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What is an Ombudsman?
What is the Role?
What Services are Provided?
When Might I Want to Talk to the Ombudsman?
Standards
of Practice
How Can I Contact the Ombudsman?
The Ombudsman Code of Ethics and Standards
of Practice
Ombuds at Clemson University follow The Code of Ethics and Standards
of Practice of The International Ombudsman Association, as stated below:
Ethical Principals
Independence
The Ombuds is independent in structure, function, and appearance to
the highest degree possible within the organization.
Neutrality and Impartiality
The Ombuds, as a designated neutral, remains unaligned and impartial.
The Ombuds does not engage in any situation which could create a
conflict of interest.
Confidentiality
The Ombuds 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.
Informality
The Ombuds, as an informal resource, does not participate in any formal
adjudicative or administrative procedure related to concerns brought
to his/her attention.
Standards of Practice
Independence
1.1 The Ombuds Office and the Ombuds are independent from other organizational
entities.
1.2 The Ombuds holds no other position within the organization which
might compromise independence.
1.3 The Ombuds exercises sole discretion over whether or how to act
regarding an individual’s concern, a trend or concerns of multiple
individuals over time. The Ombuds may also initiate action on a concern
identified through the Ombuds’ direct observation.
1.4 The Ombuds has access to all information and all individuals in
the organization, as permitted by law.
1.5 The Ombuds has authority to select Ombuds Office staff and manage
Ombuds Office budget and operations.
Neutrality and Impartiality
2.1 The Ombuds is neutral, impartial, and unaligned.
2.2 The Ombuds strives for impartiality, fairness and objectivity in
the treatment of people and the consideration of issues. The Ombuds
advocates for fair and equitably administered processes and does not
advocate on behalf of any individual within the organization.
2.3 The Ombuds is a designated neutral reporting to the highest possible
level of the organization and operating independent of ordinary line
and staff structures. The Ombuds should not report to nor be structurally
affiliated with any compliance function of the organization.
2.4 The Ombuds serves in no additional role within the organization
which would compromise the Ombuds’ neutrality. The Ombuds 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 Ombuds. The Ombuds should have no personal interest
or stake in, and incur no gain or loss from, the outcome of an issue.
2.5 The Ombuds has a responsibility to consider the legitimate concerns
and interests of all individuals affected by the matter under consideration.
2.6 The Ombuds helps develop a range of responsible options to resolve
problems and facilitate discussion to identify the best options.
Confidentiality
3.1 The Ombuds holds all communications with those seeking assistance
in strict confidence and takes all reasonable steps to safeguard
confidentiality, including the following:
The Ombuds does not disclose confidential communications unless given permission
to do so in the course of informal discussions with the Ombuds, and even then
at the sole discretion of the Ombuds; the Ombuds does not reveal, and must not
be required to reveal, the identity of any individual contacting the Ombuds Office,
nor does the Ombuds reveal information provided in confidence that could lead
to the identification of any individual contacting the Ombuds Office, without
that individual’s express permission; the Ombuds takes specific action
related to an individual’s issue only with the individual’s express
permission and only to the extent permitted, unless such action can be taken
in a way that safeguards the identity of the individual contacting the Ombuds
Office. 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 Ombuds.
3.2 Communications between the Ombuds and others (made while the Ombuds is serving
in that capacity) are considered privileged. The privilege belongs to the Ombuds
and the Ombuds Office, rather than to any party to an issue. Others cannot waive
this privilege.
3.3 The Ombuds does not testify in any formal process inside the organization
and resists testifying in any formal process outside of the organization, even
if given permission or requested to do so.
3.4 If the Ombuds pursues an issue systemically (e.g., provides feedback on trends,
issues, policies and practices) the Ombuds does so in a way that safeguards the
identity of individuals.
3.5 The Ombuds keeps no records containing identifying information on behalf
of the organization.
3.6 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 and standard practice for the destruction
of such information.
3.7 The Ombuds prepares any data and/or reports in a manner that protects confidentiality.
3.8 Communications made to the Ombuds are not notice to the organization. The
Ombuds neither acts as agent for, nor accepts notice on behalf of, the organization.
However, the Ombuds may refer individuals to the appropriate place where formal
notice can be made.
Informality and Other Standards
4.1 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 Ombuds discretion—engaging in informal third-party intervention.
When possible, the Ombuds helps people develop new ways to solve
problems themselves.
4.2 The Ombuds as an informal and off-the-record resource pursues resolution
of concerns and looks into procedural irregularities and/or broader
systemic problems when appropriate.
4.3 The Ombuds does not make binding decisions, mandate policies, or
formally adjudicate issues for the organization.
4.4 The Ombuds supplements, but does not replace, any formal channels.
Use of the Ombuds Office is voluntary, and is not a required step in
any grievance process or organizational policy.
4.5 The Ombuds does not participate in any formal investigative or
adjudicative procedures. Formal investigations should be conducted
by others. When a formal investigation is requested, the Ombuds refers
individuals to the appropriate offices or individual.
4.6 The Ombuds identifies trends, issues and concerns about policies
and procedures, including potential future issues and concerns, without
breaching confidentiality or anonymity, and provides recommendations
for responsibly addressing them.
4.7 The Ombuds acts in accordance with the IOA Code of Ethics and Standards
of Practice, keeps professionally current by pursuing continuing education,
and provides opportunities for staff to pursue professional training.
4.8 The Ombuds endeavors to be worthy of the trust placed in the Ombuds
Office.
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