Faculty Ombudspersons’ Standards of Practice and Code of Ethics

Neutrality and Impartiality

The Ombudsperson, as a designated neutral, remains unaligned and impartial. The Ombudsperson does not engage in any situation which could create a conflict of interest.

• The Ombudsperson strives for impartiality, fairness and objectivity in the treatment of people and the consideration of issues;
• The Ombudsperson advocates for fair and equitably administered processes and does not advocate on behalf of any individual within the organization;
• The Ombudsperson serves in no additional role within the organization which would compromise the Ombudsman’ neutrality;
• The Ombudsperson should not be aligned with any formal or informal associations within the organization in a way that might create actual or perceived conflicts of interest for the Ombudsperson;
• The Ombudsperson should have no personal interest or stake in, and incur no gain or loss from, the outcome of an issue;
• The Ombudsperson has a responsibility to consider the legitimate concerns and interests of all individuals affected by the matter under consideration;
• The Ombudsperson helps develop a range of responsible options to resolve problems and facilitate discussion to identify the best options.

Confidentiality

The Ombudsperson holds all communications with those seeking assistance in strict confidence, and does not disclose confidential communications unless given permission to do so. The only exception to this privilege of confidentiality is where there appears to be imminent risk of serious harm.

• The Ombudsperson holds all communications with those seeking assistance in strict confidence and takes all reasonable steps to safeguard confidentiality, including the following: The Ombudsperson does not reveal, and must not be required to reveal, the identity of any individual contacting the Ombudsman, nor does the Ombudsperson reveal information provided in confidence that could lead to the identification of any individual contacting the Ombudsperson, without that individual’s express permission, given in the course of informal discussions with the Ombudsman; the Ombudsperson takes specific action related to an individual’s issue only with the individual’s express permission and only to the extent permitted, and even then at the sole discretion of the Ombudsperson, unless such action can be taken in a way that safeguards the identity of the individual contacting the Ombudsperson. The only exception to this privilege of confidentiality is where there appears to be imminent risk of serious harm, and where there is no other reasonable option. Whether this risk exists is a determination to be made by the Ombudsperson;
• Communications between the Ombudsperson and others (made while the Ombudsperson is serving in that capacity) are considered privileged. The privilege belongs to the Ombudsperson, rather than to any party to an issue. Others cannot waive this privilege;
• The Ombudsperson does not testify in any formal process inside the organization and resists testifying in any formal process outside of the organization regarding a visitor’s contact with the Ombudsperson or confidential information communicated to the Ombudsman, even if given permission or requested to do so;
• If the Ombudsperson pursues an issue systemically (e.g., provides feedback on trends, issues, policies and practices) the Ombudsperson does so in a way that safeguards the identity of individuals;
• The Ombudsperson keeps no records containing identifying information on behalf of the organization;
• The Ombudsperson 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 and standard practice for the destruction of such information;
• The Ombudsperson prepares any data and/or reports in a manner that protects confidentiality;
• Communications made to an Ombudsperson are not notice to the organization. The ombudsperson 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 by the organization as a place to receive notice on behalf of the organization. However, the ombudsperson may refer individuals to the appropriate place where formal notice can be made.