Ombuds Office Charter
I. Introduction
The Ombuds Office (“Office”) of Florida Institute of Technology (“Florida Tech” or “Institution”) serves as a confidential, impartial, informal, and independent resource to Florida Tech students, faculty, and staff (“visitors”) to assist visitors in conveying questions or concerns and/or to problem-solve conflicts related to the Institution. The Office is managed and maintained by a full-time Ombudsperson, who is accessible to all visitors. The Office identifies trends and patterns in questions or concerns that may arise or are causing conflict and makes recommendations to the Institution to address these matters systemically. In alignment with these important functions, this Charter Agreement defines the purpose, responsibilities, standards of practices, authorities, and limitations of the Office
II. Purpose and Scope
The purpose of the Office is to provide services that aid and guide visitors in addressing questions or concerns related to the Institution by facilitating communication and informal dispute resolutions, providing resources and referrals, and assisting visitors in developing strategies and considering various options available. These services supplement but do not replace any other existing administrative processes and conflict resolution resources at the Institution. The Ombudsperson carries out the tasks and duties that are required to fulfill the Office’s purpose.
The Office confidentially receives questions, complaints, concerns, or inquiries. In response, the Office will listen, review, make informal inquiries, clarify policies, provide information, make referrals, and assist visitors in understanding a range of options that may be available to assist them. When appropriate and if requested by visitors, the Office may informally facilitate communication among parties through mediation and/or with other campus offices as a neutral, third party in an impartial and independent manner.
The Office serves as an information and communication resource. Without disclosing confidential information, the Office identifies and reports on general trends or patterns of questions or concerns, providing feedback throughout the organization, and recommending changes when appropriate. The Office relays these trends and patterns through periodic feedback to Institutional leadership and advocates for positive, systematic changes.
III. Standards of Practice
The Office operates under the Standards of Practice and Code of Ethics established by the International Ombuds Association (IOA), and to the extent permitted by law, this Charter adopts and incorporates by reference. The tenets of these standards require the Office to function independently, to be confidential and impartial, and to limit the scope of its services to informal means of dispute resolution. The Office will publicize and explain these ethical standards to each visitor. The Ombudsperson will be a member of IOA and will attend regular trainings and conferences whenever possible
1. Independence
The Office shall be, and appear to be, free from interference in the legitimate performance of its duties. This independence is achieved by neutrality, reporting structure, and Institutional understanding and respect for the role of the Office. In order to ensure objectivity, the Office shall function independently from administrative authorities. This includes not disclosing confidential information about matters discussed in the Office with anyone in the Institution, including the person to whom the Office reports. The Ombudsperson shall exercise sole discretion over whether and how to act regarding individual matters or systemic concerns.
To fulfill its functions, the Office shall have a specific allocated budget, adequate space, and sufficient resources to meet operating needs and pursue professional development. For administrative and budgetary matters, the Office shall report to the President of the Institution.
2. Confidentiality
The Office shall not disclose information provided in confidence unless: (1) the visitor requests it and the Ombudsperson determines it to be an appropriate option; or (2) the Ombudsperson asks for and receives permission for disclosure; or (3) the Ombudsperson determines that there is an imminent risk of serious harm to self or others; or (4) the Ombudsperson is required under state or federal law to report, such as in cases of child abuse.
The Office asserts that there is a privilege of confidentiality with respect to the identity of visitors and their issues, subject only to a court order. The Office shall neither willingly participate as witnesses with respect to any confidential communications, nor participate in any formal process inside or outside the Institution except under court order.
3. Impartiality
The Office shall impartially consider the interests and concerns of all parties involved in a situation with the goal of facilitating communication and assisting the parties in reaching mutually acceptable agreements that are fair, equitable, and consistent with the mission and policies of the Institution. The Office shall not take sides in any conflict, dispute, or issue. The Ombudsperson may serve as a neutral third-party in any setting, including voluntarily mediation settings.
The Ombudsperson shall avoid involvement in cases in which a conflict of interest may exist. A conflict of interest occurs when the Ombudsperson’s private interests, real or perceived, supersede or compete with his or her dedication to the impartial and independent nature of the role of the ombudsperson. When a conflict of interest exists, the ombudsperson should take all steps necessary to disclose and /or avoid the conflict.
4. Informality
The Office serves as a resource for informal services. The Office shall not investigate, arbitrate, adjudicate, or in any other way participate in any internal or external formal process or action. The Office may serve as a mediator in voluntary mediation proceedings among parties, wherein binding agreements can be made among the parties. Use of the Office is voluntary and is not a required step in any grievance process or Institution policy.
The Office does not keep records for the Institution and shall not create or maintain documents or records for the Institution about individual inquiries. The Office does track non-identifying information concerning visitor issues, demographics, and experience with use of the Office for purposes of facilitating Institutional growth and internal office evaluations.
IV. Authority of the Office
1. Informal Inquiries
The Office may inquire informally about any issue concerning the Institution which affects any member of its community. This applies to matters that come to the attention of the Office at its own discretion without having received any specific complaint. The Office is authorized to informally address issues related to institutional policies or procedures, or issues that may fall under federal, state, and local laws, rules, and regulations.
2. Access to Information
The Office shall have access to records, personnel, and appropriate administrative levels within the Institution and shall be authorized to obtain information necessary to address questions, complaints, or concerns brought forth, except where prohibited by Institutional policies or by law. In the event of concerns for protection of visitor’s privacy arise, a visitor may waive their right to FERPA or other privacy protections to allow the Ombudsperson to review otherwise protected information. The Office will respect the confidentiality of such information and break confidentiality only if the Office believes there is an imminent risk of serious harm. Requests from the Office for information should be handled with reasonable promptness by departments of the Institution.
3. Ending Involvement in Matters
The Office may withdraw from or decline to inquire into a matter if the Ombudsperson believes involvement would be inappropriate for any reason, including matters not brought in good faith, or which appear to be misuses of the Office’s function.
4. Discussion with Visitors and Others
The Office shall have the authority to discuss a range of options available to visitors, including both informal and formal processes. When appropriate, the office may refer visitors to official Institutional policies or procedures. The Office may make any recommendations that they deem appropriate regarding how to problem solve or improve policies, rules, or procedures. The Ombudsperson may serve as a mediator in voluntary mediation proceedings among parties, wherein binding agreements can be made among the parties. These mediated agreements are not be signed by the Ombudsperson, but rather approved and recorded by the appropriate department.
5. Access to Legal Counsel
The Office may require legal or other professional advice in order to fulfill required duties and responsibilities. The Office shall have access to the General Counsel’s office concerning any legal matters that arise in the course of the Ombudsperson role. If the General Counsel’s office has a conflict of interest in the matter, the Institution shall provide neutral, external legal counsel to assist and provide guidance to the Office.
V. Limitations of the Office
1. Receiving Notice
Communication to the Office shall not constitute notice to the Institution. The Office is not authorized to receive formal complaints or notice of claims against the Institution. This includes allegations that may be perceived to be violations of laws, regulations, or policies, such as sexual harassment, issues covered by whistleblower policy, or incidents subject to reporting under the Clery Act or Title IX of the Education Amendments of 1972. Although visitors may make such allegations, neither the Ombudsperson or the Office is designated a “Campus Security Authority” as defined by the Clery Act or a “responsible authority” under Title IX. The Office shall publicize its non-notice role.
2. Formal Processes and Investigations
The Office shall not initiate or conduct formal investigations of any kind. The Office shall also not willingly participate in any formal processes or investigations or in the substance of any internal or external dispute process, either on behalf of a visitor to the office or on behalf of the Institution, unless required by court order.
3. Record Keeping
The Office shall not create or maintain documents or records for the Institution about individual matters. Without disclosing confidential information, the Office will maintain general, statistical data to report trends, identify areas for institutional improvement, and enhance Office processes and effectiveness. The Office will provide a template of the data metrics upon visitor’s written request. Notes or other materials related to a matter will be maintained in a secure location and will be destroyed within a reasonable amount of time or once the office concludes its involvement in the matter.
4. Advocacy or Representation
The Office shall not act as an advocate, legal representative, or any other type of representative for any party in a dispute, including the institution, visitors, or any other group or individual. The Ombudsperson shall not provide legal advice to any visitor, and as such, no recommendations shall be construed as legal advice. The Office serves as a neutral entity on the campus and is a neutral advocate for fair and consistent treatment of all persons and issues.
5. Adjudication of Issues or Creation of Policies
The Office shall not have the authority to adjudicate or issue corrective actions, remedies, or sanctions. The Office shall not have the authority to enforce, create, or amend Institutional policies, procedures, or rules, including investigative processes. The Office shall not compel others to do these acts.
VI. Retaliation
All visitors to the Office shall have the right to consult the Office without fear of retaliation or reprisal. The Institution will not retaliate against any individual for consulting with or declining to consult with the Office. The Office itself and the ombudsperson shall be protected from retaliation by any person who may be the subject of a complaint or inquiry.
Original Date of Approval March 2023; Reviewed October 2023