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  5. Detailed Regulations on Harassment Consulting and Investigation Procedures
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Detailed Regulations of Harassment Consultants
Detailed Regulations on Harassment Consulting and Investigation Procedures
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Detailed Regulations on Harassment Consulting and Investigation Procedures

Detailed Regulations on Harassment Consulting and Investigation Procedures

Enacted October 1, 2012
Revised April 1, 2014 July 1, 2014
August 1, 2015

Chapter One: Consultation

(Consultation)

Article 1

1. Faculty or staff members and students shall be able to consult regarding harassment by contacting the consultation service or harassment consultants (hereinafter, “harassment consultants”).

2. The “consultation service” stipulated in the preceding clause shall mean the contacts listed in the following items.

(1) Office of Personnel Services and Benefits

(2) Center for Academic Affairs

(3) Center for Extension Programs

(4) Center for Student Affairs

(5) Health Center

(6) Office of Mejiro Seibo Campus

(7) Office of Sophia University Junior College Division

(8) Office of Sophia School of Social Welfare

(Consultation Procedures)

Article 2

1. Harassment consultants shall, with the consent of the consulter, record the details of a consultation on the prescribed form, report it to the Chair of the Harassment Prevention Committee (hereinafter, “Prevention Committee Chair”), and send copies to the Office of General Affairs of the Bureau of General Affairs (hereinafter, “Office of General Affairs”) and, based on the categories listed in the following items, to the prescribed administrative office (hereinafter, “administrative office”). The detailed procedures in this case shall be stipulated separately.

(1) If the consulter is a student of Sophia University or a participant in an extension program offered by Sophia University: Center for Student Affairs, Bureau of Student Affairs

(2) If the consulter is a student of the Sophia University Junior College Division or a participant in an extension program offered by the Sophia University Junior College Division: Office of Sophia University Junior College Division

(3) If the consulter is a student of the Sophia School of Social Welfare: Office of Sophia School of Social Welfare

(4) If the consulter is a student of the Seibo Nursing School: Office of Mejiro Seibo Campus

(5) If the consulter is a faculty or staff member: Office of Personnel Services and Benefits, Bureau of Personnel Affairs

2. If a consulter only wishes to consult and does not intend to request mediation or file a complaint, the harassment consultant shall ask the consulter to sign a written statement to that effect.

Chapter Two: Mediation

(Mediation)

Article 3

When consultation does not lead to settlement of a problem, a consulter shall be able to request the Prevention Committee for mediation in talks between the concerned parties.

(Mediation Procedures)

Article 4

1. When a consulter desires mediation and the other party agrees, the harassment consultant shall report this in writing to the Prevention Committee Chair, Office of General Affairs, and administrative office.

2. The Prevention Committee Chair shall appoint a small number of mediators from among the Prevention Committee members and harassment consultants, taking into account neutrality and fairness, and shall ask them to take part in mediation.

3. Mediation means setting up a mediation committee, sitting in on talks between the parties, and presenting a mediation proposal for reconciling the claims of the parties; and mediation shall be considered successful if the parties accept the mediation proposal.

4. The administrative office shall without delay make arrangements for mediation procedures.

5. The mediators shall report the details and results of mediation in writing to the Prevention Committee Chair, Office of General Affairs, and administrative office.

Chapter Three: Complaint Filing

(Filing a Complaint)

Article 5

1. When consultation or mediation does not lead to settlement of a problem, a consulter shall be able to file a complaint in writing to the Prevention Committee. The written complaint shall be submitted to harassment consultants.

2. The harassment consultants shall without delay submit the written complaint of the preceding clause to the Prevention Committee Chair, and submit copies of the complaint to the Office of General Affairs and administrative office.

(Establishment of a Complaint Committee and Investigation Committee)

Article 6

1. The Prevention Committee Chair shall, within 10 days from the date when a complaint was filed, establish a Harassment Complaint Committee (hereinafter, “Complaint Committee”).

2. The Complaint Committee shall establish a Harassment Investigation Committee (hereinafter, “Investigation Committee”) to investigate the case subject to the complaint.

(Investigation)

Article 7

1. The Investigation Committee shall provide the person subject to the harassment complaint (hereinafter, “the accused”) with the opportunity to offer an explanation.

2. The Investigation Committee shall be able to seek the advice of experts outside the School Corporation when necessary.

3. In conducting the investigation and hearing of explanations, statements shall be obtained directly from the complainant and accused, and statements by representatives shall not be allowed.

4. In conducting the investigation and hearing of explanations, the presence of representatives alongside the complainant and accused shall in principle not be allowed.

(Investigation Report)

Article 8

1. The Investigation Committee shall complete the investigation within three months from the date when the complaint was filed, and shall submit a report in writing, including the investigation results and related documents, to the Complaint Committee.

2. The Investigation Committee shall report the investigation results based on the unanimous consensus of its members. Provided, however, that regarding issues deemed of high importance, when some of the committee members have dissenting views, it shall be possible to append them to the report.

3. In case it becomes clear that the investigation will not be completed within the allotted time, any extension of the term shall be subject to approval by the Complaint Committee Chair.

(Decision by Complaint Committee)

Article 9

1. The Complaint Committee, based on the report received from the Investigation Committee, shall confirm the facts of the case, shall decide the necessity of redress measures to aid the person who filed the complaint (hereinafter “the complainant”) and of disciplinary measures against the accused, and shall report in writing to the Prevention Committee Chair.

2. In case the Complaint Committee Chair judges that redress measures to aid the complainant are urgently needed while the investigation, appeal, and reinvestigation are still in process, the Chair shall be able, with the consent of the complainant, to request the relevant parties to take provisional measures, limited to a suitable time period.

3. In case the provisional measures requested as set forth in the preceding clause are implemented, the relevant parties shall report to the Complaint Committee Chair, and the Complaint Committee Chair shall report to the Prevention Committee Chair.

(Notification to Complainant and Accused)

Article 10

1. The Prevention Committee Chair shall make oral or written notification without delay to the complainant and the accused regarding the facts confirmed by the Complaint Committee, the redress measures to aid the complainant, and other necessary matters.

2. The matters notified as set forth in the preceding clause shall go into effect when any of the following applies.

(1) When it is confirmed that neither the complainant nor the accused will be filing an appeal as prescribed in Article 17 Clause 1.

(2) When the Prevention Committee Chair decides that a reinvestigation based on Article 17 Clause 2 will not be necessary.

(3) When the Prevention Committee decides based on Article 19 that it will not alter the decision of the Complaint Committee.

Chapter Four: Complaint Committee

(Complaint Committee Makeup)

Article 11

1. The Complaint Committee shall consist of the members listed in the following items.

(1) Prevention Committee Chair

(2) Prevention Committee Vice-Chair

(3) A few Prevention Committee members selected by the Prevention Committee Chair

(4) In addition to the persons listed in the preceding three items, a few faculty and staff members of the School Corporation appointed by the Prevention Committee Chair in special circumstances

2. The role of Complaint Committee Chair shall be fulfilled by the Prevention Committee Chair. Provided, however, that in case the Prevention Committee Chair is unable to fulfill the duties, or is a concerned party in a case, the Vice-Chair of the Prevention Committee shall serve as Chair.

3. The role of Complaint Committee Vice-Chair shall be fulfilled by the Prevention Committee Vice-Chair. Provided, however, that in case the Prevention Committee Vice-Chair is unable to fulfill the duties, or is a concerned party in a case, a person appointed by the Prevention Committee Chair shall serve as Vice-Chair.

4. The Complaint Committee shall constitute a quorum when a majority of the members are present, measures shall be adopted by consent of a majority of the members present, and tie votes shall be decided by the Chair.

(Secretariat)

Article 12

The Office of General Affairs shall act as secretariat of the Complaint Committee.

Chapter Five: Harassment Investigation Committee

(Investigation Committee Makeup)

Article 13

1. The Investigation Committee shall consist of three members appointed by the Complaint Committee, either three personnel from faculty and staff members or two personnel from faculty and staff members and one outside expert (including one member of the Complaint Committee). A majority of the members shall be of the same gender as the complainant.

2. In making the appointments set forth in the preceding clause, consideration shall be made for objectivity, neutrality, and fairness of the investigation.

3. The Chair of the Investigation Committee shall be selected by the committee from among its members.

(Secretariat)

Article 14

1. Secretariat of the Investigation Committee shall be the administrative office prescribed based on the categories listed in the following items.

(1) If the complainant is a student of Sophia University or a participant in an extension program offered by Sophia University: Center for Student Affairs, Bureau of Student Affairs

(2) If the complainant is a student of the Sophia University Junior College Division or a participant in an extension program offered by the Sophia University Junior College Division: Office of Sophia University Junior College Division

(3) If the complainant is a student of the Sophia School of Social Welfare: Office of Sophia School of Social Welfare

(4) If the complainant is a student of the Seibo Nursing School: Office of Mejiro Seibo Campus

(5) If the complainant is a faculty or staff member: Office of Personnel Services and Benefits, Bureau of Personnel Affairs

Chapter Six: Redress and Disciplinary Measures

(Redress to Aid the Complainant)

Article 15

1. The Prevention Committee Chair shall implement redress measures, or shall make written request to parties concerned to implement such measures.

2. The Prevention Committee Chair shall report in writing the results of the investigation and redress measures, to the Chancellor and, if the complainant and accused are students, to the heads of their affiliated schools.

(Disciplinary Measures against the Accused)

Article 16

In case the Complaint Committee decides that disciplinary measures prescribed in the Sophia School Corporation Employment Regulations, School Regulations, or other regulations are necessary, the Prevention Committee Chair shall issue a request in writing to the Chancellor and to the heads of the affiliated schools of the complainant and accused, asking for deliberation of the measures.

Chapter Seven: Appeals

(Filing an Appeal)

Article 17

1. If the complainant or accused is dissatisfied with the finding of facts of the case and the redress measures on behalf of the complainant, they may file a written appeal with the Prevention Committee, indicating the reason, within 14 days counted from the day following the date of notification.

2. The Prevention Committee Chair shall decide within 10 days from the appeal filing whether a reinvestigation is needed, and shall notify the decision in writing to the filer of the appeal.

(Establishment of a Reinvestigation Committee)

Article 18

In case the Prevention Committee Chair determines the need to reinvestigate the facts of the case, the Chair shall establish a Reinvestigation Committee for conducting that investigation. The Reinvestigation Committee shall consist of persons appointed by the Prevention Committee Chair (excluding members of the Investigation Committee).

(Reinvestigation)

Article 19

The Prevention Committee, when necessary based on the result of the investigation by the Reinvestigation Committee, shall amend the decision of the Complaint Committee based on Article 9.

(Application of Regulations Concerning Investigation)

Article 20

The provisions of Article 8 to Article 10 shall apply mutatis mutandis to the procedures of the Reinvestigation Committee. In applying these provisions, “Investigation Committee” shall be read as “Reinvestigation Committee,” “complaint” shall be read as “appeal,” “three months” shall be read as “one month,” and “Complaint Committee” shall be read as “Prevention Committee.”

(Appeal against Reinvestigation Result)

Article 21

A complainant or accused who filed an appeal regarding the decisions of Article 17 Clause 2 or Article 19 shall not be able to file a further appeal in the matter.

Chapter Eight: Miscellaneous Provisions

(Withdrawing a Complaint)

Article 22

1. A complainant shall be able to withdraw in writing an earlier filed complaint.

2. In case a complaint is withdrawn while an investigation of the complaint is in progress, the Complaint Committee Chair shall stop the investigation, disband the Investigation Committee, and report to the Complaint Committee.

3. In case a complaint is withdrawn after investigation of the complaint has been completed, the decision by the Complaint Committee on redress on behalf of the victim and implementation of the redress measures by the Complaint Committee Chair shall not be carried out. The same shall apply to proposal of disciplinary measures by the Prevention Committee Chair.

(Reporting)

Article 23

The Prevention Committee Chair shall report the status of complaint filing and appeals to the Prevention Committee every year.

(Privacy Protection and Confidentiality Obligation)

Article 24

Members of the Prevention Committee, Complaint Committee, and Investigation Committee, as well as other related faculty and staff members, shall maintain the confidentiality of all information learned in the course of harassment duties, shall protect the privacy of parties concerned, and shall respect their human rights.

(Amendment and Abolishment)

Article 25

Amendment and abolishment of these provisions shall be conducted in accordance with the procedures stipulated by the School Corporation, after seeking the advice of the Prevention Committee.

Supplementary Provisions

These detailed regulations are effective as of October 1, 2012.

Supplementary Provision

These detailed regulations are revised effective April 1, 2014.

Supplementary Provision

These detailed regulations are revised effective July 1, 2014.

Supplementary Provision

These detailed regulations are revised effective August 1, 2015

Note: The English translation is provided for information. The original Japanese version remains the sole official version. If there is any discrepancy between the two versions, the Japanese original should take precedence.

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