The University of Arizona

Ombuds Program Terms of Reference

Date: May 17, 2007

I. General Program Description

 

The Ombuds Program shall be constituted to provide students, staff, administrators, professional staff, and faculty with voluntary, informal, neutral, confidential, third-party assistance in resolving University-related issues, concerns, or conflicts.

The responsibilities for the Ombuds Program will be executed by a Program Director, who will serve as a source of information with respect to University rules, regulations, policies, and procedures. The Program Director may make any recommendations he or she deems appropriate with regard to resolving problems or improving policies, rules, or procedures. However, he or she shall have no actual authority to impose remedies or sanctions, or to enforce any policy, rule, or procedure.

Ombuds shall be appointed by the President for a two-year term, which may be renewable. Ombuds shall be selected through a process which seeks individuals willing and able to fulfill the Standards of Practice of the International Ombudsman Association. Ombuds shall serve as trained ombuds under the direction of the Ombuds Program Director, and will fulfill annual program requirements for continuing training as determined by the Program Director. Their work as ombuds shall be subject to periodic review by the Program Director and the President. Serving as an ombuds is considered as fulfilling a University service requirement, similar to serving on a major University standing committee.

II. Program Roles and Operating Principles

Informality

An ombuds works outside the formal problem-resolution and grievance procedures of the University. The role of an ombuds is to listen, receive, and provide information from parties, provide informal facilitation between parties when requested, and such other functions normally seen as within the purview of a University ombudsperson.

An ombuds does not make, change, or set aside policy or previous administrative decisions, nor does an ombuds serve to determine the rights of others or to unilaterally resolve conflicts.

The ombuds provides services on a voluntary basis. No individual can be compelled to seek assistance from the Ombuds Program or to participate in an ombuds' session. In addition, an ombuds has the discretion to determine whether a request for services will be accepted.

Use of the Ombuds Program is not a required step in any internal grievance procedure. The Ombuds Program is not part of any university review or appeal process. While an ombuds may engage in informal, confidential fact-seeking or otherwise gather information related to a particular issue/case, the Ombuds Program does not engage in formal investigation or fact-finding on behalf of individuals or the university. If an ombuds concludes a formal investigation may be necessary, the ombuds shall refer the individual to the appropriate University office.

While an ombuds may prepare written notes while assisting parties to an issue or case, the Ombuds Program generally will not keep written records of its cases. However, this shall not preclude maintaining aggregate data on overall cases which allow for periodic evaluation of ombuds and the Ombuds Program itself.

Independence

Ombuds will operate under the supervision of the Ombuds Program Director. The Ombuds Program is intended to be independent in its structure, function, and appearance. This means that in the legitimate performance of his/her duties, an ombuds shall be free from interference, retaliation, or the control of others outside the Ombuds Program. An ombuds responds to the issues, concerns, or problems of others by request rather than by proceeding on his/her own initiative. An ombuds has access to all appropriate administrative levels within the university and is authorized to obtain information necessary in the resolution of conflict (except where prohibited by ABOR policies, university policies, or by law).

Neutrality (Impartiality)

An ombuds shall be neutral, impartial, and absent of self-interest in the performance of his/her duties in the program. An ombuds shall act in such fashion as to respect the rights of all parties in a conflict. An ombuds does not give legal advice or acts as anyone's representative, advisor, or counselor. An ombuds does not serve as an advocate for an individual or for the university. An ombuds may strive to uphold an important workplace principle (such as a fair process) in the resolution of a problem. Upholding an important workplace principle may mean that suggestions are made to the President (or other appropriate University administrators) for considering change to University processes or procedures.

Confidentiality

Confidentiality is an essential characteristic of ombuds work. An ombuds will not voluntarily disclose outside the ombuds' office information provided by visitors (including the visitor's identity) without the visitor's explicit permission except as provided in this document. Confidentiality extends not only to the spoken word but to all other forms of communication to and with an ombuds in his/her work, including working records of an ombuds. This includes information regarding whether someone did or did not contact the ombuds office. Such information may be shared if permission is given by an ombuds office visitor and an ombuds also agrees to share this information. In addition, an ombuds shall comply with all University regulations and standards relating to personal privacy and the confidentiality of information.

Exceptions to the principle of confidentiality include when an ombuds a) believes there is a reasonable risk of serious personal injury to anyone or future criminal activity, b) has knowledge of past criminal activity, or c) where information is legally required to be disclosed. To the extent allowed by ABOR policy and law, an ombuds shall not be compelled to testify in any University hearing regarding matters brought to the ombuds office. Nor shall the University ask an ombuds to reveal information received in the appropriate pursuit of his/her ombuds-related work except as legally required or as provided in this document. As allowed by ABOR policy and authorized by the President, the University shall attempt to protect an ombuds from subpoena by others seeking to extract information received in the appropriate pursuit of his/her duties as an ombuds.

Notice

Communications with an ombuds and the Ombuds Program are informal and off-the-record. They do not constitute formal "notice" to The University of Arizona of alleged, actual, or perceived inappropriate behavior by University of Arizona employees. Other channels exist within the University for such notice to be given and will be discussed by an ombuds as appropriate or when requested. The ombuds is available to refer visitors to offices that can "receive notice" for the institution.

Removal from Office

The Program Director may be terminated by the President for such things as a violation of University policy or of willful or careless violations of the Standards of Practice of the International Ombudsman Association. This shall be done by means of a procedure established by the President taking into consideration the need for the legitimate and independent performance of an ombuds' duties, free from the interference, retaliation, or control of others as well as the managerial and administrative responsibilities of the President.

The ombuds are employees of the University who are appointed by the President and serve as volunteers in addition to their regular job duties. Ombuds do not receive a salary from the University for the duties and services they perform as ombuds. Ombuds are required to attend an orientation to ombudsing and to practice in accordance with the principles and ethics set forth by the International Ombuds Association. They are also required to attend at least two Ombuds workshops or training sessions a year in order to be considered for reappointment. Workshops are in-house and are conducted under the direction of the Ombuds Program Director. Although the initial appointment of an ombuds is two years, and subsequent appointments are year-to-year, the appointment can be rescinded at any time by the President. The decision of the President with respect to appointments is final.

Program Effectiveness and Evaluation

The Ombuds Program and its Program Director shall be evaluated annually by the Office of the President. Information relevant to the effectiveness of the Ombuds Program will include aggregate statistics relating to office usage and types of cases handled, a satisfaction survey by users of the program, and such other information as the President may regard as appropriate. In addition, a comprehensive review of both the program and the role of Program Director will be conducted at no greater than three-year intervals to determine if Program continuation or modification is appropriate.

III. Roles and Responsibilities of the Program Director

 

The Ombuds Program Director shall be appointed by the President for an annual term, which may be renewable. The Program Director shall be a member of the University community who, by experience, personal characteristics, and training, exemplifies the attributes of a qualified University ombuds. It shall be the responsibility of the Program Director to maintain the operation and the integrity of the Ombuds Program in keeping with the Standards of Practice of the International Ombudsman Association (see attached) insofar as practicable. The "roles and operating principles" applied to ombuds in Part II of this document shall also apply to the work of the Program Director.

The Program Director shall report to the President through the Vice President and Senior Associate to the President for Academic Personnel for administrative, budgetary, and evaluation purposes. The specific responsibilities of the Ombuds Program Director shall include (but may not be limited to):

  • The selection, orientation and on-going training of the ombuds;
  • Maintenance of consistent standards among the various ombuds of the principles of confidentiality, impartiality, and independence;
  • Handling of individual cases as well as coordination of all referrals to ombuds;
  • Gathering aggregate data on the ombuds program and presenting them periodically in report form to the President, taking into consideration the confidentiality of individual cases; the Director will have as part of his/her obligations commenting on trends in these data as well as on policies and practices of the University which should be brought to the attention of the President;
  • Overseeing expenditures from the Ombuds Program budget;
  • Coordinating publicity for the Ombuds Program.
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Reference Documents for Standards for An Organizational Ombuds Offices:

  • American Bar Association, Section of Administrative Law and Regulatory Practice. Standards for the Establishment and Operation of Ombuds Offices. Washington, DC: August, 2001.
  • International Ombudsman Association, "Standards of Practice," http://www.ombudsassociation.org/
  • Rowe, Mary. Options, Functions and Skills: What an Organizational Ombudsperson Might Want to Know. Dallas, TX: The Ombudsman Association, 1995.