Fundamentals of the Program

Ombudsman/DIALOG is an alternate communication channel for employees and others. Each Ombudsman is a member of the International Ombudsman Association (IOA) and the Ombudsmen and DIALOG Program Coordinators adhere to the IOA’s Code of Ethics and Standards of Practice, available here.

Ombudsman/DIALOG can be accessed either by phone, directly to an Ombudsman, or in writing, by sending a “DIALOG”. More complex issues, including legal issues or those that will require investigation by management, ordinarily are handled by an Ombudsman. Less complex issues ordinarily are handled by DIALOG Program Coordinators, who work under the direct supervision of the Ombudsmen.

There are three defining characteristics of the Ombudsman/DIALOG Program: confidentiality, neutrality, and independence.

Confidentiality means that the identity of a person contacting Ombudsman/DIALOG is protected by the Ombudsmen and the DIALOG Program Coordinators and will not be disclosed to any other persons, including management. (In fact, users of Ombudsman/DIALOG can remain anonymous by not providing their names at all.) There are only three exceptions to protecting the identity of users: (a) the person raising the Ombudsman/DIALOG inquiry agrees to disclosure; (b) the company is compelled by a court of law; or (c) an Ombudsman determines, as provided in the IOA Code of Ethics, the issue poses an imminent risk of serious harm. Because no one is required to use Ombudsman/DIALOG, people who choose this channel are considered to have agreed to abide by these principles and not call upon an Ombudsman or DIALOG Program Coordinator to testify or reveal confidential information. The company has also committed that it will not seek to compel any Ombudsman or DIALOG Program Coordinator to disclose confidential information. UTC and its Ombudsmen have successfully defended this confidentiality in court on several occasions.

Neutrality means that Ombudsman/DIALOG does not act or advocate on behalf of an employee, UTC management, or any third party. Rather, as a communication intermediary, Ombudsman/DIALOG seeks to facilitate a fair review of issues, reduce the chances of miscommunication, and assure that management responds to the inquiry. Ombudsman/DIALOG serves only as a communication intermediary; management does any necessary investigation; and management is solely responsible for the response.

Independence means that the Ombudsmen and DIALOG Program Coordinators operate separately from management, even though they are UTC employees working at UTC Headquarters in Connecticut, USA. Unlike management, they are not authorized to accept or receive notice of claims against UTC. Confidential Ombudsman/DIALOG information is not available to anyone except the Ombudsmen and the DIALOG Program Coordinators. Ombudsmen are intended, in fact and in appearances, to be free from interference in the performance of their duties, because the program is designed as an alternate channel to promote clear and understandable communications.

In summary, Ombudsman/DIALOG is an informal system for communication, in that it operates separately from traditional channels of management, protects the identities of its users, provides guidance regarding options, does not maintain detailed records, and does not accept legal notice on behalf of the company with respect to any claim or matter.