The ombudsman serves as a confidential and informal information resource, communications channel, complaint handler and dispute resolver, and a person who helps an organization work for change. The ombudsman is also a designated neutral within our organization and, as such, is not an advocate for any individual or point of view.

Our promise of confidentiality is that we will not divulge your name to anyone without your permission (or unless a safety threat emerges).

To safeguard both the appearance and practice of neutrality and confidentiality, our ombudsmen do not keep case records and resist appearing as a witness in judicial or quasi-judicial proceedings. UTC ombudsmen do not represent or act formally on behalf of a manager, on behalf of the employer, or of any employee.

UTC is committed to providing all employees with a safe and harassment-free work atmosphere. As with all of our company policies, if you have a question or concern, you should notify the company through one or more of the following procedures:

• inform your supervisor/manager
• inform your Human Resources representative

If you do not want to notify the company through these official channels and you need advice, contact a UTC ombudsman, who can assist you in your decision on how to notify the company. However, because of the confidential nature of the ombudsman office, discussions with the ombudsman do not constitute notice to the company.

UTC ombudsmen do not conduct formal investigations. In addition, the ombudsmen cannot make, change or set aside a law or management policy or decision.

An ombudsman is skilled in helping facilitate solutions to problems. An ombudsman seeks a fair airing of issues and does not represent anyone's point of view. An ombudsman is a neutral party who hears all sides and acts an intermediary to correct miscommunication, to clarify information, to address allegedly improper practices and to seek timely and equitable resolutions to concerns.

Ombudsman or DIALOG - Which should I use?

UTC's Ombudsmen are available by telephone or eDIALOG.confidential to any UTC employee worldwide to address any business-related issue (except those subject to the provisions of collective bargaining agreements or those restricted by applicable law). Each Ombudsman is trained as a mediator and acts as an intermediary in obtaining answers from management while protecting the identity of the person who raised the issue. Because talking with an Ombudsman allows you to have a confidential conversation with a neutral and independent person, it allows you to explain your situation in greater detail with more give and take. For these reasons, you should call an Ombudsman to address issues that require explanation or that involve complicated facts. The Ombudsman will provide information to you regarding a likely response date.

DIALOG is a written, two-way communication system. Like the Ombudsman, it's confidential and can be anonymous if you choose. However, because it's a written program, it's better suited for handling issues that are less complex and don't require explanation, or for asking a simple question, expressing a concern, suggesting a change, reporting a problem or complimenting someone or some thing. When your DIALOG is received, the DIALOG Program Coordinator (DPC) edits it to eliminate all data that might be used to identify you as the writer, and it's forwarded to appropriate management for an answer in writing (our goal is within 14 days, but more complicated questions may take longer). In all cases the reply comes from a responsible person in management, and is reviewed by the DPC or an Ombudsman before being returned to you to ensure that your question was answered fully). DIALOG should not be used to raise issues related to matters covered by collective bargaining agreements, restricted by local law or that are personal attacks without substantiating facts. Download the form here.

In addition to Ombudsman and DIALOG, if you suspect irregularities in company accounting, internal accounting controls or auditing matters, you can report these matters to UTC by contacting UTC's Board of Directors.