Statement of Best Practices

In accordance with the International Ombuds Association (IOA)

Code of Ethics and Standards of Practice

The Ombuds Office acts in accordance with the IOA Code of Ethics and Standards of Practice. These tenets require that Ombuds offices function independently within the structure of the organization, be confidential and neutral, and limit the scope of their services to informal means of dispute resolution. The Ombuds Office shall take appropriate steps to make the tenets of best practices of the Ombuds profession available to the University community.  

1. Independence: The Ombuds Office shall be free from interference in the legitimate performance of its duties. This independence is achieved primarily through reporting structure, neutrality and organizational recognition. To ensure objectivity, the Ombuds Office shall operate independently of ordinary line and staff structures. The Ombuds will not disclose confidential information about matters discussed in the Ombuds Office with anyone in the organization, including the person to whom the Ombuds Office reports, except as clearly delineated in #4 - Confidentiality. The Ombuds Office shall report administratively to the Office of the Provost. In all cases, the Ombuds Office shall also have unobstructed access to the President of the University. 
2. Informality: The Ombuds Office shall be a resource for informal dispute resolution. The Ombuds Office shall not investigate, arbitrate, adjudicate or in any other way participate in any internal or external formal process or action. The Ombuds Office does not keep records for the University and shall not create or maintain documents or records for the University about individual cases. Notes, if any, taken during the course of working on a case shall be routinely destroyed at regular intervals. Use of the Ombuds Office is strictly voluntary and is not a required step in any grievance process. William & Mary prohibits retaliation against any administrator, faculty, or employee for using the services provided by the Ombuds Office.  
3. Neutrality: An Ombuds is a designated neutral party, operating independently in the structure of the University. An Ombuds shall not take sides in any conflict, dispute or issue. The Ombuds supports fair and equitably administered processes with the aim of facilitating communication and reaching mutually acceptable outcomes. An Ombuds is neutral, impartial, and unaligned. An Ombuds should not serve in any additional role, including participation on committees within the University which would compromise the neutrality of the role. The Ombuds Office should not report to nor be affiliated with any compliance function of the university. 
4. Confidentiality: The Ombuds Office shall not disclose or be required to disclose any information provided in confidence, unless given express permission to do so by the visitor or unless required by law. An exception to maintaining any such confidentiality would arise if the University Ombuds had a reasonable concern regarding a risk about possible violence or physical harm. The Ombuds Office shall not confirm communicating with any party or parties. An Ombuds shall not participate as a witness with respect to any confidential communication, nor participate in any formal process inside or outside of the University, unless compelled to do so by judicial subpoena or court order. The Ombuds Office considers all communication to be privileged, which means that it will not voluntarily disclose them, but the Commonwealth of Virginia does not recognize this privilege by statute, which means that it may be compelled to do so.

Authority and Limitations of the Ombuds Office

Specific areas of authority and limitations on the authority of the Ombuds Office include those listed below.

1. Authority of the Ombuds Office: 

   The University Ombuds shall be entitled to inquire about any issue concerning the University that affects any member of the University community and shall respect the confidentiality of that information. The Provost, acting as the President’s designee, has authorized University Ombuds access to all records and personnel of William & Mary for the purpose of performing her/his duties. An Ombuds has the authority to discuss and refer to a range of options available to the visitor, including both informal and formal procedures.  

   An Ombuds may, without having received a specific complaint from a member of the University community, inquire about matters which she/he believes to warrant attention. The Ombuds Office may decline to inquire into a matter or may withdraw its services from a visitor if an Ombuds believes involvement is inappropriate for any reason, including, but not limited to, matters not brought in good faith, a conflict of interest, or matters that appear to be a misuse of the Ombuds function.  

   The Ombuds Office may have access to legal or other professional advice in order to fulfill its required functions.

2. Limitations on Authority of the Ombuds Office:

   1. Receiving Notice for the University: Communication to the Ombuds Office shall not constitute notice to the University. This includes allegations that may be perceived to be violations of laws, regulations or policies, such as sexual harassment, issues covered by the Whistleblower policy, or criminal incidents subject to reporting under the Clery Act. Since the Ombuds Office is informal, off-the-record, confidential, and independent, an Ombuds is not required to report allegations to the University. If a visitor would like to put the University on notice regarding a specific situation or wishes for information to be provided to the University, an Ombuds will provide the visitor with information and refer the visitor to an official who represents the University so that the visitor may do so directly. The Ombuds Office shall publicize its non-notice role to the university community.

   2. Formal Processes and Investigations: The Ombuds Office shall not conduct formal investigations of any kind but may seek out resources and information on behalf of visitors if circumstances warrant. In all cases, the Ombuds Office will seek information on behalf of visitors without revealing their identity or identifying information, unless the visitor has consented to or requested the Ombuds share their identity. An Ombuds shall also not participate in formal dispute processes or outside agency complaints or lawsuits, either on behalf of a visitor to the Ombuds Office or on behalf of the University, subject to compliance with a judicial subpoena or court order. Because confidentiality and informality are critically important to the Ombuds Office, all communications with an Ombuds are made with the expectation that communication is confidential, off-the-record, and that no one from the Ombuds Office will be called to testify as a witness in any formal or legal proceeding to reveal confidential communications, unless compelled by judicial subpoena or court order. The Ombuds Office provides an alternate channel for dispute resolution, and all use of ombuds services shall be voluntary.

   3. Record Keeping and Electronic Communication: The Ombuds Office does not keep records for the University and shall not create or maintain documents or records for the University about individual cases. Notes, if any, taken during the course of working on a case shall be routinely destroyed at regular intervals. An Ombuds may maintain non-confidential statistical data to assist in reporting trends and providing feedback to the University.  

      Because of concerns with confidentiality, the Ombuds Office discourages the use of e-mail in communicating with its office. If anyone wishes to communicate with an Ombuds via e-mail, confidentiality cannot be guaranteed. The University Ombuds Office will delete e-mail correspondence on a regular basis and publicize the limitations of e-mail toward supporting the confidentiality for Ombuds work.

   4. Employee Associations and Unions: Specific sections of the Code of Virginia prohibit the University, as an agency of the Commonwealth, from “recognize[ing] any labor union or employee association as a bargaining agent of any public officers or employees.” In addition, the Ombuds has no authority to bargain or negotiate with the University on behalf of any employee. This means that no interaction between the Ombuds and any employee of the University constitutes “negotiating” or “bargaining.” Instead, all communications with the Ombuds are for the sole purpose of discussing and working toward resolution of workplace concerns. An employee’s affiliation with any employee association or union has no impact or relevance for the Ombuds.

   5. Advocacy for Parties: The Ombuds shall not act as an advocate for any party in a dispute, nor shall it represent management or visitors to the Ombuds Office.

   6. Adjudications for Issues: The Ombuds shall not act as an advocate for any party in a dispute, nor shall it represent management or visitors to the Ombuds Office

   7. Conflict of Interest: Individual Ombuds shall avoid involvement in cases where there may be a conflict of interest. In addition to the conflict of interest prohibitions set forth in the State and Local Government Conflicts of Interest Act, a conflict of interest occurs when an Ombuds’ private or professional interests, real or perceived, supersede or compete with his or her dedication to the impartial and independent nature of the role of the Ombuds. When a real or perceived conflict exists, an Ombuds should take all steps necessary to disclose and/or avoid the conflict.

Retaliation for Using the Ombuds Office
All members of the constituencies served by the Ombuds Office shall have the right to consult with an Ombuds without reprisal.

Office Structure

Due to the independent nature of the Ombuds Office, and in congruence with IOA Standards of Practice, 2.3, “The Ombudsman is a designated neutral reporting to the highest possible level of the organization and operating independent of ordinary line and staff structures. The Ombudsman should not report to nor be structurally affiliated with any compliance function of the organization.”  

At William & Mary, the Ombuds Office shall report to the Provost on administrative matters only. To fulfill its function, the Ombuds Office shall have sufficient resources available to meet operating needs, including continuing professional development. 

The Ombuds Office, in consultation with the Provost, shall determine appropriate mechanisms for accountability, including regular evaluation of the Ombuds Office (see "Evaluation of the Ombuds Office and Staff”).

Evaluation of the Ombuds Office and Staff

The Provost (or other appropriate designee of the Provost) is responsible for conducting an annual evaluation of the Ombuds Office and reporting its findings to the President. The evaluation will be partly based on anonymous visitor survey instruments.  Survey data will be summarized and used in the annual evaluation of the University Ombuds.

Procedures for Revision and Amendment of this Document

This document reflects current best practices in the ombuds profession. It may be revised as needed by the William & Mary Ombuds Office, in consultation with the Office of the Provost and others as deemed necessary.

Please visit the IOA Standards of Practice and Code of Ethics for more information.