Standards of Practice

INTRODUCTION
The University and College Ombuds Association has developed the following standards of practice to provide a model for individual practice and for the establishment of  office policies and procedures. These standards were developed in accordance with commonly understood principles within the Ombuds profession and reflect the core values of the University and College Ombuds Association. Standards of Practice help guide members in making responsible choices and further, they are intended to promote constituents' understanding of and confidence in Ombuds Offices and their services.

DEFINITION
A college or university ombudsman* is authorized by an institution of higher education to confidentially receive complaints, concerns or inquiries about alleged acts, omissions, improprieties, and/or broader systemic problems within the ombudsman's defined jurisdiction and to listen, offer options, facilitate resolutions, informally investigate or otherwise examine these issues independently and impartially.
 

* The term Ombudsman is used in this definition in order to communicate with the widest possible community and is not intended to discourage others from using more gender neutral terms. In accordance with UCOA practice adopted in 1991, the document uses the term Ombuds throughout. UCOA acknowledges, with respect, that many practitioners use alternative forms of this word, such as ombudsperson, ombuds officer  and the like.

Members of the University and College Ombuds Association strive to practice according to the following standards:
 

1. Independence
The Ombuds Office must be independent in its structure, function and appearance.

1.1 The Ombuds institutional reporting relationship to her/his supervisor is for administrative and budgetary purposes only.

1.2 The Ombuds should be placed at the highest possible level.

1.3 The Ombuds should have no assignment of duties that would present a conflict of interest to her/his duties as ombuds.

1.4 The Ombuds is independent of the units which the office informally investigates or examines.

1.5 The Ombuds has the sole power to appoint and remove Ombuds Office staff and is directly involved in staff supervision.

1.6 The Ombuds acts on issues, concerns, inquiries, complaints, or on her or his own initiative.

1.7 The Ombuds should issue periodic reports summarizing the ombuds' activities.

1.8 The Ombuds should have a set and renewable  term or should be removable only for cause.

1.9 The Ombuds should have a specific allocated budget and sufficient resources to perform the function.

1.10 The Ombuds Office should be established through an act of the organization's official governing body, or in written policies, such as terms of reference or resolution.

1.11 The Ombuds has access to all relevant sources of information.
 
 

2. Impartiality/Neutrality
The Ombuds is neutral, impartial, unaligned and objective.

2.1 The Ombuds has no personal interest or stake in and incurs no personal gain or loss from the outcome of an issue.

2.2 The Ombuds avoids situations which may cause or result in conflicts of interest for the Ombuds.

2.3 The Ombuds is an advocate for good and fair process, not an advocate on behalf of individuals or the institution.

2.4 The Ombuds acts in consideration of and with respect for the legitimate interests and concerns of all affected parties.

2.5 The Ombuds should recommend and advocate for responsible and appropriate systems change.

2.6 The Ombuds should bring to the attention of appropriate parties policies, programs, personnel matters, or institutional practices or decisions which affect persons' health, safety or rights.
 
 

3. Confidentiality
The Ombuds must not disclose and must not be required to disclose any information provided in confidence, except to address an imminent risk of serious harm where there is no other responsible option.

3.1 The Ombuds safeguards the identity of individuals and their issues and does not disclose having met or talked with a party or parties, without permission of the party or parties.

3.2 The Ombuds does not disclose without permission communications received from any or all parties in the course of performing her/his duties.

3.3 The privilege of confidentiality of communications and records belongs to the Ombuds and the Ombuds Office, rather than to any party to an issue.

3.4 The Ombuds does not comply with requests for information about individual cases.

3.5 The Ombuds takes specific action related to an individual's issues only with the individual's permission and only to the extent permitted.

3.6 If the Ombuds pursues an issue systemically, the Ombuds does so without revealing the identity of a complainant or a singular situation that could be associated with a particular individual(s).

3.7 The Ombuds does not violate institutional standards of privacy or confidentiality in the pursuit or provision of information.

3.8 The Ombuds maintains information (e.g., notes, phone messages, appointment calendars) in a secure location and manner.

3.9 The Ombuds carefully prepares data and/or reports in anonymous and aggregate form to preserve confidentiality and prohibit identification of individuals.

3.10 Communication with the Ombuds is not notice to the organization.

3.11 The Ombuds publicizes the confidential nature of Ombuds work.
 
 

4. Informality
The Ombuds functions on an informal basis by such means as: listening, providing and receiving information, reframing issues, developing options, referral, third party intervention, shuttle diplomacy, mediation, and systems change.

4.1 The Ombuds does not take an active role in any formal institutional investigative or adjudicative procedures. The Ombuds may informally investigate or otherwise examine alleged procedural irregularities of a formal process and allegations about alleged acts, omissions, improprieties and/or broader systemic problems.

4.2 The Ombuds supplements, but does not replace, any steps required in formal internal or external procedures. Use of the Ombuds office is not a required step in any grievance process or organizational policy.

4.3 The Ombuds hears, considers, and as appropriate, pursues resolution of the concerns, issues, perceptions, interpretations, facts, and/or allegations of inappropriate acts, omissions, or improprieties presented by individuals.

4.4      The Ombuds may conduct informal fact finding when appropriate.

4.5  When a formal investigation is requested, the Ombuds refers individuals to the appropriate offices or persons.
 
 

5. Access to Services
All members of the specified community may voluntarily seek services and will be treated with respect and dignity.

5.1 The Ombuds exercises discretion in response to requests for service.
 
 

6. Professional Competence
The Ombuds acts in accordance with professional standards of practice and pursues   and provides opportunities for staff to pursue continuing education and training.
 
 

8/30/00

Copyright, 2000 University and College Ombuds Association