Regulations on Sanctions of Students
Article 1 Purpose
The purpose of these regulations is to provide for necessary matters concerning sanction of students based on the provision of Article 40 of the Okinawa Institute of Science and Technology Graduate University University Rules (hereinafter referred to as “University Rules”).
Article 2 Student Code of Conduct
OIST commits to provide a safe and inclusive environment, and students are expected to act in a manner that does not directly affect others.
The OIST Student Code of Conduct:
i) Conduct oneself with integrity
ii) Develop and foster an ethos of collaboration, collegiality and inclusiveness
iii) Commit to excellence in research and education
iv) Work responsibly in the interests of society and scientific advancement
v) Prioritize health and safety
vi) Respect and abide by the law and University policies and regulations
vii) Serve as a positive exemplar of OIST at all times
Article 3 Student Conduct Policy
The following details OIST policy as it relates to student misconduct and non-compliance. This document supplements, and does not in any way supersede the University Rules. If any discrepancy is found between the two, the University Rules take precedent.
Article 3.1 Application and scope
i) The Student Conduct Policy applies to all students enrolled at OIST, including Special Students as defined in the OIST Policies, Rules and Procedures (PRP), irrespective of their place of residence or their mode of study, and includes all activities:
a. that occur on University grounds or facilities, or are facilitated by OIST services or infrastructure, including student or university clubs and societies
b. that occur outside University grounds or facilities in any form, but are endorsed, funded or organized by OIST or its associates (including internships, study leave, or placements)
c. that occur at conferences, both nationally or internationally, where OIST is represented in any form (including student or university clubs and societies)
d. that occur at OIST or OIST-affiliated housing or accommodation (including where OIST acts as guarantor), or where OIST has provided or arranged accommodation
e. that risk the reputation of the University.
ii) The Student Conduct Policy also applies to all students, irrespective of enrollment status, in cases where misconduct or non-compliance are discovered, reported or investigated following the student’s departure from OIST
iii) The Student Conduct Policy applies irrespective of the form in which the misconduct or non-compliance takes place, be it in person, online, by proxy, etc.
iv) Policies and procedures related to student misconduct and non-compliance are applicable irrespective of the student’s current enrollment status
Article 3.2 Confidentiality
All matters dealt with under this policy are treated with the strictest confidentiality. Information and records will be provided only to those directly involved.
Exceptions to the above may include:
i) Where there is reasonable belief that the matter involves substantial risk to the health and safety of an individual or to the public
ii) Where legal proceedings are involved, or OIST is required by law to cooperate and provide requisite information or records
iii) Where the matter is in the public interest, there is a contractual obligation, or a requirement under legislation to report
iv) Where OIST is obligated to report under the University Rules or a relevant section of the OIST Policy, Rules and Procedures (PRP)
v) To the extent allowed by OIST policy, matters related to misconduct or non-compliance may be referred to any other mediation services provided by OIST, including to other investigative processes provided by OIST.
Article 3.3 Authorized persons
Authorized persons are tasked with investigating circumstances surrounding misconduct and non-compliance, interviews, collection and evaluation of evidence, and recommendation of appropriate sanctions to the Dean of Graduate School and the President of OIST (hereinafter referred to as “the President”).
When directed by the President,, Provost, Secretary-General,Vice-President or Deans (as defined under 2.4.1-2.4.5 of the PRP; hereinafter referred to as Senior Level Executive), authorized persons may also provide root cause analysis and recommendations on how to circumvent similar circumstances, misconduct or non-compliance in future.
“Authorized persons” are defined as:
i) a relevant OIST staff member familiar with a particular case
ii) a member of faculty
iii) an OIST legal representative (including relevant members of the General Counsel’s Office or the OIST Executive)
iv) a member of OIST Human Resources
Senior Level Executive has the power to select authorized persons without conflict of interest in accordance with this policy.
Appointment of Investigation Committee members, as well as delegation of power to investigate matters related to the Student Conduct Policy, reside with the relevant member of Senior Level Executive. Responsibility for decision-making (excluding sanctions) is retained by relevant member of Senior Level Executive.
Article 3.4 Investigation Committee
When deemed necessary, an Investigation Committee will be appointed to investigate allegations of student misconduct or non-compliance.
Investigation Committees will be constituted of no less than three (3) authorized persons without conflict of interest. The background of authorized persons chosen to form an Investigation Committee will accord with the nature and severity of the misconduct or non-compliance.
The Chair of the Investigation Committee shall be decided by the relevant member of Senior Management and shall report directly to them.
During an investigation, where evidence of further misconduct is found, this shall be immediately reported to the relevant member of Senior Level Executive. When directed by the relevant member of Senior Level Executive or the President, an investigation committee may widen the scope of its investigation.
Results of any investigation conducted by the Investigation Committee will be reported to the relevant member of Senior Level Executive, the Dean of Graduate School and the President for further action as deemed appropriate. In conducting its duties, the Investigation Committee may:
i) Investigate any matter under this policy and may call upon any party affected by the conduct to discuss the matter
ii) Ask parties approached to provide a written statement describing the conduct in question, and its effect on them. If provided, collected statements may be used by the Committee, or other empowered bodies/parties, to aid in investigation of the allegations
iii) Provide statements to the student responsible for the alleged behavior so they may have the opportunity to respond to the allegations
iv) Investigate any allegation, irrespective of whether or not it has since been retracted
Article 3.5 Minimization of disadvantage
Every effort will be made to ensure no student will be unreasonably disadvantaged as a result of the application of the Student Conduct Policy or its procedures.
If deemed required or appropriate, accommodation will be provided to ensure all elements of the policy and its procedures are readily accessible to all parties, including in need the provision of interpreters/translators, for example.
Article 3.6 Student conduct as it relates to legal matters
Where student conduct may relate to legal matters, the General Counsel Office will be informed immediately.
Where alleged misconduct may involve criminal activity, OIST may:
i) Refer the matter to the relevant authority (the police, for example)
ii) Oversee an internal investigation in line with this policy and its procedures
OIST internal investigations shall not interfere with any investigation by relevant authorities. OIST may not tamper with or destroy evidence, nor witness statements.
Any conviction of criminal offence will be deemed an act of student misconduct and may be investigated by OIST.
Article 3.7 Responsible conduct of research
Student conduct of research, including ethics, compliance, and prevention of conflicts of interest are covered under Chapter 4 of OIST PRP.
Article 3.8 Inclusivity
Matters regarding gender, equity, diversity and inclusion are detailed in the University Code of Conduct under Chapter 1 OIST PRP.
Article 3.9 Student personal record
Allegations and convictions of student misconduct and non-compliance may be entered into the personal record of the student. Such records are maintained in the strictest confidence by the Graduate School.
Annual reporting to the OIST Executive of student misconduct and non-compliance may be required of Senior Level Executive. Such reporting may include the number, nature, and outcome of cases. Reporting is for the purpose of improving OIST practice, policy, and procedure.
Article 4 Student Conduct Rules and Procedures
Article 4.1 Definition of misconduct and non-compliance
OIST defines student misconduct and non-compliance as:
i) Conduct in contravention of, or outright breach, of relevant OIST policy, rules or procedures;
ii) Failure to comply with any reasonable direction of any OIST staff member or member of the OIST Community in a position of authority in relation to students;
iii) Failure to comply with, or meet, the prescribed elements and requirements of the OIST educational program;
iv) Unjustified acts or intentional omissions by the student which adversely affect OIST staff, students, or the OIST Community as a whole;
v) Any other acts that may be included as examples within the Student Conduct Rules and Procedures, regardless of whether they are included in the above.
Article 4.2 Examples of misconduct and non-compliance
i) Publishing of material, in any form, that is untrue or considered offensive, abusive, harassing, or vilifying about any member of the OIST Community, or about the University (including its programs, divisions or sections) in any form
ii) Activity that contravenes any University rule or regulation in a disruptive manner, including disruption of teaching or research; unseemly behavior; or indecent, threatening, discriminatory or abusive language, for example
iii) Engaging in behavior meant to deceive the University or its members, including making of false or misleading statements; or providing false documentation
iv) Behaving in a manner that is likely to bring the University or its members into disrepute
v) Obstructing OIST staff in their prescribed duties, including failure to comply with University program requirements and procedures, such as investigations
vi) Not adhering to University-mandated occupational health and safety guidelines
vii) Engaging in activities prohibited by Japanese law and regulations
viii) Intentional or negligent damage to person or property
Article 4.3 Examples of sanctions
i) Expulsion
ii) Suspension
iii) Reprimands
iv)_Warnings/Cautions
iv) Sanctions associated with the items listed in i) to iii) above.
a) Exclusion (from classes, research units, privileges; either temporarily or permanently)
b) Compensation
c) Suspension of research/financial assistantship (including reduction or termination of financial assistance)
d) Suspension of bench fees (from classes, research units, privileges – usually without compensation or recourse [regarding grades, for example])
e) Adjustment or substitution of grades
f) Preclusion of conferral/revocation of award of degree (recorded on transcript)
Article 4.4 Local Resolution
An Authorized Person may, when the nature of an allegation may be dealt with (when proven) in a manner that does not require any sanction, resolve the matter according to the following process:
i) Within ten (10) business days of receipt of the formal allegation, the Authorized Person will begin investigation of the allegation, including a discussion with the person submitting the allegation, speaking with any witnesses, and consulting with any other relevant parties
ii) Maintain records of the investigation and any relevant discussions
iii) Inform the student of the allegation, either in writing or in person, and provide a time limit for the student to respond
iv) Make a decision of whether the allegation will be upheld based on the Authorized Person’s investigation
v) Determine a path of resolution, which may include, but is not limited to:
a. A decision that no further action be taken;
b. Direct the student to make a formal apology to the relevant party or parties;
c. Direct the student to cease the action/s referred to in the allegation;
d. Require a written undertaking from the student that the conduct that led to the allegation will not be repeated;
e. Continued or permanent exclusion, be it from a lab, unit, or facility;
f. Recommendation that the student seek counselling;
g. A written warning informing the student that any further misconduct or non-compliance will be escalated
An investigation may be delayed or suspended for reasons outside the Authorized Person’s control. Under these circumstances, the student will be notified immediately.
Article 4.5 Exclusion
Anyone with responsibility for management of an OIST activity or facility has the authority to immediately exclude a student from said activity or facility if they have reasonable belief the student has committed, or is committing, an act of misconduct or non-compliance; including (but not limited to):
i) When there is a danger to health and safety
ii) The student’s actions or activities are disruptive, to either the facility or others
Article 4.6 Period of Exclusion
The period of exclusion will be at the discretion of the responsible person and will take into account the severity of the misconduct or non-compliance and/or the appropriate time required to resolve the matter.
Article 4.7 Reporting of Exclusion
i) The person responsible for excluding the student must inform the Dean of Graduate School and their respective member of Senior Level Executive in writing immediately following the exclusion order. The name of the student must be provided, as must the reason for exclusion
ii) The respective member of Senior Level Executive will report any exclusion to the President of OIST. Any exclusion requires the approval of the President of OIST. Only when a person’s health and safety are at immediate risk will approval be sought from the President retrospectively
iii) Within one working day, the person responsible for excluding the student must inform the student in writing of the reason for the exclusion order, and the proposed period of exclusion
iv) Within one working day, a detailed report must also be provided to the Dean of the Graduate School. This detailed report may be a copy of the notification provided to the student
v) The name of the student and the reason for their exclusion will be placed on the students’ Student Personal Record
vi) The Dean of the Graduate School may at their discretion take further action
Article 4.8 Reporting Misconduct
i) Reports of student misconduct must be done in writing (to avoid any misrepresentation, and to avoid discrepancies in recollection by either the person making the allegation or the Authorized Person later responsible for acting on the matter)
ii) Reports may be made directly to the relevant member of Senior Level Executive, or through the Respectful Workplace and Anti-Harassment email address (rwah.gs@oist.jp)
iii) Where the Authorized Person receiving the report feels there is a conflict of interest in their involvement in the matter, or that they will be unable to act impartially, this will be reported; and the matter directed; to another authorized person
iv) Authorized Persons may, after requisite and sufficient investigation:
i. Seek a local resolution without escalation, in line with the Local Resolution process
ii. Refer the matter to an Investigation Committee
vi) The Authorized Person may, when there is reasonable belief the alleged misconduct is of such gravity as to be outside of their authority; and/or of a nature as to warrant escalation to a higher authority; they may do so
vii) Any immediate escalation of such an allegation will be done in writing, including the reason for the escalation
Article 4.9 Referral
At any time, an Authorized Person or Investigation Committee, at the direction of, or with the permission of, the responsible member of Senior Level Executive, may refer any matter before them to any other mediation services provided by OIST, including to other investigative processes provided by OIST.
Proper jurisdiction of the reported misconduct shall be jointly determined by the Chair of the Investigation Committee and the responsible person(s) of the mediation service or investigation process.
Article 4.10 Reporting of Result
Any recommendation of disciplinary action to be taken will be by the Dean of Graduate School will be reported to the President of OIST. Disciplinary action will only occur after consultation with, and with the approval of, the President of OIST.
Anonymized results of disciplinary action may be reported to the OIST Community with the permission of the President.
Supplementary Provisions
This Regulations on Sanctions of Students shall come into force from May 1, 2024.