Office of Ombudsperson Charter

The Ombuds Office shall adhere to the International Ombudsman Association's (IOA) Code of Ethics and Standards of Practice, available for review in the Ombuds Office and online at www.ombudsassociation.org/about-us/code-ethics. Based on the traditions and values of Ombudsman practice, the IOA Code of Ethics reflects a commitment to promote ethical conduct in the performance of the Ombuds role and to maintain the integrity of the Ombuds profession.

The IOA Code of Ethics States:

The Ombudsman shall be truthful and act with integrity, shall foster respect for all members of the organization he or she serves, and shall promote procedural fairness in the content and administration of those organizations' practices, processes, and policies.

ETHICAL PRINCIPLES

INDEPENDENCE

The Ombudsman is independent in structure, function, and appearance to the highest degree possible within the organization.

NEUTRALITY AND IMPARTIALITY

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

CONFIDENTIALITY

The Ombudsman holds all communications with those seeking assistance in strict confidence and does not disclose confidential communications unless given permission to do so. The only exceptions to this privilege of confidentiality are: where there appears to be imminent risk of serious harm; and/or where disclosure is required by law.

INFORMALITY

The Ombudsman, as an informal resource, does not participate in any formal adjudicative or administrative procedure related to concerns brought to his/her attention.

The IOA Code and Standards establish fundamental benchmarks, and the Ombuds Office is committed to adhering to the highest standards as outlined in the IOA Best Practices. Furthermore the Ombuds Office is dedicated to upholding the missions, values, standards and expectations of the University of Miami which are available for review at https://www.hr.miami.edu/working-at- the-u/mission-values.

The Ombuds Office reports to Medical Faculty Affairs for administrative and budgetary purposes only and functions independently with respect to case handling and issue management. The Medical Faculty Affairs supports the independence of the Ombuds Office.

A. Authority of the Ombuds Office Initiating Informal Inquiries

The Ombuds Office may inquire informally about any issue concerning MSOM and members of the MSOM community. The Ombuds Office may initiate informal inquiries into matters that come to its attention without having received a specific complaint from an affected member of the University community.

B. Access to Information

If the Ombuds Office makes a request for information contained in the files and offices of the University, the request shall be honored with reasonable promptness so long as such records would be otherwise disclosable under University policies. The Ombuds Office will respect the confidentiality of the information unless disclosure is required by law.

C. Ending Involvement in Matters

The Ombuds Office may decline to investigate or withdraw from a matter if the Ombuds Office believes involvement would be inappropriate for any reason.

D. Discussions with Visitors and Others

The Ombuds Office has the authority to discuss a range of options available to its visitors, including both informal and formal processes. The Ombuds Office may make any recommendations it deems appropriate with regard to resolving problems or improving policies, rules, or procedures. However, the Ombuds Office has no actual authority to impose remedies or sanctions or to enforce or change any policy, rule, or procedure.

E. Access to Legal Counsel

On occasion, the Office may require legal advice or representation to fulfill its required functions. Generally, the University’s Office of the General Counsel will provide such representation unless the General Counsel’s Office determines that a conflict exists.

A. Receiving Notice for the University

Communication to the Ombuds Office will not constitute notice to the University about the existence of a problem. Such communication may include but is not limited to alleged violations of laws, regulations, or policies, such as sexual harassment, retaliation, or incidents subject to reporting under the Clery Act. Although the Ombuds Office may receive such allegations, it is not a "campus security authority" as defined in the Clery Act, nor is it required to report these allegations to the University. In addition, if the visitor discloses such allegations and expresses a desire to make a formal report, the Office will refer the visitor to the appropriate office(s) for administrative or formal grievance processes.

B. Formal Processes and Investigations

The Ombuds Office will not conduct formal investigations of any kind. It will not participate in the substance of any formal dispute processes, outside agency complaints or lawsuits, either on behalf of a visitor to the Ombuds Office or on behalf of MSOM, unless legally compelled to do so.

C. Collective Bargaining Agreements

The Ombuds Office may not inquire (informally or otherwise) into the application or interpretation of a collective bargaining agreement, or into the alleged violation of the duty of fair representation against a certified union. The Ombuds Office may work with represented employees on matters not covered by the collective bargaining agreement.

D. Record Keeping

The Ombuds Office will not keep records for the MSOM and will not create or maintain documents or records for the MSOM about individual matters. Notes and any other materials related to a matter will be maintained in a secure location and manner and will be destroyed once the Ombuds Office concludes its involvement in a matter.

E. Advocacy for Parties

The Ombuds Office will not act as an advocate for any party in a dispute, nor will it represent management or visitors to the office.

F. Adjudication of Issues

The Ombuds Office will not have authority to adjudicate, impose remedies or sanctions, or to enforce or change MSOM policies or rules.