University Ombuds Office

A USM Resource to Help with

CONCERNS...
This isn’t fair!
All I get is the runaround!

PROBLEMS...
Something should be done about this!
I need help dealing with the bureaucracy!

QUESTIONS...
How can I cut through this red tape?
Where can I turn for policy clarification?

What is the Ombuds Office?

The University Ombuds Office is an independent, impartial resource to assist members of the campus community resolve various issues by assuming one or more roles as active listener, facilitator, or mediator. Services are offered in an informal manner, and represent the University’s commitment to treat all members of our campus community with fundamental fairness and equity. Standards of practice include:

Confidential
Strict confidentiality is maintained at all times, except in an extremely rare situation in which there is reason to believe that criminal behavior is involved, or that there is a real threat of serious harm to the complainant or others. No formal written records are kept, and except as noted above, the Ombudsperson will take no action without the permission of the complainant.

Neutral
The Ombudsperson is not an advocate for the complainant or the University, but rather, an advocate for problem solving. The Ombudsperson does not judge, reward, or discipline any parties in a dispute.

The Ombudsperson does not offer instant solutions, as some issues are complex and require in-depth investigation. Through the use of various dispute management strategies appropriate to the situation, the goal of problem resolution is reached.

There will be other individuals available to speak with you should you feel uncomfortable speaking to the university ombudsperson because of personal or any other reason.

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Who Can Use the Services of the Ombuds Office?

Any student, faculty member, or staff person is welcome to speak to the Ombudsperson with complaints, questions, suggestions, or requests for clarification. Before the Ombudsperson becomes actively involved in a problem/conflict situation, all formal complaint procedures should first be exhausted. Students should talk to the appropriate faculty member or administrator, faculty members should speak to department heads, and staff members should talk to supervisors. If concerns persist, feel free to contact the Ombuds Office. In many instances, the only necessary involvement of the Ombudsperson is to simply make someone aware of the correct procedure to follow or person to contact in order to obtain a resolution.

In addition to individuals, USM groups or committees may request facilitation or mediation services from the Ombuds Office to assist in the clarification or resolution of issues.

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What Can be Gained by Coming to the Ombuds Office?

• Insight into a complicated situation
• A clear perspective on your concern
• Enhanced ability to deal effectively with a problem
• Identification and clarification of options
• Suggestions for effective communication strategies to help resolve interpersonal issues

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How Can the Ombuds Office Help?

The Ombudsperson can answer questions and help clarify policies and procedures. Additionally, the Ombudsperson may recommend new policies or procedures, or changes to existing ones, if deemed appropriate. The Ombudsperson can often help by cutting through red tape and reaching the right person to answer a question or solve a problem.

Other assistance includes carefully listening to help analyze a situation, then identifying and evaluating options. The Ombudsperson can facilitate non-adversarial, problem-solving discussions with individual parties or between groups. Additionally, the Ombudsperson often makes referrals to other campus and community resources.

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Are There Issues the Ombuds Office Does Not Handle?

The Ombudsperson does not address disputes between members of the campus community and private individuals, companies or organizations not affiliated with USM.

The Ombudsperson does not intercede in contractual matters, formal grievances, or provide legal advice.

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What Other Services Does the Ombuds Office Provide?

• Conflict management workshops
• Neutral observation during formal or informal meetings
• Conflict-related consultation with supervisors, supervisees, faculty, departments, etc.

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How Can You Contact the Ombudsperson?

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Code of Ethics

The ombudsperson, as a designated neutral party, has the responsibility of maintaining strict confidentiality concerning matters that are brought to his/her attention unless given permission to do otherwise. The only exceptions, at the sole discretion of the ombudsperson, are where there appears to be imminent threat of serious harm.

The ombudsperson must take all reasonable steps to protect any records and files pertaining to confidential discussions from inspection by all other persons, including management.

The ombudsperson should not testify in any formal judicial or administrative hearing about concerns brought to his/her attention.

When making recommendations, the ombudsperson has the responsibility to suggest actions or policies that will be equitable to all parties.

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Standards of Practice

The mission of the organizational ombudsperson is to provide a confidential, neutral and informal process which facilitates fair and equitable resolutions to concerns that arise in the organization. In performing this mission the ombudsperson serves as an information and communication resource, upward feedback channel, advisor, dispute resolution expert, and change agent.

While servicing this role:

1. We adhere to the Ombudsperson Association Code of Ethics
2. We base our practice on confidentiality.
• 2.1 An ombudsperson should not use the names of individuals or mention their employers without express permission.
• 2.2 During the problem-solving process an ombudsperson may make known information as long as the identity of the individual contacting the office is not compromised.
• 2.3 Any data that we prepare should be scrutinized carefully to safeguard the identity of each individual whose concerns are represented.
• 2.4 Publicity about our office conveys the confidential nature of our work.
3. We assert that there is a privilege with respect to communications with the ombudsperson and we resist testifying in any formal process inside or outside the organization.
• 3.1 Communications between an ombudsperson and others (made while the ombudsperson is serving in that capacity) are considered privileged. Others cannot waive this privilege.
• 3.2 We do not serve in any additional function in the organization which would undermine the privileged nature of our work (such as a compliance officer, arbitrator, etc.)
• 3.3 An ombudsperson keeps no case records on behalf of the organization. If an ombudsperson finds case notes necessary to manage the work, the ombudsperson should establish and follow a consistent and standard practice for the destruction of any such written notes.
4. We exercise discretion whether to act upon a concern of an individual contacting the office. An ombudsperson may initiate action on a problem he or she perceives directly.
5. We are designated neutrals and remain independent of ordinary line and staff structures. We serve no additional role (within an organization where we serve as ombudsperson) which would compromise this neutrality.
• 5.1 An ombudsperson strives for objectivity and impartiality.
• 5.2 The ombudsperson has a responsibility to consider the concerns of all parties know to be involved in a dispute.
• 5.3 We do not serve as advocates for any person in a dispute within an organization; however, we do advocate for fair processes and their fair administration.
• 5.4 We help develop a range of responsible options to resolve problems and facilitate discussion to identify the best options. When possible, we help people develop new ways to solve problems themselves.
• 5.5 An ombudsperson should exercise discretion before entering into any additional affiliations, roles or actions that may impact the neutrality of the function within the organization.
• 5.6 We do not make binding decisions, mandate policies or adjudicate issues for the organizations.
6. We remain an informal and off-the record resource. Formal investigations—for the purpose of adjudication—should be done by others. In the event that an ombudsperson accepts a request to conduct a formal investigation, a memo should be written to file noting this action as an exception to the ombudsperson role. Such investigations should not be considered privileged.
• 6.1 We do not act as agent for the organization and we do not accept notice on behalf of the organization. We do always refer individuals to the appropriate place where formal notice can be made.
• 6.2 Individuals should not be required to meet with an ombudsperson. All interactions with the ombudsperson should be voluntary.
7. We foster communication about the philosophy and function of the ombudsperson’s office with the people we serve.
8. We provide feedback on trends, issues, policies and practices without breaching confidentiality or anonymity. We identify new problems and we provide support for responsible systems change.
9. We keep professionally current and competent by pursuing continuing education and training relevant to the ombudsperson profession.
10. We will endeavor to be worthy of the trust placed in us.

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