The Ombuds Office
Terms of Reference
1. MANDATE
1.1 The Office is to provide an independent, impartial and confidential process through which
members of the University community may pursue a just, fair and equitable resolution of any
university-related concerns. The Office offers a space where members of the community shall
be heard and shall receive impartial attention without fear of loss of privacy or retaliation. The
University Community is herein defined to include students, faculty, staff, parents, and any
others with university appointments.
1.2 The Office is to make recommendations, where appropriate, for changes in University
policies and procedures and to promote discussion on institution-wide concerns.
1.3 The Office is to offer regular outreach and training to the University community regarding
policies and procedures, rights, and work-related concerns.
1.4 The Office may conduct regular consultations and inquiries into areas of conflict or
violations of ethics, codes of conduct, and work-place rights.
2. STRUCTURE OF OMBUDS OFFICE
2. 1 The Office reports directly to the President of the University.
2. 2 The Office is an independent entity, autonomous of existing administrative structures and
bodies.
2. 3 The Office does not replace, but supplements, other grievance offices at the University.
These include but are not limited to: the Senate Grievance Committee; the Office of Equal
Opportunity and Affirmative Action; the Student Conduct Unit and Disciplinary Committee;
the Labor Rights Oversight Committee, and the Council on Academic Integrity (see 4.5.1
below).
2. 4 As an impartial, neutral, and independent Office serving all groups of the University, the
Ombuds Office is ethically accountable in its operations and in upholding its principles to
representative bodies of different groups that comprise the University community.
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2. 5 The President will form a Search Committee to elect the Ombudsperson upon completion
of his/her term. The search committee shall present their nomination to the President who
shall appoint the Ombudsperson. The Search Committee shall consist of members representing
the different groups of the University: staff, students, and faculty.
3. PRINCIPLES
3. 1 The Ombuds Office abides by the principles of independence and autonomy, impartiality,
neutrality, confidentiality, informality, accessibility, and the ability to conduct informal fact
finding inquiries.
3. 2 The Ombuds Office adheres to the Code of Ethics and Standards of Practice of the
International Ombuds Association and the African Ombuds Association, and University
policies and procedures.
3. 3. CONFIDENTIALITY
The Ombuds Office considers all communication with the Office confidential and privileged.
Confidential communications are to be held in secret. This is accomplished by providing
anonymity to the source of communication. The Ombudsperson and Office will NOT answer
questions about people with whom the Office may have spoken, or disclose an individual’s name
or specific issue, with anyone outside of the Ombuds Office, unless the Office is given consent to
do so for the purpose of informal conflict resolution or informal fact finding. The only
exception to this pledge of confidentiality is where the Ombudsperson determines that there is
an imminent risk of serious harm, in which case the Ombuds is to immediately make a report to
the President.
3. 4. NEUTRALITY AND IMPARTIALITY
The Ombudsperson does not advocate for any one party to a dispute, but rather advocates for
fairness, equity and justice, while recognizing structures of inequality and power that prevail.
The Ombuds shall make every effort to keep all parties informed of progress of any inquiry
without violating the principle of confidentiality. The Ombuds shall provide sufficient
information to allow the parties involved the opportunity to respond.
3. 5. INDEPENDENCE
The Ombuds Office is an independent entity in structure, function and appearance. The
Ombuds functions independently of any line of management.
3. 6 INFORMALITY
An Ombudsperson functions on an informal basis by listening, providing and procuring
information and documents, analyzing cases, identifying strategy of intervention, and with
permission of person concerned, initiate informal fact-finding inquiries. The Ombudsperson
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does not participate in any adjudicative or administrative procedure that relates to the case or
concerns handled by the Office. The Ombudsperson does not adjudicate, arbitrate or serve as
witness in any administrative or legal proceedings at the University.
4. JURISDICTION AND SCOPE
4. 1 SCOPE OF THE OFFICE
4. 1. 1 The Ombuds Office may receive any University-related inquiry or concern from any
member of the University, including all faculty, staff and students, and affiliated members of the
University, such as parents and research affiliates.
4. 1. 2. People who seek and use the Ombuds Office will be considered to have agreed to abide
by the principles of the Office, consent to its scope, jurisdiction, and standards of practice.
4. 1. 3 At the Ombuds’ discretion, concerns may also be received from former students, staff and
faculty in respect of matters arising out of their former student status or University
employment.
4. 1. 4 The Ombuds Office shall handle cases and concerns that have not been adequately
addressed by the usual channels available at the University.
4. 1. 5 The Ombuds Office coordinates with other grievance offices in the form of referral,
follow-up, or perusal of cases upon inadequate resolution of conflict. Informality of proceedings,
the Ombuds principles, and scope of operations distinguishes the Ombuds Office from other
existing grievance offices at the University. The Ombuds Office serves thus as an alternate and
informal channel for concerns, grievances and consultations to ensure fair and equitable
resolution of conflicts by exhausting all possible channels available at the University.
4. 1. 6 While the Ombuds may contact individuals involved in the dispute or conflict, at the
request of the party bringing the complaint, no member of the community is required to speak
the Ombuds or to participate in either mediation or informal fact-finding inquiries.
4. 1. 7 All members of the Ombuds Office are required to adhere to the standards of complete
confidentiality. Administrative staff in the Office is not authorized to mediate individual
complaints, but may assist in informal fact-finding inquiries.
4. 1. 8 In cases of imminent danger, the Ombudsperson shall reserve the right, with the
authorization of the President, to reveal confidential information when individuals are unable
or unwilling to come forward themselves.
4. 2 PROTECTION FROM REPRISALS
Any member of the University community has the right to seek the assistance of the Ombuds
Office without reprisal or threat of reprisal from any other University member or office. Any
individual or body found to make such reprisals or threats will be subject to appropriate
University disciplinary action.
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4. 3. REFUSAL TO INTERVENE
The Ombudsperson may refuse to intervene or withdraw from a case when:
 The concerns are deemed to be unjustified upon informal fact-finding inquiries of a case
 The request for intervention is made in bad faith or is frivolous or malicious in intent
 The persons approaching the Ombuds Office for grievances and concerns violate or
breach the principles and standards of practice intentionally, such as confidentiality, or
infringing on the independence and impartiality of the Ombuds
 The Ombudsperson finds that there is a conflict of interest and he or she cannot be
impartial
In cases of refusal or withdrawal the Ombudsperson shall explain the reasons for the decision
to the parties concerned.
4. 4 LEGAL MATTERS
The Ombudsperson shall not intervene if a matter is pending in legal form. Bringing a case to
the Ombudsperson does not constitute any legal action against the University nor does the
Ombudsperson accept legal claims.
5. FUNCTIONS
The Ombuds operations include:
 providing information
 referring inquiries to the appropriate individuals or offices
 offering advice
 intervening or mediating to facilitate a resolution
 conducting informal fact-finding inquiries
 recommending fair resolutions to individual or collective concerns
 offering awareness and education sessions
 coordinating with other grievance offices inside AUC
 publishing annual reports on the operations of the Office and the type and nature
of complaints and concerns received
 networking with relevant associations, organizations, universities outside of
AUC, such as The International Ombuds Association (IOA), the African
Ombuds Association, and national and international universities.
5.1 INFORMATION AND REFERRAL
The Ombuds shall act as a source of general information and referral for students, staff and
faculty on matters pertaining to University policies, procedures and resources and in relation to
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specific cases and claims that are brought to the Office or that arise from research conducted by
the Office or on the basis of patterns that emerge from grievance cases submitted to the
Ombuds.
5. 2 ADVICE
The Ombuds shall provide advice to students, staff and faculty to help resolve concerns and to
assist individuals and collectives in generating and evaluating options and determining an
appropriate course of action. The Ombuds shall encourage individuals, where appropriate, to
approach the other party or Office in adispute directly and to act on their own behalf in
resolving concerns.
5. 3 INTERVENTION
In cases where the Ombudsperson deems appropriate and with the consent of one of the
individual(s) involved, the Ombudsperson may intervene to attempt the resolution of a concern.
Normally the Ombudsperson will intervene following the completion of informal procedures
and informal fact-finding, and prior to the commencement of more formal procedures. Once a
formal procedure has been commenced the Ombudsperson shall not intervene.
5. 4 INQUIRIES AND FACT-FINDING PROCEDURES
The Ombudsperson may with the consent of one of the individual(s) involved, or in
consultation with the President, conduct an informal inquiry and/or engage in fact-finding
procedures concerning matters that s/he feels warrant such treatment. After concluding the
inquiry, the Ombudsperson shall evaluate the merits of the concern and notify the parties of
her/his findings. When the Ombudsperson concludes that a concern is not substantiated, s/he
shall explain her/his findings to the individuals involved. Otherwise, the findings may form the
basis of a case specific recommendation and/or a recommendation
involving policy and/or procedures.
5. 5 RECOMMENDATIONS INVOLVING CASES
The Ombudsperson shall communicate the findings of an inquiry and/or fact-finding
procedures to the parties involved in a conflict or a grievance and make necessary
recommendations for resolution of the conflict or the grievance of concern. To the extent that
the recommendations by the Ombuds Office are rejected, modified or not acted upon, the
Ombudsperson shall request from concerned parties an explanation. In cases of cumulative
grievances that indicate regular violations of university regulations and procedures and upon
failure by violating party to remedy the situation, the Ombudsperson shall bring to the
attention of the President the results of the findings, the recommendations made, and the
reasons for not acting upon them, for perusal by the President.
5. 6 RECOMMENDATIONS INVOLVING POLICY AND PROCEDURES
The Ombudsperson may bring to the attention of those in authority any policies, rules or
procedures that appear unclear, inequitable, contradictory, or unfair. The Ombudsperson may
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suggest changes to existing policies, rules or procedures or offer advice on the development of
new policies, rules or procedures.
5. 7 AWARENESS AND INFORMATION SESSIONS
The Ombuds Office shall offer (as noted in section 1.2) group and/or university wide awareness
and information sessions on policies, procedures, ethics and rights pertaining to the different
groups comprising the University, including students, staff, and faculty. In such sessions the
Ombuds Office will collaborate with the respective offices in the University in the preparations
and provisions of such sessions, making materials available to university-wide community or
specific target groups.
5. 8 RESEARCH AND INQUIRIES
From time to time, and based on patterns of complaints, at the recommendation of the
President, and/or in consultation with the President, the Ombuds Office shall undertake
exploratory inquiries or in-depth research projects of the various structures, entities, and/or
groups of the University. The aim of such inquiries is to
 explore in-depth potential areas of conflict or concern before they translate into cases of
complaints or conflicts
 reveal underlying structures or mechanisms that increase the propensity of conflict as
evidenced in individual cases of grievances brought to the attention of the
Ombudsperson
 examine prevailing practices and work cultures at the various sectors of the University
in respect of the implementation of ethics and codes of conduct that preserve the rights,
respect and dignity of all members of University community as well as adherence to the
rules and procedures that govern University community
 identify domains of weaknesses and strengths that either characterize specific offices
and sectors or cut-across various structures and organizational set-ups at the University
While respecting time constraints and work priorities, the Office shall seek the support and
cooperation of the various offices, which are deemed necessary for the satisfactory completion
of the inquiries. Such cooperation may take the form of involvement in interviews, focus
groups, collective and individual meetings, observation sessions at the offices, and the sharing
of documentation.
In conducting such inquiries the Ombuds Office may request the assistance of the various
research facilities available at the University.
5. 7 PUBLISHING REPORTS
The Ombudsperson shall publish an Annual Report containing aggregate statistical
information on the number and type of cases handled by the Office, highlights of any general
trends identified, and recommendations, as necessary.
5.8 MEMBERSHIP OF AND NETWORKING WITH ORGANIZATIONS OUTSIDE OF THE UNIVERSITY
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The Ombuds Office shall become a member of relevant professional associations, including but
not limited to the African Ombuds Association and the International Ombuds Association. The
aim is to maintain coordination and networks with similar offices nationally and
internationally.
6. POWERS AND LIMITATIONS
6. 1
ACCESS TO INFORMATION TO FULFILL FUNCTIONS
In order to fulfill the functions of the Office, and upon written request to the President, the
Ombudsperson shall have broad access to all members of the University community and all
University files, records, reports and information, as required, and in accordance with any
applicable laws of the University. The rights of members of the community to elect whether or
not they choose to participate in the informal processes of the Ombuds Office will be respected.
No faculty, staff or student will be subjected to any form of disciplinary action for not taking
part in a session, intervention, mediation or search for facts.
6. 2 PROHIBITED FUNCTIONS
Although the Ombudsperson is authorized to function in the widest possible context and with
the minimum of constraints, the Ombuds Office works informally. The Ombudsperson has no
power to make, change or set aside administrative decisions or policy. Therefore, the
Ombudsperson shall not:
(a) act as an advocate of any party during informal fact-finding inquiries of a concern,
although after hearing from all parties the Ombudsperson shall act as an advocate for
the fair and just resolution of the grievance;
(b) have a judicial function, i.e. s/he will not make binding decisions in any cases, although
the Ombudsperson may make recommendations;
(c) address concerns between members of the University and individuals, groups or
organizations not affiliated with the University as defined in section 1 above;
(d) make, change or set aside University policies and procedures although
recommendations may be made for their improvement;
(e) be a voting member of any committee, hiring board or council of the University or any
other body on campus although the Ombudsperson may act as a consultant;
(f) accept or hold any other position (e.g. teaching or administrative) during the tenure of
the office;
(g) accept notice on behalf of any party, including the University
(h) disclose confidential communications or serve as a witness, except in cases of imminent
danger or as required by law.
7. PROCEDURAL GUIDELINES FOR THE OMBUDS OFFICE
7. 1 ACCESSIBILITY
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The Ombudsperson shall make every effort to ensure that the Office is accessible to the entire
University community and shall undertake, whenever possible, to inform the community of the
existence of the Office and its functions.
The Ombuds Office shall have flexible office hours to ensure that the services of the
Ombudsperson are available to the entire University community.
7. 2 CASE MANAGEMENT
The Office shall normally function on a first come, first served basis. However, cases that are
particularly time sensitive or critical in nature may assume priority at the Ombudsperson’s
discretion. All cases shall be processed as expeditiously as possible.
7. 3 FORMS OF INTERVENTION
The method of intervention remains at the discretion of the Ombudsperson but may include:
(a) requesting that a University official meet with a member of the University community;
(b) meeting directly with the other party(ies);
(c) facilitating communication between the parties;
(d) reviewing relevant University records;
(e) making informal inquiries;
(f) utilizing a form of shuttle diplomacy (i.e. individually talking with the parties involved,
going back and forth between them until they have a better understanding of the
dispute and reach agreeable resolution)
(g) mediating a dispute;
(h) informally following up on a claim;
(i) offering recommendations for a fair resolution
(j) offering recommendations for policy and procedure change
7. 4 PROCEDURE FOR CONTACT AND HANDLING OF CASES AND CONCERNS
A person or a group desiring the assistance of the Ombudsperson shall:
 Phone, email, meet in person, or stop at the office for an appointment or quick chat
 Schedule an interview/meeting and it is recommended that the person bring along all
necessary documents that they consider relevant to the case
 The Ombudsperson shall provide in no more than 15 working days a preliminary
analysis of the case/concern and design a strategy for action
 Schedule a meeting with the concerned individual or group where the plan is discussed
and course of action and form of intervention (see 7. 3 above) is approved
 Acting on the case/concern as described above and consulting with the person in cases
of modifications in course of action and form of intervention adopted
 In cases of referral to other offices, the Ombudsperson will continue to follow-up the
case until a satisfactory resolution of conflict or grievance is reached.
 When relevant, the Ombudsperson shall make policy or procedural recommendations
and communicate them with all concerned parties.
 To the extent that the recommendations are not acted upon, actions as outlined in
Section 5.5 above shall be adopted.
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 A case is considered closed upon satisfactory resolution to the parties concerned or
when a recommendation not acted upon is brought to the attention of the President.
7. 4 RECORDS
The Ombudsperson shall maintain complete records of complaints, findings and
recommendations. It is the responsibility of the Ombudsperson to ensure that these records are
kept secure. These files shall be accessible only to the Ombudsperson and members of the staff
of the Ombuds Office. Materials received from visitors to the Office shall be deemed to be the
property of the Ombuds Office and shall be held and kept securely and in confidence.
7. 5 Review of Terms of Reference of Ombuds Office
The terms of reference shall be reviewed periodically by the Ombudsperson. Any proposed
revisions have to be reviewed by the President.
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