CHARTER

I. INTRODUCTION

The North Carolina State University Faculty Ombuds Office was established on January 1, 2015. In 2017, the Office was expanded to additionally provide services to staff at the University. The Faculty and Staff Ombuds Office consists of the Ombuds and exists to provide faculty and staff of the University with a confidential, impartial, independent, and informal resource for discussion of workplace questions, issues, concerns, conflicts, or disputes. 

The Faculty and Staff Ombuds Office shall practice in keeping with the Code of Ethics and Standards of Practice of the International Ombuds Association (IOA) in all proceedings. The Faculty and Staff Ombuds Office shall act with professionalism and integrity, shall foster respect for all members of the University, and shall promote procedural fairness in the issues addressed and in the content and administration of the University’s policies, regulations, and rules.

II. PURPOSE AND SCOPE OF SERVICES

The Faculty and Staff Ombuds Office provides services to NC State faculty and staff who are defined as current University employees, serves as a resource and clearinghouse of information on University policies, regulations and rules, and provides assistance with issue identification and conflict resolution. 

The Faculty and Staff Ombuds listens; makes informal inquiries or otherwise reviews matters received; provides assistance, issue or conflict coaching; and makes referrals to appropriate University offices or administrators. The Faculty and Staff Ombuds assists faculty and staff members to achieve their defined outcomes that are also consistent with the ideals and objectives of the University. Services of the Faculty and Staff Ombuds Office supplement and complement, but do not serve as a substitute to, other procedures or processes available to the University faculty and staff community. 

The Faculty and Staff Ombuds Office shall provide feedback to the Chancellor (or designee), Executive Vice Chancellor and Provost, and Executive Vice Chancellor for Finance and Administration as appropriate and authorized by the Chancellor (or designee) when trends, patterns, or issues are identified. 

The Faculty and Staff Ombuds Office does not receive, investigate, or adjudicate formal complaints. When a faculty or staff member wishes to make a formal complaint to NC State under applicable University Regulations or processes, the Faculty and Staff Ombuds Office can provide information and/or referrals to the appropriate University office or administrator. Use of the Faculty and Staff Ombuds Office and services does not extend any timelines or deadlines to file complaints or grievances as provided in applicable University policies or regulations. 

The Faculty and Staff Ombuds has no authority or capacity to render decisions, alter policy, offer legal advice, provide formal mediation services, or engage in psychological counseling. Faculty and staff members are not required to use the Faculty and Staff Ombuds Office and do so voluntarily.

III. STANDARDS OF PRACTICE AND CODE OF ETHICS

The Faculty and Staff Ombuds Office will follow the practices of the International Ombuds Association’s (IOA) Standards of Practice and Code of Ethics. See Appendix 1. These tenets provide that the Faculty and Staff Ombuds Office function independently of the organization served, is confidential to the extent allowed by law, is impartial, and limits the scope of services to informal means of issue and dispute resolution. The IOA Standards and Code of Ethics are minimum standards, and the NC State Faculty and Staff Ombuds Office strives to operate to “best practices” and in a way that serves the interests of the faculty, staff, and the University. The Faculty and Staff Ombuds Office will establish protocols and practices consistent with the IOA Standards of Practice and Code of Ethics.

A. Independence

The Faculty and Staff Ombuds Office shall be independent in structure, function and appearance to the highest degree possible. It shall operate independent of ordinary lines and staff structures and shall exercise sole discretion over whether and how to act regarding individual matters or systemic concerns. The Faculty and Staff Ombuds Office will make regular reports, at least bi-annually, to the Chancellor (or designee), Executive Vice Chancellor and Provost, and Executive Vice Chancellor for Finance and Administration for administrative purposes. Such reports will include aggregated data describing the number, type of consultations, categories of issues, or other information as may be deemed necessary by the Ombuds.

B. Confidentiality

Communications with the Faculty and Staff Ombuds Office are confidential to the fullest extent of the law and applicable University Policies, Regulations, and Rules (collectively, “University Policies” herein). Records sent by the Faculty and Staff Ombuds Office to university employees may constitute public records under the N.C. public records law, N.C.G.S. Sec. 132-1 et seq., unless an exception applies (e.g., under the NC Personnel records law, N.C.G.S. Sec. 126-22). To the extent permitted by law and applicable University Policies, the Faculty and Staff Ombuds Office will not disclose any confidential information without the express permission of the faculty or staff member, and/or at the discretion of the Faculty and Staff Ombuds. Exceptions to confidentiality that allow disclosure include where there is an imminent risk of serious harm, threats to the safety of the campus or to oneself, where abuse and/or neglect are suspected, and where otherwise required by law or applicable University Policies.

C. Impartiality

The Faculty and Staff Ombuds Office shall be impartial in all activities, and shall not take sides in any conflict, dispute or issue. The Faculty and Staff Ombuds will objectively consider the interests and concerns of all those involved in a conflict, dispute or issue with the aim of facilitating communication and assistance in reaching mutually acceptable agreements that are fair, equitable, and consistent with the mission and policies, regulations and rules of the University. 

The Faculty and Staff Ombuds will avoid involvement in matters where there may be a conflict of interest. A conflict of interest may be present when the Faculty and Staff Ombuds’ private interests, real or perceived, supersede or compete with dedication to the neutral and independent role of the Faculty and Staff Ombuds. When it is determined by the Faculty and Staff Ombuds that an actual or perceived conflict of interest exists, the Faculty and Staff Ombuds will take steps to manage that conflict, which steps may include, where appropriate, coordinating alternative service options and/or recusing themself from the matter.

D. Informality

The Faculty and Staff Ombuds Office shall be an informal resource to assist in facilitating informal issue or dispute resolution. The Faculty and Staff Ombuds Office shall not formally investigate, mediate, arbitrate, adjudicate, or in any other way participate in formal internal University processes or actions. Use of the Faculty and Staff Ombuds Office by faculty or staff is voluntary and does not satisfy any requirement of a formal step in any University grievance process, formal University reporting or investigative process. Faculty and staff members shall have the right to consult with the Faculty and Staff Ombuds without retaliation.

IV. AUTHORITY AND LIMITATIONS OF THE FACULTY AND STAFF OMBUDS

A. Authority of the Faculty and Staff Ombuds

1. Discussions with Faculty and Staff Members

The Faculty and Staff Ombuds will provide faculty and staff members with an informal opportunity to discuss concerns, clarify, and articulate issues with a focus on identifying interests and goals. The Faculty and Staff Ombuds will help analyze and assess avenues for potential resolution and provide information about such avenues, including but not limited to information on University Policies, services, and resources that may be available to assist with the resolution of the concern. These resources may include but are not limited to the: Faculty and Staff Assistance Program, Employee Relations, Mediation Services, the formal Faculty Grievance Process, the Office for Institutional Equity and Diversity, among others. The Faculty and Staff Ombuds may also make informal inquiries concerning matters, issues, and concerns brought to the attention of the Faculty and Staff Ombuds Office. The Faculty and Staff Ombuds may also withdraw from or decline to assist with a matter if believed involvement would be inappropriate for any reason. 

2. Access to Information

The Faculty and Staff Ombuds Office may request that information related to faculty and staff member concerns from the University be provided voluntarily with consent of the individual faculty or staff member and will maintain the confidentiality of any such information to the extent allowed by law and University Policies. The purpose for this access is to enable the Faculty and Staff Ombuds to better understand situations and provide assistance.

3. Access to Legal Counsel

On occasion, the Faculty and Staff Ombuds may need legal advice or representation in order to fulfill required functions. Under these circumstances, the Ombuds will consult with the Office of General Counsel for such advice.

4. Ending Involvement in Matters

The Faculty and Staff Ombuds may withdraw from or decline to look into a matter if the Faculty and Staff Ombuds believes involvement would be inappropriate for any reason. 

B. Limitations on the Authority of the Faculty and Staff Ombuds

1. Formal Processes and Investigations

The Faculty and Staff Ombuds Office shall not act as mediator or arbitrator in any matter; nor offer legal advice or provide psychological counseling; nor impose sanctions or remedies; nor enforce or modify policies, regulations or rules; nor testify, serve as a witness or participate in any administrative, grievance, review or judicial hearing unless required to do so by law. Additionally, the Faculty and Staff Ombuds Office shall not conduct investigations of any kind. 

The Faculty and Staff Ombuds is not considered a “Designated Official” or “Responsible Employee” under Title IX. Further, the Faculty and Staff Ombuds Office is not a campus security authority as outlined in the Clery Act and the Violence Against Women Act. 

2. Receiving Notice for and Placing Notice on the University

Contacting the Faculty and Staff Ombuds Office is not considered by NC State or the Faculty and Staff Ombuds Office as notice to NC State of any formal complaint, grievance, or claim, or external complaint with an administrative agency, lawsuit, or other claim. If a faculty or staff member decides to place the University on notice regarding a specific situation or wants to make a complaint, the Faculty and Staff Ombuds Office will provide the faculty or staff member with information and/or referral to the appropriate University office(s) or administrator(s) so that the faculty or staff member may do so directly. 

Additionally, if a faculty or staff member decides to place the University on notice concerning any issue, misconduct, crime, grievance, or claim – including allegations of research misconduct, misuse of state property, discrimination (including harassment and retaliation) and sexual harassment – the faculty or staff member should report to the proper authorities or University offices that are established to investigate and resolve such situations. The Faculty and Staff Ombuds Office can provide the faculty or staff member with the reporting information and/or make a referral as noted above. 

The Faculty and Staff Ombuds Office is not an authorized agent to receive service of process, subpoenas, or other legal documents on behalf of the University. Service of all such process, documents or notice must be directed to the Vice Chancellor and General Counsel.

3. Record Keeping

The Faculty and Staff Ombuds Office will maintain general utilization data for the University. Notes and any other materials related to a matter will be maintained in a secure and confidential manner to the extent permitted by law and applicable University Policies, and in accordance with the University’s records retention and disposition schedule.

V. RETALIATION FOR USING THE FACULTY AND STAFF OMBUDS OFFICE

NC State faculty and staff members are free to use the services of the Faculty and Staff Ombuds Office and attempt to resolve concerns informally and in good faith without fear of retaliation from any member of the University community. 

VI. EFFECT AND AMENDMENT TO CHARTER 

This Charter is in effect as of September 15, 2023 and operates to define and support the work of the NC State Faculty and Staff Ombuds Office. This Charter remains in effect unless revoked or amended by NC State University.