication or falsificationof data, and the plagiarism are not tolerated. The dissemination of research data on
public databases is encouraged, while the best care must be taken to protect theprivacy of human subjects data. When research staff leaves a research unit, anagreement should be made with the faculty regarding what data can be moved. Whena faculty member or research staff leaves the University, while the ownership of theresearch data remains with the University, the Dean of Faculty Affairs can authorize
a proper data transfer arrangement to ensure that the on-going research is nothindered.
See the “OIST Guidelines on Archival and Disclosure of Research Data, Laboratory
Notebooks, Research Specimens and Chemicals” for details.
4.11.4 Management of Research Materials
Research materials used in research, such as genetic samples and living modified
organisms (LMOs), are valuable resources for the science community at large. Manyjournals and funding agencies require such materials to be made publicly available
18
ch04_research-activities_en_20240502_clafter publication. Appropriate conditions, such as extremely low temperatures, must
be maintained for the preservation of research samples/materials and one must takeproper procedures when transferring them so that she/he can respond to such
request by other researchers. Research samples and materials must be preserved forat least five years from the date they were generated, published, or presented at aconference. When providing or accepting research materials, a material transfer
agreement (MTA) is required between the parties. When a researcher moves toanother institution, an agreement is required beforehand concerning the division ofmaterials.
See the “OIST Guidelines on Archival and Disclosure of Research Data, Laboratory
Notebooks, Research Specimens and Chemicals” for details.
4.11.5 Research Protocols
Faculty members need to ensure that research protocols in certain categories (suchas the research involving radioisotopes, recombinant DNA, pathogens, toxins,
animal or human subjects) are approved by the relevant Advisory Committee before
commencement of the research and that approved protocols are followed by all
research unit members. For specific research protocols that require approval, see
Chapter 13 “Safety, Health & Environmental Protection”.
4.11.6 Publication of Research Results
The results of research conducted at the University are required to be made public
as soon as possible in the form of journal articles, presentation at a conference orsimilarly appropriate venues (PRP 1.3.1, Openness in Research). While publishingresearch results, faculty members and researchers must ensure that there are no
violations, such as fabrications, falsifications, plagiarism, duplicate submissions,inappropriate authorship, or the use of copyrighted materials without gaining
permission or giving credit.
The Okinawa Institute of Science and Technology Graduate University Institutional
Repository (hereinafter referred to as “OISTIR”) serves as the platform for publicaccess to the intellectual output of the University. Publications and other research
results should be deposited in the OISTIR, except in rare circumstances approved by
the Library Director. Those who deposit materials in the OISTIR should follow the
Okinawa Institute of Science and Technology Graduate University Institutional
Repository Operational Guidelines to maintain an open-access environment.
Publications in open access journals are encouraged and may receive support fromthe central budget.
4.11.7 Export and Import ComplianceJapan, like most nations, imposes controls and duties on the import and export ofmany goods, including materials and equipment used in basic research of the typeconducted at the University. Transfer of technology including intellectual property
such as software, production know- how, and even User Manuals, whether physical,
digital or verbal, is also subject to regulation and control in alignment with nationallaws, relevant United Nations resolutions, and import/export regulations. Various
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ch04_research-activities_en_20240502_cluniversity activities such as student admissions, faculty and staff recruitment, joint
research endeavors, and international exchanges, including the acceptance of
researchers and interns from overseas, may also fall under the purview of export
controls. The government also controls, and may require licenses for, the importingof a variety of items, devices, substances, information and speciments, including
living organisms and genetically modified organisms. Goods approved for import
may also be subject to fees/taxes (sometimes referred to as “duties”) and periodical
report to the authority, although items used in university-based research may be
eligible for an exemption from duties. Great care must be exercised not to violate
national laws and regulations and relevant United Nations resolutions, intentionallyor unintentionally. The Security Export Control Officer should be consulted toensure full compliance with these regulations.
Refer to the government’s Security Trade Control website, the Foreign Exchange andForeign Trade Act, relevant United Nations resolutions and OIST Rules Security
Export Control.
4.11.8 Conflicts of Interest and Commitment
Faculty members must disclose any situation that could lead to any real or apparent
conflicts of interest as detailed in Chapter 22 “Avoiding Conflicts of Interest andCommitment”.
4.12 Health, Safety, and Environmental Protection
All researchers conducting research activities must do so under the relevant health,safety, and environmental protection regulations. For health, safety and environmental
protection information, researchers are required to fully understand and observe
Chapter 13 “Safety, Health & Environmental Protection”.
Each faculty member is responsible for training the members of their team in theappropriate health and safety procedures for that particular research area and for the
management of those procedures in their laboratory or other workplace. Faculty
members are also responsible for the safety of the laboratory facilities and equipment
and are required to cooperate with investigations and inspections by University
personnel or external agencies.
4.13 Intellectual Property
Intellectual property may be a source of revenue to support the education and research
mission of the University [Link: 14]. In recognition of this, the University requires
disclosure to the University when information and developments derived fromresearch may be of broader benefit or/and have commercial value. The Technology
Licensing Section provides support in identifying and evaluating potential intellectual
property, manages the preparation of patent applications, and monitors the effective
use of such properties.
Nondisclosure and Confidentiality Agreements raise significant concerns as the termsof such agreements may conflict with the University’s Openness in Research Policy. A
contractual commitment to keep information secret can severely restrict the ability of
University faculty to pursue research in the manner they choose and can make it
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ch04_research-activities_en_20240502_cldifficult for the University to protect the ideas and inventions derived from the work of
the faculty and researchers.
It is forbidden to sign or otherwise bind the University to a confidentiality obligation
without first having obtained written approval from the General Counsel. Thoseseeking an in-depth review of this subject relating to the University’s activities, please
see Chapter 14, “Intellectual Property and Technology Transfer”.
4.14 Fiscal Obligations
Faculty members and recipients of external grants are responsible for managing theirfunding properly and efficiently. (See Chapter 26 “Finance and Accounting”)
4.15 Operation and Management of Public Research Grants
4.15.1 Mechanisms for the Operation and Management of Public
Research Grants
4.15.1.1 Public Research Grant Chief Administrative Officer
The President has the ultimate responsibility for the operation and managementof public research grants at the University as the Public Research Grants Chief
Administrative Officer. The Public Research Grants Chief Administrative Officer isrequired to ensure that all factors that may foster misuse relating to the operationand management of public research grants are eliminated through theestablishment of mechanisms that have adequate misuse-prevention functions.
Further, if any misuse occurs, the Public Research Grants Chief Administrative
Officer is required to provide all necessary measures impartially and appropriately.
4.15.1.2 Public Research Grants General Administrative Officer
The Secretary General assists the Public Research Grants Chief Administrative
Officer, and has the authority and responsibility for the operation andmanagement of public research grants as a Public Research Grants General
Administrative Officer at the University. The Public Research Grants General
Administrative Officer develops Misuse Prevention Plan and provides educationand training workshops based on the Misuse Prevention Plan to staff members ina planned and consistent manner.
4.15.1.3 Public Research Grants Compliance Officer
The Provost, the Dean of Faculty Affairs and Vice President for Financial
Management play the following roles as a Public Research Grants Compliance
Officers. Public Research Grants Compliance Officers can assign Public Research
Grants Assistant Compliance Officer(s).
1. Applies misuse prevention measures, confirms the status of theimplementation, and submits periodical reports to the Public Research Grants
General Administrative Officer.
2. Prevent misuse, provides compliance education programs to all persons
engaged in work relating to the use or management of public research grants,
and provides supervision over the attendance and accomplishments.
21
ch04_research-activities_en_20240502_cl3. Monitors the use and management of public research grants by the persons
engaged in such works relating to the use or management of public research
grants and provides instructions for improvements as necessary.
4.15.2 Internal Research Funding
The University’s internal funding for a research unit is allocated each fiscal year
based on a five-year research program confirmed by the President at the time of theinitial appointment and recommended by a review committee at the time of renewal.
Any research equipment approved for a five-year research program should beconsidered common or shared equipment. The Provost along with the Director ofCore Facilities investigate purchases of any research equipment over five million yen
for possible use as common or shared equipment. If there is a need of additional
space allocation for installation of newly purchased equipment, the space request
should be submitted to and approved by the Space Allocation Committee. [Link:
SAC]
4.15.2.1 Common Research Resources
The Core Facilities overseen by the Director of Core Facilities manages thecommon research facilities and equipment and provides services to the research
units.
4.15.2.2 Internal Cost Charging
The Core Facilites may charge research units for the use of common researchequipment and services to promote fair and efficient use.
4.15.3 External Research Funding
While internal research funding is a highly attractive feature for faculty, theUniversity as a whole is expected to gradually depend less on government subsidies
and more on competitive government grants and private funding. It is also important
for the financial freedom of the University to provide flexible support for its research,education, and community building. The Grants Section overseen by the Dean of
Research provides support for researchers to submit competitive research grant
proposals and to spend the budget effectively in compliance with the funding agency
regulations. When submitting grant proposals, requirements for additional space,equipment maintenance costs and the required incremental administrative supportshould be adequately considered.
4.15.3.1 Public Grant Application
Applications for government, prefectural, or international research grants by all
eligible researchers are encouraged. Non-faculty researchers should consult thefaculty before application, so that the pursuit of the grant does not interfere withthe overall goal of the research unit. Any submission that requires additional
laboratory or office space, and does not cover indirect costs or requires matchinginternal funding, requires additional scrutiny. All grant applications must be
approved by the Manager of the Grants Section before submission. If there is a22
ch04_research-activities_en_20240502_clneed of additional space allocation for new activities based on a public grant, thespace request should be submitted to and approved by the Space Allocation
Committee. [Link: SAC]
4.15.3.2 Private Funding and Joint Research
When an opportunity for private research funding or joint research with anindustrial partner emerges, the faculty is required to consult the Business
Development Section for the appropriate contract or agreement. Privately funded
research at the University must be of an academic nature and needs to bedisseminated as a publication or conference presentation (see PRP 1.3.1 Openness
in Research). When conducting privately funded or joint industrial research, thepolicies and requirements regarding Intellectual Property and Technology
Transfer and Avoiding Conflicts of Interest & Security Export Control must be
observed. If there is a need of additional space allocation for new activities basedon private funding or joint research, the space request should be submitted to andapproved by the Space Allocation Committee.
4.15.3.3 Management of External Funds
The use of external grants in general needs to conform to the requirements
described in the University Policies, Rules & Procedures, in the same manner asinternal research funding. Any additional requirements by the funding agency
have to be observed. All grant recipients should be aware that non-compliance withthe rules, both intentionally or mistakenly, can negatively impact the reputation of
the University and can result in extensive sanctions for the offending faculty
member.
4.15.3.4 Implementation of self-motivated research activities by young
researchers employed with competitive research funding
Young researchers who are employed with competitive research funding are
generally required to concentrate on the funded project. However, obtaining
approval from the Dean of Research following the procedures provided below, theresearcher may implement self-motivated research activities.
Necessary procedures to implement the said research activities are provided
separately in “Approval procedures for implementing self-motivated research
activities by young researchers employed with competitive research funding in
OIST School Corporation”.
4.16 External Use of Research Facilities and Services
The University's research facilities and services are primarily for use in research andacademic activities of the University, but when there is some excess capacity in thesefacilities and services, the University is willing to make it available to academic orbusiness users outside the University for effective use of them. This will serve theUniversity very well as we can contribute to the advancement of science and technology
in Okinawa and to the development of an active research community surrounding the
University. Besides, appropriately charging these outside users with fees will23
ch04_research-activities_en_20240502_cl

contribute to the University's operating funds. The Director of Core Facilities manages
the use of the University's research facilities and services by outside users, while
making them continuously available to the University users, appropriately charging
direct and indirect costs to outside users, and ensuring safety, security, and complianceto policies and rules of the University. Details of the use by outside users will be set
forth by the Provost [Link: https://groups.oist.jp/external- use/rules-external-usersresearch-facilities-and-services].
4.17 Reporting and Investigation procedures
For reporting and investigation procedures in the case of any misconduct or suspicion
thereof in research activities and use of research grants, see Chapter 23.
4.18 Contacts
4.18.1 Policy Owner: Provost
4.18.2 Other contacts: Dean of Faculty Affairs, Dean of Research, Director of Core
Facilities

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