OIST Graduate University
Policies, Rules & Procedures

Chapter 42 University Ombudsperson
42.1 Policy
The OIST Graduate University (“the University”) has established an Ombuds Office andappointed a University Ombudsperson to ensure that all faculty, staff, researchers,
students and any other third party related to the university as defined in PRP 1.4.1 (under“Applicability”) (hereinafter: “Visitor/s to the Ombuds Office” ) have a safe environment
in which to voice questions and concerns and to provide constructive alternatives to theexisting channels by which Visitors to the Ombuds Office can assert their rights andinterests and seek resolution of problems and conflicts.
The Ombuds Office welcomes any Visitor with concern to the Office. The Office provides
confidential, neutral, independent and informal assistance to Visitors who have concerns
arising from their work or studies at the University. The University Ombudsperson
adheres to the Code of Ethics, Standards of Practice, and Best Practices of theInternational Ombudsman Association, relevant Japanese laws, and the University
Policies, Rules and Procedures in all matters. All policies, rules and procedures in thischapter are based on these codes and standards, which are fully supported by the
University. Information for users of the Ombudsperson services is available at the
Ombuds Office website <LINK>.
42.2 General Considerations
42.2.1The Ombudsperson provides support for people who want to develop

options for addressing a particular concern.
42.2.2The Ombudsperson supplements, but does not replace, any formal channels.

42.2.3Use of the Ombudsperson is voluntary, and is not a required step in any

grievance process of the University or related University procedure.
42.2.4

Communications with the Ombudsperson are confidential and privileged, tothe extent permitted by relevant law, and subject to the exceptions detailed in theserules.

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Ch42_University Ombudsperson_20230601_en_cl42.2.5

An Associate Ombudsperson may be appointed by the President to serve

Visitors to the Ombuds Office whom the Ombudsperson cannot serve as
Ombudsperson due to actual or perceived conflicts of interest.
42.2.6

An Assistant Ombudsperson may be appointed by the Ombudsperson toassist the Ombudsperson. The Ombudsperson may delegate duties to the AssistantOmbudsperson.
42.2.7The Ombudsperson may appoint an Ombuds Mediator to provide

alternative dispute resolution (ADR), mediation, pre-mediation, and related
Ombudsperson services.
42.2.8All policies, rules and procedures that apply to the Ombudsperson devolveto the Associate, or Assistant Ombudsperson when they perform the duties of the
Ombudsperson and to the Ombuds Mediator when providing mediation or premediation and any related Ombudsperson services.
42.3 Rules
42.3.1

Independence

The Ombuds Office and the Ombudsperson are independent of other University entities
in structure, function and appearance to the highest degree possible within the
University.
42.3.1.1 Ideally, the Ombudsperson holds no other position within the University
which might compromise independence. If possible, the Ombudsperson holds only
one position in the University. If the Ombudsperson holds another position within the
University, the different roles are to be kept as separate and distinct as possible. The
Ombudsperson provides Ombudsperson services in a location that is different fromthe location in which the Ombudsperson, in any other role, works, teaches, counsels,etc., to clarify the distinctions between roles and to assure confidentiality.
42.3.1.2 If possible, staff of the Ombuds Office are separate and distinct fromuniversity support staff in any other role. If a staff member simultaneously holds
another position within the University, the different roles are to be kept as separate
and distinct as possible. The Ombuds Office staff may provide Ombuds services in the
Ombuds Office, or in any other location (including online meetings) that will ensure
the confidentiality and the privacy of the work of the Ombuds Office and will maintainthe distinctions between roles.
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Ch42_University Ombudsperson_20230601_en_cl42.3.1.3 The Ombudsperson exercises sole discretion over whether or how to act
regarding a concern of a Visitor to the Ombuds Office, a trend, or concerns of multiple
Visitors to the Ombuds Office over time.
42.3.1.4 The Ombudsperson may initiate action on a concern identified through the
Ombudsperson’s direct observation.
42.3.1.5 The Ombudsperson has access to all information and all individuals in the
University, to the extent permitted by law. If the Ombudsperson considers that
University

informationisneededtofulfilOmbudsperson

functions,theOmbudsperson may request access to information related to Visitors' concerns andquestions, from files and offices of the University. The University, subject to relevantJapanese laws, and the University Policies, Rules and Procedures, will share suchinformation as may be appropriate. The Ombudsperson will respect theconfidentiality of that information. Where necessary, the Ombudsperson will obtain
authorization from the Visitor to the Ombuds Office to access that information. The
Ombudsperson will not access information protected as personal or private by law or
agreement except with the express written consent of the person(s) to whom that
information pertains. Requests by the Ombudsperson for information should be
handled with reasonable promptness by University officials and offices.
42.3.1.6 The Ombudsperson has authority to select Ombuds Office staff and manage
Ombuds Office budget and operations.
42.3.2

Neutrality and Impartiality

The Ombuds Office and the Ombudsperson act in a neutral, impartial, and unalignedway.
42.3.2.1 The Ombudsperson strives for impartiality, fairness and objectivity in thetreatment of people and the consideration of issues. The Ombudsperson advocates forfair and equitably administered processes but does not advocate on behalf of any
individual within the University
42.3.2.2 The Ombudsperson operates independently of ordinary line and staff
structures and has direct access to the University Board of Governors.

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Ch42_University Ombudsperson_20230601_en_cl42.3.2.3 The Ombudsperson does not report to nor is structurally affiliated with any
compliance function of the University.
42.3.2.4 The Ombudsperson serves in no additional role with the University that
could compromise the Ombudsperson’s neutrality. The Ombudsperson is not alignedwith any formal or informal associations within the University in a way that might
create actual or perceived conflicts of interest for the Ombudsperson. The
Ombudsperson must have no personal interest or stake in, and incur no gain or loss
from, the outcome of any matter brought to the Ombuds Office. In the event such amatter arises, the Ombudsperson must request the President to make an appointment
as provided for in 42.2.5.
42.3.2.5 The Ombudsperson cannot be a member of the University executive or
governing boards, promotion or tenure committees, examination or admissioncommittees, or search committees other than those for staff of the Ombuds office.
42.3.2.6 The Ombudsperson, as a neutral party, does not engage in any situation that
could create a conflict of interest. The Ombudsperson must not provide
Ombudsperson services to people whom the Ombudsperson serves, manages, reports
to, teaches, advises, or evaluates, in order to avoid partiality or perceptions of conflictof interest. The Ombudsperson must ensure that alternatives are provided for people
whom the Ombudsperson cannot serve as Ombudsperson due to actual or perceived
conflicts of interest.
42.3.2.7 The Ombudsperson does not make binding decisions, mandate policies, orformally adjudicate issues for the University.
42.3.2.8 The Ombudsperson does not participate in any formal investigative
procedures. Visitors to the Ombuds Office requesting formal investigation are referredto the appropriate offices or person for assistance.
42.3.3

Confidentiality

The Ombudsperson holds in strict confidence all communications with andinformation relating to Visitors to the Ombuds Office seeking assistance and takes all
reasonable steps to safeguard confidentiality, including the following:
42.3.3.1 Protection of identity

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The Ombudsperson does not reveal, and cannot be required to reveal, the identity of
any Visitor contacting the Ombuds Office. The Ombudsperson does not reveal
information provided in confidence that could lead to the identification of any Visitor
contacting the Ombuds Office, without that Visitor’s express permission.
42.3.3.2 Reports
If the Ombudsperson examines an issue systemically (e.g., provides feedback on
trends, issues, policies and practices), the Ombudsperson does so in a way thatsafeguards the identity of Visitors to the Ombuds Office and others identified in thecourse of specific matters. The Ombuds Office and Ombudsperson prepare any data
and reports in a manner that protects confidentiality.
42.3.3.3 Permission for disclosure
The Ombudsperson takes specific action related to a Visitor’s issue only with the
Visitor’s express permission and only to the extent permitted by the Visitor to the
Ombuds Office, and even then at the sole discretion of the Ombudsperson, unless suchaction can be taken in a way that safeguards the identity of the Visitor to the Ombuds
Office. The only exceptions to this confidential treatment are: (1) when the
Ombudsperson judges that there is a risk of imminent serious harm to a person or
persons or where there is no other reasonable option; (2) when the Visitor to the
Ombuds Office gives the Ombudsperson express permission to share specificinformation for the purpose of informal conflict resolution that the Ombudsperson
has agreed to attempt.
42.3.3.4 Privilege of communications
Communications between the Ombudsperson and others (made while theOmbudsperson is serving in that capacity) are considered privileged, to the extent
permitted by law. The privilege belongs to the Ombudsperson and the Ombuds Office,rather than to any party to an issue. Others cannot waive this privilege. The only
exception to the foregoing is when the Visitor to the Ombuds Office gives the
Ombudsperson express permission to share specific information for the purpose of
informal conflict resolution that the Ombudsperson has agreed to attempt. The
University or any representative of the University shall not request or require theOmbudsperson or staff of the Ombuds Office to participate in any formal process
within the University, disclose confidential communications, or serve as witnesses.
The Ombudsperson shall not testify in any formal process outside the University andshall not disclose any confidential information regarding Visitors to the Ombuds
Office’s contact unless legally bound to do so by a judicial or regulatory authority or in
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Ch42_University Ombudsperson_20230601_en_clthe case of imminent serious harm to a person or persons or where there is no otherreasonable option.
42.3.3.5 Destruction of records
The Ombudsperson keeps no records containing identifying information on behalf of
the University. The Ombuds Office does not keep permanent records of confidential
communications. The only permanent records kept by the Office are those containing
statistical information for analysing trends in order to make recommendations to the
University. All other records are regularly destroyed. While matters are pending, theOmbudsperson maintains information (e.g., notes, phone messages, appointment
calendars) in a secure location and manner, protected from inspection by others(including management).
42.3.4

Informality and Other Standards

The Ombudsperson, as an informal resource, does not participate in any formal
adjudicative or administrative procedure related to concerns brought to their attention.
42.3.4.1 The Ombuds Office is available to all Visitors to the Ombuds Office as apurely voluntary and alternate channel for confidential communication. The
Ombudsperson supplements, but does not replace, other formal or informal channels.
42.3.4.2 The Ombudsperson as an informal and off-the-record resource pursues
resolution of concerns and looks into procedural irregularities and broader systemic
problems when appropriate.
42.3.4.3 Communications made to the Ombudsperson are not disclosed to the
University in any form or manner. The Ombudsperson neither acts as agent for, nor
accepts notice on behalf of, the University and shall not serve in a position or role thatis designated by the University as a place to receive notice on behalf of the University.
42.3.4.4 If a person wishes to make a complaint, put the University on notice, ormake the University formally aware of a problem, the Ombudsperson provides
information on how to do so, but cannot be directly involved in those processes.
42.3.5The Ombuds Office

The University supports the Ombuds Office by providing sufficient resources to operate
an independent and effective program. These resources include adequate space,6

Ch42_University Ombudsperson_20230601_en_clequipment, staffing, staff development, and the production and distribution of
informational materials.
42.3.5.1 Location
The Ombuds Office is situated in an appropriate location to protect the privacy ofVisitors to the Ombuds Office.
42.3.5.2 Record Keeping Systems and Database
The Ombuds Office recordkeeping system is independent of the University’s
Information Technology system, with access allowed only to Ombuds Office personnel.
42.3.5.3 Security of Information
The Ombuds Office is physically secure to protect private information and records.
The Ombudsperson takes all reasonable steps to protect the confidentiality of any
temporary notes or documents, such as locking file drawers and offices, and exercising
extreme vigilance if any notes are carried from one place to another. Information that
could identify Visitors to the Ombuds Office is regularly purged following closure ofmatters. Records that may indicate with whom the Ombuds Office has communicatedare available only to the Ombuds Office staff.
42.3.5.4 Outside Legal Counsel
The University provides the Ombudsperson with access to outside legal counsel at the
Ombudsperson’s discretion. The purpose of outside legal counsel is to enhance theOmbudsperson’s ability to practice according to the policies, rules and procedures ofthis Chapter. The Ombudsperson should consider how outside counsel may assist in avariety of situations, including how best to handle any request for information madeof the Ombudsperson, or when the Ombudsperson could benefit from consultation
with outside counsel regarding how best to establish and operate the office so as toensure the integrity of function. The expense of outside counsel is covered by the
University and included in the overall budget for the Ombuds Office. The
Ombudsperson is not required to inform the University when communicating with oraccessing outside counsel. Documentation required for procurement of outside
counsel shall not contain any information that violates the confidentiality
requirements of this Chapter. The President has oversight of the total budget foroutside legal counsel, but must not unreasonably withhold funds needed to engage
outside legal counsel pursuant to this section.

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Ch42_University Ombudsperson_20230601_en_cl42.4 Responsibilities
In administrative matters concerning the Ombuds Office the Ombudsperson reports to
the President. Because the Ombudsperson does not make binding decisions, mandate
policies, or formally adjudicate issues for the University, communication with the
President is essential when there are matters requiring action by the University. All
communication with the President must comply with the requirements for confidentiality,
neutrality, and independence detailed in this Chapter. In the case where there is a concern
raised about the President, or where the President has an actual or perceived conflict ofinterest regarding a case requiring action by the University, the Ombudsperson exercises
discretion over whether or how to act. If the Ombudsperson is satisfied that the matter issubstantive and warrants the attention of the Board of Governors, the Ombudsperson
may communicate directly with the Chair of the Board of Governors concerning thematter.
42.4.1The Ombudsperson endeavours to be worthy of the trust placed in them. The

Ombudsperson has a responsibility to consider the legitimate concerns and interests ofVisitors to the Ombuds Office and any others affected by the matter underconsideration.
42.4.2The Ombudsperson listens to the concerns of Visitors to the Ombuds Officeand offers information about University policies and procedures. The Ombudsperson
helps Visitors to the Ombuds Office by offering a confidential channel for discussing or
addressing an issue of concern without fear of retribution. The Ombudsperson helps
Visitors to the Ombuds Office examine options for resolving concerns. The
Ombudsperson helps to promote ethical conduct and values; to alleviate disruption
caused by disputes; and to identify policies, practices, or issues where a systems change
may be appropriate.
42.4.3The Ombudsperson explains the nature and role of confidentiality to the

Visitor to the Ombuds Office, who should understand that the Ombudsperson claims
the privilege for the office and that it is not the Visitor’s privilege to waive. Wheneverpossible, this information should be communicated prior to discussing the concerns
brought by the Visitor to the Ombuds Office.
42.4.4

As a condition for accepting and benefiting from the Ombuds Office services,

Visitors to the Ombuds Office have the obligation to support the Ombudsperson’s claimof privilege and not to attempt to breach this claim.

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Ch42_University Ombudsperson_20230601_en_cl42.4.5

The University pledges not to attempt to breach the claim of privilege.

University management or staff representatives are not permitted to seek to compel the
Ombudsperson or staff of the Ombuds Office to disclose confidential communications.
42.4.6The Ombuds Office provides a place for people to seek guidance on how toreport actual or potential violations of the Institute’s legal obligations. The
Ombudsperson helps Visitors to the Ombuds Office explore and assess an appropriate
range of options, from the very informal to the most formal. Formal options may
include ways to put management on notice of an issue, referrals to rights-based
elements of the organization’s conflict resolution system, or the provision of
information about the possibility of seeking external resources or assistance. The
Ombudsperson never provides legal advice.
42.4.7

When the Ombudsperson works with a Visitor to the Ombuds Office toaddress issues that may involve formal alternatives (under laws, policies, or rules), theOmbudsperson makes clear to the Visitor to the Ombuds Office that an informal
approach does not automatically exclude the Visitor’s later participation in more formal
options, but that the Visitor should keep in mind possible time limits and their potential
impact on the Visitor’s formal options.
42.4.8The Ombudsperson works with the University to encourage it to provide its

constituents with a variety of effective formal and informal options for surfacing andresolving concerns. All options should be well established and clearly and regularly
communicated to the entire organization. As a Visitor to the Ombuds Office may wish
to consult with additional resources and services, the Ombuds Office should describe
resources that might be appropriate to the Visitor’s presenting circumstances.
42.4.9The Ombudsperson makes an annual report to the President and the Boardof Governors summarizing activities, problem areas identified, budget implementation
state, and recommendations for systemic changes. All such reporting is structured in amanner that protects the identity of individuals and cannot serve to place the University
on notice regarding any specific situation.
42.4.10The Ombudsperson brings to the attention of the appropriate office thosepolicies, programs, procedures or practices that may be problematic for the University
or that may negatively affect people’s health, safety or rights.

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Ch42_University Ombudsperson_20230601_en_cl42.4.11

The Ombudsperson and Ombuds Office staff keep professionally current by

pursuing continuing education. The Ombudsperson provides opportunities for
Ombuds Office staff to pursue professional training.
42.5 Procedures
42.5.1

Visiting the Ombuds Office

Any Visitor to the Ombuds Office may contact the Ombuds Office and visit during open
hours.
42.5.2

Appointments with the Ombudsperson

Meetings with the Ombudsperson are by appointment. Appointments with the
Ombudsperson can be made by emailing a request or by telephoning the Ombuds Officeduring open hours at [Link]. In order to preserve the confidentiality of visits to the
Ombuds Office, the Ombudsperson or Ombuds Office staff who have any other role atthe University may not be called upon in their Ombuds Office role while physicallypresent at any location outside the Ombuds Office.

42.5.3

Contacting the Ombudsperson or Ombuds Office

In order to preserve the confidentiality of all communications with the Ombudsperson,
all correspondence concerning the Ombudsperson must be sent by email to [Link].
Emails to the Ombudsperson’s OIST or personal email account will be returned unread
and permanently deleted from the recipient's computer.
42.5.4

Appointment of the Ombudsperson

The President appoints the Ombudsperson. The Board of Governors endorses theappointment. The term of appointment is decided by the President and is renewable.
42.5.5

Removal of the Ombudsperson

Other than at the end of term of appointment, the Ombudsperson is removable only forneglect of duty, misconduct, or medical incapacity, and only by means of a fair process
and procedure. Complaints about the Ombudsperson will be handled by the President,
who will establish appropriate procedures.
42.5.6

Appointment of the Staff of the Ombuds OfficeAppointments of staff of the Ombuds Office are made at the discretion of the
Ombudsperson.

10Ch42_University Ombudsperson_20230601_en_cl42.6 Forms
There are no forms.
42.7 Contacts
42.7.1

Policy Owner

President
42.7.2Other Contacts

Ombudsperson. [mailto: [Link]]
Ombuds Office. [https://sites.google.com/oist-ombuds.jp/oistombudsoffice/]
42.8 Definitions
The terms Ombudsperson, Ombudsman, Ombud, Ombuds may be used interchangeably.
“Ombudsperson” is preferred as the gender-neutral term listed in the United Nations
Glossary of Terms.
42.9 AppendicesInternational Ombudsman Association Code of Ethics
International Ombudsman Association Standards of PracticeBest Practices of the International Ombudsman Association
Supplementary Provisions
This Chapter shall come into effect as from June 1, 2019.
Supplementary Provisions
This Chapter shall come into effect as from June 1, 2023

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