How do we encourage good behavior?

What do we have to understand, in general?

JAO fosters mutual respect among its staff and offers a system to resolve conflicts when mutual respect is broken, quickly, impartially, confidentially and without any cost or retaliation for those involved.

This Code provides the mechanisms that facilitate the timely detection of conducts that constitute an attack on dignity, and also of its risk factors, in order to prevent its occurrence and promote behavior in accordance with the values of the Observatory.

And in particular?

It is the responsibility of supervisors, JAO Human Resources, Heads of Department and, ultimately, the Director of ALMA, to ensure that quick and effective measures are taken to stop any conduct prohibited under this Code, in accordance with the rules.

Established procedures can be preventive or corrective, formal or informal. None of these mechanisms prevents the right of any employee, local or international, to use the relevant legal or regulatory procedures that are applicable, in accordance with their employment contract, to resolve labor disputes or report prohibited conduct.

What are our prevention mechanisms?

Through the Department of Human Resources, the JAO will maintain a policy of permanent care of its organizational integrity and that of its collaborators, including its employees, contractors, subcontractors and visitors, developing actions such as:

Standardized broadcasting and training plans that promote the institutional and individual integrity of all the people who work at the Observatory, including contractors, subcontractors, and suppliers.
Regular meetings with supervisors and group leaders to identify potential conflicts, in order to intervene at an early stage.
Guidance for those who participate in the informal resolution of particular problems.
Annual questionnaires on conflicts of interest.
Regular questionnaires about work environment or climate.
The ALMA Director, through the JAO Human Resources office and in cooperation with HRAG, may take action, either individually or in groups, to address behaviors that could be detrimental to the work environment.

JAO expects its staff to seek guidance through their supervisors or Human Resources in case of doubts, both with regard to the fulfillment of its operations and functions, and the spirit of its principles, policies, protocols and instructions.

4 ways of resolving conflicts

1.- Inform

Inform

JAO and the Executives ask everyone to report any incident related to discrimination, harassment, intimidation, retaliation or any other conduct prohibited or considered contrary to the principles and values contained in this Code, regardless of identity, status, or position of the alleged offender.

Every person should have the confidence to inform their supervisor, JAO Human Resources or any other relevant person when they are faced with an act that is or may be contrary to this Code, the law or internal rules, procedures and values of the JAO.
The JAO must consider that the people affected by an incident may feel reluctant to report it, so detection and prevention measures are essential.
Reports of any incident can be made formally or informally:
- Informal complaints may be directed to Executive Internal Contacts, Ombuds representatives, and / or JAO Contacts, who will informally explore and assist in determining options to help resolve conflicts, problematic issues or concerns, and point out systemic concerns to the attention of the JAO Human Resources Office for resolution.
- Neither the Executive Contacts nor the Ombuds representatives will mediate for JAO employees with a different contract, but will only help determine the available options, unless all parties involved explicitly agree.
- Formal complaints will be presented to the direct supervisor or the HR Manager of the JAO.

The person who receives a formal complaint will inform the HR Manager of the JAO and present the official complaint and information on the ongoing process.
In any case, supervisors and department heads who witness or learn of any serious violation of this Code have the obligation to report it; however, formal complaints can only be made with the consent of the alleged victim.
Even when the Code does not set a deadline for reporting an incident, it is recommended that you file a report as soon as possible after learning of the incident.
Complaints can be made in person, in writing, by email or by phone and are not subject to any formality.
Complaints will always be received and treated with strict confidentiality.

2.- Informal process

Informal process

What is the purpose of the informal process?

To facilitate an unofficial and confidential forum to address incidents and reports of prohibited conduct arising at the JAO. This process aims to resolve the situation informally and directly to begin with, and whenever feasible and appropriate.

How does it work?

It begins with a complaint to any of the JAO contact persons or the Internal Contacts of the corresponding Executive or the representatives of the Ombuds.

The informal process will provide the person reporting the incident an opportunity to discuss the incident informally and confidentially and to seek advice on available options and resources.

The applicant may then decide to take other measures in order to resolve the process informally or initiate a formal process, if the incident is too serious to be dealt with in an informal process.

In the event that he or the complainant wants to continue with the informal process, the contact person who receives the report will aim to resolve the conflict, if possible, ensuring the existence of spaces for dialogue in good faith or with direct mediation.

Informal resolution of the situation may include the alleged offender being informed that the conduct in question represents a violation of this Code, and that it is unacceptable and must cease.
This can occur either by the person reporting the incident or, in the event that you are uncomfortable addressing the alleged offender directly, by your supervisor or the alleged offender’s supervisor, by the person receiving the report, a member of the Team ALMA Central Director or a representative of the Personnel Representation of which the accused is a member.

JAO Contact Persons act as a neutral entity and do not advocate for the individual, groups, or organization. The only defense role is that of justice and equity. While they may recommend that an organization consider establishing or revising a policy, JAO Contact Persons have no formal role in the implementation or decision to implement the policy.

3.- Alternative mediation

Alternative mediation

How does it work?

Should the victim of a forbidden conduct and the alleged offender agree to an alternative mediation procedure, the issue shall be deferred to an expert, independent and neutral mediator. The people involved shall agree on the mediator and may request the JAO HR Manager to recommend potential mediators.
This mechanism is voluntary and the people involved negotiate directly with the aid of the, who will help them to communicate effectively and generate creative solutions to their conflict.
The mediation process will be officially started with the first meeting held by the mediator with the people concerned. During the course of this meeting, the mediator will supply information pertaining to the mediation process. The mediation process is strictly confidential.
Upon receiving and during the entire process of the mediation, the mediator shall determine whether the mediation does or does not constitute an appropriate system of conflict resolution for that particular case.
The mediator must recognize and respect the self-determination of the people involved in the resolution of their conflict. Each of them has the power to reach an agreement freely and voluntarily and to abandon the mediation at any time prior to an agreement if they deem it convenient.

4.- Formal process

Formal process

In which cases will a formal investigation be initiated?

When the informal process has not resulted in a resolution of the conflict.
When one of the people involved did not agree to mediation.
In case the conduct in question is too serious to be dealt with in an informal process or an alternative mediation.

What stages does the formal process consider?

1. Formal report

Any member of JAO Staff who feels they have fallen victim to a conduct forbidden under this Code, which he/she considers to be too serious to be dealt with in an informal process or if the informal resolution was not successful, may file a formal report provided the alleged offender is also a member of JAO Staff.
Before any formal investigation can be started, the formal report shall be made in writing to any of the people as defined in Art. 4.2.1 c) above. It shall include as a minimum the information as mentioned in Art. 4.2.1 lit g) above, the request to initiate the formal process and shall be dated and signed by the person reporting. The recipient of the formal report shall notify the alleged offender in person that a formal report has been filed and inform him/her about the alleged conduct. He/she shall consult with the potential victim and may, if appropriate, recommend to solve the conflict through alternative mediation according to Art 4.2.3 above without a formal investigation. Alternative mediation requires that the potential victim and the alleged offender agree to it.
At the same time, the person who has received the formal report shall inform the Human Resources department of the Executive(s) employing the potential victim and the alleged offender.

2. Investigation

Investigations will be carried out by a panel that will be convened by the JAO HR Manager, by the Director of ALMA or by the President of the ALMA Board, depending on who is directing the investigation, within three business days after having received the formal complaint and related information. The panel will be formed by:
- The JAO HR Manager as President. If the case concerns the JAO HR Manager or ALMA Director, HRAG will appoint in his place a senior member of the JAO staff as Chairman, who will not be from the same employer as the JAO HR Manager or the Director of ALMA, respectively;
- A person appointed by the Executive who employs the alleged victim among the personnel of this Executive or of the JAO, and
- A person appointed by the staff representing the alleged victim is a member of the JAO staff. In the event that the alleged victim is not a member of a representative organization of the staff, the third person will be appointed by the Chairman of the panel.

Key stages of the investigation process

Stage 1

The President personally notifies all the people involved in the incident of the initiation of the investigation and will set the dates of the meetings to present evidence.

Stage 2

The group will initiate the investigation, up to 3 business days after they have been convened.

The investigation is considered completely confidential.

Stage 3

The investigation will take place in a maximum of 15 calendar days, from the first investigation meeting.

An extension may be requested for another 15 calendar days.

Stage 4

At any time during the investigation, the group may recommend alternative mediation.

3. Resolution

Once the investigation is concluded, and if the matter has not been deferred to an informal resolution or mediation procedure, the group will prepare an investigation report that will include a detailed description of the complaint filed, the response of the alleged offender, a description investigation procedures and investigation findings. It will also include recommendations on possible sanctions or disciplinary measures in accordance with the rules applicable to the corresponding legal employer and any other measures that are taken to prevent such conduct in the future. The investigation report will be presented by the Chairman of the panel to the Director of ALMA (or to the Chairman of the Board if the case involves the Director of ALMA).

What happens if a visitor acts contrary to the Code?

Complaints made to a member of a visiting executive, contractor or scientist will be channeled and processed through their employer’s complaint channels.
In cases where a complaint is filed against a person other than JAO staff (such as a contractor, a visitor, a visiting scientist, or an executive staff on a temporary mission at the Observatory), the report will be presented to the supervisor of the accused, to your Head of Department or to the HR Manager of the JAO.
The supervisor, the Head of Department or the HR Manager of the JAO will contact the person in charge of supervising the contract, the visit or the mission to inform them of the situation.

It is important to note that the authority of the ALMA Director over the ALMA Site, including the OSF and the AOS, remains intact and can, for example, be exercised if it considers that any such incident could seriously affect the work environment at the Observatory.