The employee ombuds is independent in structure, function and appearance to the highest degree possible within the University. The employee ombuds shall operate independent of ordinary line and staff reporting structures and reports only to the President. To the extent permitted by law, the employee ombuds has access to all University officials and records as needed to carry out the functions of the office. The employee ombuds will exercise sole discretion of whether and how to act regarding individual matters or systemic concerns. The ombuds may also initiate action on a concern identified through the ombuds direct observation.

To ensure the office’s accountability, the employee ombuds shall make periodic reports to the President regarding the operation of the Office of the Employee Ombuds. The employee ombuds identifies trends, issues, and concerns about policies and procedures without breaching confidentiality or anonymity and provides recommendations to the President for responsibly addressing them.

The office of the ombuds must be provided with sufficient resources to operate an independent and effective program. These resources include, adequate and secure space, equipment, staffing, staff development, administrative and budget support, and the production and distribution of informational materials.

The student ombuds is independent in structure, function and appearance to the highest degree within the Division of Student Affairs. The student ombuds shall operate independent of ordinary line and staff reporting structures and reports only to the vice provost-dean of students. To fulfill its functions, the office shall have adequate and secure space and administrative and budget support. The student ombuds will exercise sole discretion of whether and how to act regarding individual matters or systemic concerns. 

To ensure the office’s accountability, the student ombuds shall make periodic reports to the vice provost-dean of students regarding the operation of the Office of the Student Ombuds. The student ombuds identifies trends, issues and concerns about policies and procedures without breaching privacy or anonymity and provides recommendations to the vice provost-dean of students for responsibly addressing them.

The Employee/Student Ombuds Offices are neutral, impartial, and unaligned. The ombuds strives for impartiality, fairness and objectivity in the treatment of people and the consideration of issues. The ombuds advocates for fair and equitable administered processes and does not advocate on behalf of any individual within the organization. The ombuds shall not take sides in any conflict, dispute or issue. The ombuds offices shall consider the interests and concerns of all visitors impartially with the aim of facilitating communication and supporting fair and equitable process. The ombuds shall avoid involvement in matters where there may be a conflict of interest. (A conflict of interest occurs when the ombuds’ private interests, real or perceived, supersede or compete their dedication to the neutral and independent role of the ombuds.) The ombuds should have no personal interest or stake in, and incur no gain or loss from, the outcome of an issue. When a conflict of interest exists, the ombuds shall take all steps necessary to disclose and/or refer the visitor to another resource. The ombuds helps develop a range of responsible options to resolve problems and facilitate discussion to identify the best option. 

The employee ombuds holds all communication with those seeking assistance in strict confidence to the extent feasible and lawful and takes all reasonable steps to safeguard confidentiality. The employee ombuds does not disclose the identity of visitors to the office or the content of conversations unless permission has been given (verbal or written) by the visitor to do so. If the ombuds pursues an issue systematically (e.g. provides feedback on trends, issues, policies, and practices) the ombuds does so in a way that safeguards the identity of individuals. The ombuds prepares data and/or reports in a manner that protect confidentiality. 

The Employee Ombuds Office does not share its records and all communications with the employee ombuds will be held in strict confidence to the full extent of the law. Communications between the employee Ombuds and others are considered confidential. Visitors cannot waive the confidentiality as the confidentiality belongs to the Employee Ombuds and the Student Ombuds Office, rather than to any party to an issue. This includes information about research misconduct and drug/alcohol abuse. The university reporting protocols also allow the employee ombuds to honor requests for confidentiality from an adult victim of sexual assault. The employee ombuds may break confidence where action is required to prevent serious harm. This is typically limited to situations where there is imminent risk of suicide, homicide, child abuse, or other similar situations.  

Speaking with an employee ombuds does not constitute legal notice to the university of any problem, concern, or complaint. The ombuds neither acts as agent for, nor accepts notice on behalf of, the organization and shall not serve in a position or role that is designated as a place to receive notice on behalf of the organization. However, the ombuds may refer individuals to the appropriate place where formal notice can be made. Visitors must pursue alternative complaint avenues if they wish to obligate the university to respond in any way. The ombuds keeps no records containing identifying information on behalf of the organization. The ombuds maintains information (e.g. notes, phone messages, appointment calendars) in a secure location and manner, protected from inspection by others (including management), and has a consistent standard practice for destruction of such information. The employee ombuds has no duty or responsibility to report incidents to any person or authority, other than described above. The Ombuds does not testify in any formal process inside the organization and resists testifying in any formal process outside the organization regarding a visitor’s contact with the Ombuds or confidential information communicated to the ombuds, even if given permission or requested to do so. 

The student ombuds holds all communication with those seeking assistance private to the extent feasible and lawful and takes all reasonable steps to safeguard privacy. The student ombuds does not disclose the identity of visitors to the office or the content of conversations unless permission has been given by the visitor to do so. 

The Student Ombuds Office does not share its records with the university. Communications between the student ombuds and others are considered private. All communications with the student ombuds will be held in strict confidence to the full extent allowed by law. This includes information about research misconduct and drug/alcohol abuse. The student ombuds cannot keep private where action is required to prevent harm to self or others or involves sexual assault. 

Speaking with the student ombuds does not constitute legal notice to the University of any problem, concern, or complaint. Visitors must pursue alternative complaint avenues if they wish to obligate the university to respond in any way. The student ombuds has no duty or responsibility to report incidents to any person or authority, other than described above.

The ombuds functions on an informal basis by such means as: listening, providing and receiving information, identifying and reframing issues, developing a range of responsible options, and – with permission and at the ombuds discretion- engaging in informal third-party intervention. When possible, the ombuds helps people develop new ways to solve problems themselves. The ombuds as an informal off-the-record resource pursues resolution of concerns and looks into procedural irregularities and/or broader systemic problems when appropriate. The ombuds does not make binding decisions, mandate policies, or formally adjudicate issues for the organization. Use of the office will be voluntary and not a required step in any grievance process or university policy.

The Employee and Student Ombuds Office, as an informal resource, does not investigate, arbitrate, adjudicate or in any other way participate in any internal or external formal process or action. The ombuds shall be a resource for informal dispute resolution and conflict management only. The ombuds have sole discretion over whether and how to act to address an individual’s concerns. When a formal investigation is requested, the ombuds refers to appropriate resources. The ombuds identifies trends, issues, and concerns about policies and procedures, including future issues and concerns, without breaking confidentiality or anonymity, and provides recommendations for reasonably addressing them.