Capital Group Ombuds Team Frequently Asked Questions (FAQs)
The following information is designed to inform you about Capital’s Ombuds Team.
The Ombuds Team is an independent, third-party, neutral, confidential, and informal resource to help resolve conflicts or concerns, and to bring systemic issues to the attention of the organization for resolution.
2. Who can reach out to the Ombuds Team? How and when can I expect to hear back?
All full and part-time and temp-hourly CG associates (e.g., individual contributors, managers, senior managers and senior business leaders) with a concern related to the work environment are welcome to contact the Ombuds Team. Generally, the Ombuds Team will reply within one business day. The Ombuds Team provides support globally for all Capital associates. If you’re based in one of our European offices, you now have the option to reach out to ICAS or the Ombuds Team. For those located in Switzerland, ICAS will remain the external person of trust. Similar to the Ombuds Team, contact between associates and ICAS will remain anonymous unless consent is provided otherwise.
3. What do the Ombuds Team do?
The Ombuds Team advocate for a fair process, focus on resolving interpersonal challenges equitably, provide unbiased feedback and clarity on how to report an issue to HR. Ombuds can help associates resolve an issue informally or help an associate navigate how to formally report an issue to HR.
4. What does the Ombuds Team not do?
The Ombuds Team does not advocate for a particular associate or Capital, make binding decisions or mandate policies, participate in claims investigations or other formal resolution processes, nor do they serve as a channel for reporting violations of policy or CG’s Code of Conduct. Because the Ombuds Team cannot make changes at Capital or resolve conduct, it is important that associates report violations to HR so that corrective action can be taken if appropriate.
5. When do I reach out to the Ombuds Team vs. HR?
Both HR and the Ombuds Team can help associates think through various issues. The key distinction is that the Ombuds Team cannot act as a formal channel for reporting policy violations or violations of CG’s Code of Conduct. To make a formal complaint, associates should reach out to HR, their manager, or any manager or senior manager or the Open Line. The Ombuds offers an opportunity to discuss concerns with a resource confidentially and to resolve the issue informally. They’ll partner primarily with Hamish Forsyth (AHF) who chairs the Capital Operating Group (COG) to provide visibility to aggregate trends and themes observed.
6. What are the examples of concerns for which the Ombuds Team might be able to offer support?
Associates may find it helpful to engage an Ombuds for information and expert, confidential advice, such as when they:
- Experience an interpersonal challenge with a colleague or their manager and need assistance figuring out how to address it
- Have a compliance, ethical, legal, or policy concern related to the workplace and want guidance on how to report it to Capital
- Feel uncomfortable about a situation they have experienced and would like advice on whether it’s something they need to report
- Desire to discuss a concern informally and confidentially, allowing associates to retain control of the process, foster understanding of issues, and flexibility in crafting resolutions
7. If I reach out to the Ombuds Team can I remain anonymous?
Because it is a confidential resource, the Ombuds Team does not share identifying information about individuals who contact them. In situations in which the Ombuds Team believes that talking with other individuals may be of help, and there is not a risk of harm to self or other, the associate will be asked for permission before any disclosures are made. It’s also important to remember associates who call or email the Open Line are not required to identify themselves, although we encourage you to provide all information that may be necessary for Capital to properly address your concern.
8. Can I formally report an issue to the Ombuds Team instead of HR or Capital Group?
No. The Ombuds Team is strictly a support resource and does not serve as a formal reporting channel. Any formal complaints should be reported to HR, your manager or any manager or senior manager, or the Open Line.
9. Can I choose which member of the Ombuds Team to interact with?
Yes. It was important for us to ensure the Ombuds Team could serve the diverse needs of our associates globally based on professional and personal background and experience. At this time, we have two Ombuds Team members dedicated to serving CG associates whose bios can be found here. You have the option to select a team member to partner with based on your individual preferences.
The Ombuds Team provides support globally for all Capital associates. If you’re based in one of our European offices, you now have the option to reach out to ICAS or the Ombuds Team. For those located in Switzerland, ICAS will remain the external person of trust. Similar to the Ombuds Team, contact between associates and ICAS will remain anonymous unless consent is provided otherwise.
10. What happens when I reach out to a member of the Ombuds Team?
A member of the Ombuds Team will:
- Provide you with enough time and space to share your concerns in private
- Listen carefully to your concern or complaints
- Help you develop a list of options for resolving your concern
- Provide answers to questions you have regarding a policy or procedure
- Work with you to develop a strategy for resolution
11. What happens to information provided to the Ombuds Team? What gets reported to CG?
Because it is a confidential resource, the Ombuds Team does not keep identifying information from individual cases. Any recordkeeping or note-taking related to a specific case will only be used to help informally manage or resolve associate’s concerns and will be destroyed after the case is closed and/or follow-up is complete.
The Ombuds Team keeps aggregate statistics and periodically provides updates to senior leadership. The Ombuds Team will review data with an eye towards highlighting emerging issues, identifying trends, highlighting vulnerable groups, and suggesting areas of improvement.
12. What authority does the Ombuds Team have?
The Ombuds Team may contact senior leadership at CG about thematic challenges they perceive are facing CG associates and to make recommendations for a change in policy or practice when appropriate. The Ombuds Team does not have the authority to mandate anyone (associates or management) do anything they choose not to do.
13. Will managers or business leaders know when an associate in their business group reaches out to the Ombuds Team?
No, neither managers nor business leaders will be informed when an associate reaches out to the Ombuds Team. All engagement with the team is confidential unless there is imminent risk of serious harm.
14. Will HRBPs be notified when an associate in their client group reaches out to the Ombuds Team?
No, HRBPs will not be informed when an associate reaches out to the Ombuds Team. All engagement with the team is confidential unless there is imminent risk of serious harm.
15. Are there any instances in which the Ombuds Team will not be able to maintain confidentiality?
In the rare event the Ombuds Team determines that an imminent threat of serious harm exists and/or there is suspicion of abuse of any kind, the team has to right to disclose this information. This determination will be made at the sole discretion of the Ombuds Team. In situations in which the Ombuds Team believes that talking with other individuals may help, and there is not a risk of harm to self or other, the associate will be asked for permission before any disclosures are made.
16. What does the Ombuds Team report to Capital?
The Ombuds Team keeps aggregate statistics and periodically provides updates to senior leadership. The Ombuds Team will review data with an eye towards highlighting emerging issues, identifying trends, highlighting vulnerable groups, and suggesting areas of improvement.
17. What might I gain by contacting a member of the Ombuds Team?
By contacting a member of the Ombuds Team, associates might gain insight into a complicated situation, a clearer perspective on an issue or concern, enhanced ability to effectively deal with a problem, identification and clarification of options, an effective communication plan to resolve interpersonal issues and resolution of an ongoing problem that is impacting your ability to do your job.
18. Should I contact the Ombuds Team to give notice of a formal complaint to Capital?
No. Discussions with the Ombuds Team are off-the-record and do not constitute formal notice of a complaint to Capital. If you have a formal complaint and want to pursue a formal remedy, the Ombuds Team can refer you to the appropriate person at Capital. You can still contact the Ombuds Team to discuss the problem that you would like addressed, with the goal of resolving the matter. Any formal complaints should be reported to HR, your manager or any manager or senior manager, or the Open Line.
19. How does the Ombuds Team remain neutral?
The Ombuds Teams’ effectiveness and credibility is based on a commitment to being fair and supportive of each associate who contacts them. The Ombuds Team is not part of any one department at Capital and are independent subcontractors to Capital, which allows the Ombuds Team to be neutral. The Ombuds Team’s job is to help associates make informed decisions for themselves with their assistance and support in a private setting.
20. Will the Ombuds Team participate in formal meetings?
No. The Ombuds Team cannot serve as a witness and does not participate in any formal grievance process. The Ombuds Team will not testify in formal judicial or administrative hearings. If the Ombuds Team is asked to serve on a committee, it will be done in an advisory or ex-officio capacity only.
21. How is the Ombuds Team unique from other resources at Capital? Also, when should I reach out to the Ombuds Team vs. HR?
The goal of the Ombuds Team is to proactively seek to educate and inform Capital associates about conflict management options to address and resolve concerns. In addition, the Ombuds Team offers a confidential, independent and informal resource for Capital associates. Also the Ombuds Team is a change agent who identifies patterns and causes of conflict at the company and brings those issues to the attention of senior leadership.
Both HR and the Ombuds Team can help associates think through various issues. The key distinction is that the Ombuds Team cannot act as a formal channel for reporting policy violations or violations of CG’s Code of Conduct. To make a formal complaint, associates should reach out to HR, their manager, or any manager or senior manager or the Open Line. The Ombuds Team offers an opportunity to discuss concerns with a resource confidentially and to resolve the issue informally. They’ll partner primarily with Hamish Forsyth (AHF) who chairs the Capital Operating Group (COG) to provide visibility to aggregate trends and themes observed.
22. Where do I go to learn more?
Please contact either member of the Capital Ombuds Team to get your questions answered. Jai and Chuck’s contact information can be found at https://www.mwi.org/capital-ombuds. CG associates can also learn more on our internal CG Web page.
