CORNELL UNIVERSITY GUIDELINES FOR THE OFFICE OF UNIVERSITY OMBUDSMAN

1. There shall be an Ombudsman for the Cornell University community, whose office shall be independent of all existing administrative structures of the University and the office shall have the following functions:

   a. To investigate, at the request of members of the community, or upon its own motion, any grievances that may arise against the University or against anyone in the University exercising authority;

   b. To bring its findings and recommendations to the attention of those in authority by the most expeditious means possible, and to the community at large to the extent this seems appropriate to the office;

   c. To serve as a general information center about all situations and University procedures concerning which grievances may arise--specifically, to advise members of the community about where to turn and what procedures to follow in order to pursue whatever business or complaint they may have;

   d. To direct, during emergencies or at the request of the President, such additional, and special information and "rumor clinic" services as the Ombudsman believes appropriate and within the resources and competence of the office.

2. It shall be the special concern of the Ombudsman to:

   a. Make decisions affecting members of the community with reasonable promptness and press others to do the same;

   b. Be satisfied that all members of the community receive "due process." The Ombudsman shall also be satisfied not only about the adequacy of procedures used to reach decisions, but that criteria and rules on which decisions of the type in question are based are, in fact, appropriate;

   c. Discover, and bring to the attention of those in authority and, if necessary, the entire community, any gaps and inadequacies in existing University procedures. The Ombudsman shall make recommendations and press through publicity, to the extent that it seems necessary, for the formulation of new procedures and the improvement of inadequate ones.

   d. Honor all reasonable requests for information pertinent to the functions and purposes of the office and look actively for the answers to all such inquiries and provide them to the inquiring parties and, where it seemed desirable, to the community at large.
   

3. The Ombudsman shall have access to such official files and information as s/he feels is required to fulfill his/her functions. Any requests for information from the Ombudsman must receive the highest priority from every member of the community. The Ombudsman shall also have efficient means for communicating with the University community whenever s/he sees fit.

4. While the Ombudsman is authorized to function in the widest possible context and with a minimum of constraints:

   a. The Ombudsman shall, of course, exercise no powers that are beyond the legal authority of the University, although s/he may make recommendations concerning the authority of the University or its constituent parts;

   b. The Ombudsman shall not make University policy or replace established legislative or judicial procedures, although s/he may investigate any and all of these, raise questions about them, and make such recommendations as s/he feels proper for their improvement and efficient functioning;

   c. The Ombudsman shall use information from individual personal and personnel records only when s/he has written permission from the affected parties for releasing the information;

   d. While the Ombudsman has wide latitude in making public his/her findings and recommendations, s/he must respect the requests of complainants that their anonymity be preserved.

5. Operations of the office:

   a. It shall keep suitable records of complaints, findings and recommendations. In order to protect the anonymity of the complainants and the confidentiality of the complaint, these shall be accessible only to members of the staff of the Office of the Ombudsman. At the end of a particular Ombudsman's term, that Ombudsman shall decide which records shall remain for his/her successor, which shall be committed to the University Archives, and which shall be destroyed. In addition, that Ombudsman shall describe the conditions under which persons shall have access to the various records stored in the Archives.

   b. While the Ombudsman may make exceptions at his/her discretion with respect to matters of major importance, the office will normally function in terms of first come, first served.

   c. The Ombudsman shall make an annual report to the University community and such special reports as s/he may deem useful from time to time. The Ombudsman shall respond to all legitimate requests for information on the work of the office from duly constituted bodies and officials of the University.

6. The Ombudsman shall be appointed by the President with the concurrence of the University Assembly. Candidates for the office shall be identified by a Search Committee which must include at least one faculty member, one student and one employee appointed by the University Assembly, to join with four persons appointed by the President. The Ombudsman shall be appointed for a term of two years and, upon the recommendation of the President with the concurrence of the University Assembly, this appointment may be extended for a maximum period of two years without the need for a search.

7. The Office of the Ombudsman must be independent of all University authority. The Office is ultimately accountable for its operation to the community.

8. The Office shall consist, at a minimum, of the Ombudsman and a full-time assistant, and whatever additional staff is deemed necessary. The Office budget will be subject to the normal University financial and audit procedures.

9. Any change in, or amendment to, these articles may be initiated by any member of the community who shall make appeal for such change to the Ombudsman. The Ombudsman shall annually submit these, with recommendations, to the President and the University Assembly.

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Last modified December 2002