July, 2008, IOA
T
I
V
BY KEVIN JESSAR, IOA PRESIDENT
“Vitality,” F. Scott
Fitzgerald contends,
“shows in not only the ability to persist but the ability to start over.” As IOA enters its fourth year it is worth reflecting that we have retained the best aspects of each
KEVIN JESSAR parent association and “started over.” We have shouldered the dual challenges of articulating our identity as an organization and continuing to define our field and profession.
These simultaneous challenges can be likened to what F. Scott Fitzgerald characterized as the “test of a first rate intelligence” — namely, the
“ability to hold two opposed ideas in the mind at the same time, and still retain the ability to function.” For IOA, our efforts to nurture one another as a community and develop as a profession need not be construed as
“opposed ideas” but their simultaneous pursuit may occasionally more closely resemble a sailboat tacking to shore than a safeguard cutter taking a sleek and speedy course to an unambiguous destination.
In this next year we will grapple with many issues, ranging from certification, to standards of practice and membership, to what it means to be
“international.” Our success to this point raises these issues as surely as our continued progress depends on how we navigate a host of opportunities and challenges that we cannot ignore. The thread that runs through the issues facing us is the need to balance how we nurture our diverse community within IOA with how we develop relationships beyond IOA, with other interests, professions, and associations. And through this all, we will be seeking to retain, as F. Scott
Fitzgerald notes, the “ability to function.” I want, then, to touch only briefly on a few of the challenges and opportunities ahead.
If IOA is to live up to its name and potential, it must in the coming years work diligently to establish an everincreasing international presence.
Our 2009 conference in Montreal will be the first IOA conference to be held outside of the continental
United States. This is an important step for IOA and builds on the successful workshops that IOA has given in Montreal, Toronto, Tunis,
Rome, Paris and Geneva. At the
Boston conference, I was gratified to hear expressions of interest in IOA by members and visitors from eight international organizations and 11
(continued on page 2)
Board Highlights
Certification
Strategic Planning
What Are you Going to Do?
Mission Statement
3
4
6
7
9
Workplace Mobbing
Ombudsman Journey
IOA Course Offerings
Board Champions
New Members
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12
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Volume III, Issue 2, July, 2008, IOA T HE I NDEPENDENT V OICE
(President’s Letter, continued from page 1) countries, ranging from Brazil, to
Australia, Israel to England, Canada to Kenya. IOA will attempt in the years ahead to fulfill its international mission with the “industry, wisdom, sensitivity,” balance and recognition of diversity to which plenary-speaker
Ambassador Thomas referred in
Boston.
IOA’s rich diversity is reflected as well across our membership categories of
“Members,” “Associate Members,”
“Affiliate Members,” and “Retired
Members.” I had the pleasure in
Boston of sitting in the sector discussion for consultants and contractors. The need to serve all categories of our membership is a critical one. Remembering this is consistent with recent IOA membership votes extending, in an inclusive and functional approach, Member status to those collateral duty and contract Ombudsmen who are able to practice according to the Standards of Practice. This functional rather than categorical approach (in both senses of the word) represents a desire to be inclusive and it imposes on us all a responsibility to include.
Here, too, we find the need to maintain a dynamic balance. IOA must speak to the needs of “Associate Members” and “Affiliate Members” and yet must retain its identity and focus as an association for organizational Ombudsmen. This is all the more true given the fact that unlike doctors and attorneys we are not state regulated but rather selfregulating and thus responsible for maintaining our own Standards of
Practice and Code of Ethics for IOA and the field of organizational
Ombudsmen. Finally, the border between “Members” and “Associates” and Affiliates” is permeable. Ombudsmen who have years of experience of practicing according to the
Standards of Practice have often crossed and re-crossed the different membership thresholds based on the vagaries of organizational and employment realities. Rich experience can be found in all categories of our IOA membership.
Certification has the potential to assist us in defining the organizational Ombudsman field. We seek an extraordinary trust when as Ombudsmen we pursue a legislatively mandated or court-recognized privilege. It is a privilege greater than that accorded to doctors and lawyers, whose patients and clients, respectively, control whether information is disclosed or held confidential. Yet, paradoxically we cannot point to state regulation such as state issued licenses or state sanctioned licensing exams to reassure legislators who might consider conferring on us such a privilege. Judges and legislators rightly question our credentials.
Ultimately, a certification program that is tied to accreditation by an independent accrediting organization may hold some value for IOA in our efforts to win court and legislative sanction of the confidential and privileged nature of our work. This could enable IOA to place the work of our field on a sounder footing with other professions and associations and the law than we can attain simply by asserting our standards of practice that have received to date somewhat limited legal sanction.
Certification may hold value as well as an important step in our continued professionalization. It represents (through the job analysis and job survey) a good way to clarify the essential knowledge, skills and abilities that are integral to our work. There is, however, much work to be done to create a viable certification program. Foremost among these tasks is to engage membership in a dialogue that clarifies and attempts to meet the concerns of people on all sides and considers how such an initiative may be pursued to maximize its value to all IOA members and our profession.
In conclusion I would revise for our purposes F. Scott Fitzgerald’s assertion to say that for IOA vitality consists not simply in persisting, and not even in merely starting over. Our vitality consists in functioning and, indeed, in making substantive progress by balancing dynamic values and relationships, and by finding ways to nurture one another as a community and simultaneously develop as a profession.
It is this work of nurturing our diverse community while establishing a sounder footing for our field and our relationships with other interests, professions, and associations that we will pursue in the coming year, and I suspect, well beyond that. I hope that all of you who give so generously of your time and energy to strengthen IOA and our profession will continue to do so in this next year, and that those of you who have not yet decided where or how to contribute to IOA will contact IOA, committee members and leaders to see how you can contribute to the profession of organizational Ombudsmen.
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Volume III, Issue 2, July, 2008, IOA T HE I NDEPENDENT V OICE
The Board has been working on various IOA matters and initiatives.
One particularly exciting initiative is our exploration of a possible joint conference in Montreal in April 2009 with the Forum of Canadian Ombudsmen and the Association of Canadian College and
University Ombudsmen. We believe that a joint conference could be a wonderful opportunity for our members and with the Conference
Oversight Committee and Conference Planning Committee we are working, through the logistical and substantive issues to ensure the value of this joint conference for our members.
The Board has put the finishing touches on a membership survey or needs assessment that we anticipate will have been distributed to you by the time this newsletter is published. We are seeking member input on various IOA initiatives and issues and feedback on what you feel is working well and what could be improved.
The Board has been exploring the next steps in a certification process. The job analysis, developed by ten conference attendees after our Boston conference, will provide the basis for a member survey to determine to essential skills, knowledge and abilities for
Ombudsman work. We are also working with the newly created
Certification Taskforce to identify and develop the other elements of a successful certification program.
The Board has discussed the legal, process, and historical issues related to retaining or changing the name of IOA. Questions pertaining to the name will be included in the member survey that you may have already received by the date of publication of this newsletter.
In other actions, the Board welcomes Sean Banks as the new cochair of the Legal and Legislative Affairs Committee. We are fortunate to have Sean join Judy Bruner in directing the activities of the committee. The vacancy occurred when Kevin Jessar stepped down as co-chair in order to fill his role as President.
Finally, the Board will seek to build on the productivity of its 2007 mid-year Board meeting by holding a similar meeting in
Houston in August, 2008.
— The Board
The Independent Voice is published quarterly by The
International Ombudsman
Association to provide information on developments in ombuds practice, Association news, and other topics of professional interest to members of IOA. Articles and advertisements do not necessarily represent the position of IOA.
Copyright 2008, IOA. No material may be photocopied or distributed without express written permission of IOA. This newsletter is produced by
Professional Management
Associates, L.L.C., a full-service association management company.
Editorial Team:
Michael Eisner mediatormikee@aol.com
Nicholas Diehl diehln@od.nih.gov
Kathy Canul kcanul@conet.ucla.edu
Troy Morgan
Troy.Morgan@ge.com
Nicholas Theotocatos
NTHEOTOCATOS@iom.int
International
Ombudsman Association
203 Towne Centre Drive
Hillsborough, NJ 08844-4693
USA
Phone: +1 (908) 359-0246
Fax: +1 (908) 842-0376
Email: info@ombudsassociation.org
Website: www.ombudsassociation.org
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Volume III, Issue 2, July, 2008, IOA T HE I NDEPENDENT V OICE
BY SEAN BANKS, MARY CHAVEZ RUDOLPH, CAROLYN NOORBAKHSH AND JENNIFER WOLF
The plenary session on certification at the April IOA conference, as well as the feedback from the evaluations of that session, have provided the certification planning group additional food for thought. We have taken the time to reflect on some of the questions raised and hope to address them in a thoughtful fashion in this newsletter article. The following is a list of topics surfaced at the conference in multiple venues, along with the planning group’s responses:
1) What is the certification planning group’s philosophy regarding certification?
The philosophy of the certification planning group regarding certification is in keeping with the mission of
IOA, which is:
The mission of IOA is to advance the profession of organizational ombudsmen and ensure that practitioners are able to work to the highest professional standards.
We believe that certification will indeed advance the organizational ombudsmen profession by providing a foundational measurement for the basic K nowledge, S kills and A bilities
(KSAs) of ombudsman practice based on IOA’s Code of Ethics and
Standards of Practice.
2) What is the relationship between IOA and the certification program?
The final oversight structure of the
IOA certification program (also referred to as the “certification program” throughout this article) has yet to be determined. However, based on professional advice from our certification consultant—SMT— and legal counsel, the certification program’s oversight structure will be consistent with recognized models for professional association certification programs and anti-trust law. At least initially, this will call for IOA to serve as the “parent association” for the certification program, with a functionally independent certification program board of directors, who will provide direct oversight of the program.
3) What happens if an ombudsman attempts to become IOA certified, but is not successful ?
It is anticipated that there will be more than one opportunity to become certified. It will not be a one shot chance. It is also expected that the vast majority of ombudsmen who practice according to standards will indeed pass the evaluation on the first round. Certification will be a process to determine very basic KSAs and a demonstration of practicing to standards. If IOA certification requires an exam, there will be an opportunity to prepare for the exam by seeing sample questions in advance.
4) If an organization and/or an ombudsman choose not to be accredited or certified, what will be the ramifications?
IOA is not a governmental entity with authority to dictate if an organization and/or an ombudsman has to be IOA accredited or certified.
Therefore, IOA accreditation and certification will be voluntary.
If an individual chooses not to be certified and/or an organization chooses not to be accredited through IOA, the only consequences are that the individual and organization will not be able to use that professional designation.
5) Does my choice to pursue or not to pursue certification impact my standing as an IOA member?
IOA membership will not be impacted by whether an ombudsman is IOA certified.
6) Will IOA training courses be linked to certification?
IOA professional development courses may help people prepare for the certification evaluation, however they will not be required. IOA courses will also be among those considered for credit for re-certification. (Re-certification will be required, probably every three to four
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Volume III, Issue 2, July, 2008, IOA T HE I NDEPENDENT V OICE
(Certification, continued from page 4) years.) However, there will be other educational and professional development opportunities that will also count toward credit for recertifying.
7) Who is the financial beneficiary of certification?
It is anticipated that the certification program will be self-sustaining within five years. Until then, the
Board of Directors of IOA has agreed that IOA will subsidize the program.
IOA has accumulated reserves in anticipation of several programmatic needs of the organization and and Code of Ethics (COEs). This draft is being transformed into a survey that will go out to IOA members and associate members in June to ensure broader input and to obtain consensus regarding the KSAs required to function as an ombudsman. Of course, there are differences in practice — but we believe there are far more commonalities. The goal of the certification planning group is to identify KSAs that adequately make up the body of basic knowledge (i.e., the commonalities) for ombuds practice according to IOA SOPs and
COEs.
possible. Ultimately, the certification process may evolve, and what is required in 2012 may look different from the initial process of 2008. The initial process may be a stepping stone for a more thorough and rigorous vetting process down the road.
10) How might an exam (or other evaluation process) be designed to ensure cultural sensitivity?
There are several processes in place to attempt to ensure cultural sensitivity including the following: 1) surveying IOA members to ensure profession. Some of these reserves have been allocated for certification. The certification planning group is trying to find a
realize any financial gain from teaching for IOA.
broad participation in the development of
KSAs; 2) the price-point for the certification and accreditation processes which
balances cost to the individual with subsidy from IOA.
Any profits would not benefit any individual ombudsman, including instructors for the IOA courses; all instructors are volunteers and do not
9) Is an exam the most effective way to measure knowledge, skills and abilities (KSAs)?
certification; 3) focusing the exam on the commonalities instead of the differences with which ombudsmen may practice;
It is not yet clear what will be the most reliable and valid method to measure KSAs. The job analysis process, which includes a subseparticipation of
IOA members from countries outside of the
US and North
America, as part of the process of developing and 4) all exam questions will be reviewed by psychometricians to eliminate cultural bias.
8) Is there a clear enough, and consistent enough, body of knowledge regarding ombudsman practice for a certification program?
A job analysis process occurred in meetings after the annual conference to compile a draft list of KSAs required to function as an ombudsman that practices in accordance with IOA Standards of Practice (SOPs) quent survey to IOA members, will help determine what type of evaluation is most appropriate. Many other factors will be considered in determining the best evaluation process — including the important consideration of affordability for IOA to initially subsidize and participants to eventually support. One guiding principle is to have a program that is economically feasible for as many ombudsmen and programs as
11) What’s in it for me as an ombudsman to become certified, and what’s in it for my organization to become accredited?
IOA certification would be a credential that an ombudsman can provide to a current or prospective employer to demonstrate that s/he has engaged in professional development activities (e.g., studying for an exam and successfully passing an
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Volume III, Issue 2, July, 2008, IOA T HE I NDEPENDENT V OICE
(Certification, continued from page 5) exam). IOA certification would indicate that an Ombudsman has the
KSAs to practice in accordance with prevailing and recognized professional standards for Organizational
Ombudsmen (e.g., the IOA Standards of Practice and Code of Ethics). Our hope is that an employer will see value in this professional development activity and in this credential
— as has been the case in other professions. The certification will also serve as a credential which an
Ombudsman can provide to potential employers in a competitive process.
As stated above, The mission of IOA is to advance the profession of organizational ombudsmen and ensure that practitioners are able to work to the highest professional standards.
An
Ombudsman will likely benefit from the advancement of our profession
— and we hope also that certification will assist in the recognition of organizational ombudsman confidentiality privilege and attainment of a shield law (as legislators have asked those seeking a shield law about the qualifications of an ombudsman).
An organization would benefit from accreditation because it would demonstrate that the organization is making every attempt to ensure that the Ombudsman Office is practicing in accordance with prevailing and recognized professional standards.
Such a demonstration could be helpful in encouraging organization constituents to feel more confident utilizing the Ombudsman program
(i.e. consumer protection).
12) Why will experienced ombudsman not be grandfathered ?
The certification planning group was advised that grandfathering could be fraught with legal difficulties. For example, grandfathering can be challenged — i.e. “Why was s/he grandfathered and not me”? It can also present the question of whether a “grandfathered” individual is equally qualified in his or her certification as someone who has gone through the required process to achieve certification. Not allowing grandfathering will level the playing field by not giving preferential treatment to anyone. It is hoped that the experienced ombudsmen will want to lead the way and will be eager to participate in the certification process. Incorporating grandfathering could also impact the eligibility of the certification program to become accredited in the future.
If you have additional questions about certification please e-mail mary.chavezrudolph@cudenver.edu, carolyn_noorbakhsh@nrel.gov, j wolf@uci.edu
, or wagner@columbia.edu.
BY RANDY WILLIAMS AND MIKE TURPENOFF, CO-CHAIRS
The International Ombudsman Association’s Board of Directors has approved the 2009 - 2014 IOA Strategic
Plan. The structure of the plan is revised from earlier efforts in that it includes both strategic and tactical elements. The plan includes not only the Vision, Mission, Values and highest priorities for the Association, but also the projects for which each Committee or Subcommittee is the “project owner,” as indicated on the
Strategic Plan. Committee Chairs and Officers need to examine all of the elements and sections of the
Plan. Once the respective Committees have extracted those projects for which their Committees are the
“project owner,” they must “describe” the extent, schedule and intent of the project as well as associated costs. This information will be used to track (for the first time) progress on each Association project for both the
Committees and the Board. The Strategic Planning Committee will be contacting the respective committees to follow up on the Tracking Reports. This “initiative definition” effort will enable the Board and the Committees to readily identify what all of the Committees and Subcommittees are pursuing at any given point and to check with them on status, direction, and progress. This is of vital importance to the Board and IOA.
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Volume III, Issue 2, July, 2008, IOA T HE I NDEPENDENT V OICE
BY NICK DIEHL, ASSOCIATE OMBUDSMAN, NIH AND WITH COMMENTS FROM THE IOA STANDING
COMMITTEE ON PROFESSIONAL ETHICS, STANDARDS OF PRACTICE AND BEST PRACTICES
In the last issue of The Independent Voice , we asked readers to consider and respond to a hypothetical scenario that involved an ombudsman who planned to move into a formal role within an organization:
You are the head of an ombudsman office in an organization of 20,000 employees and you have one associate ombudsman, George. George has been working in your office for the past two years and has earned a reputation for being personable, fair, trustworthy and intelligent. All of these talents have served your office and the organization well. So well, in fact, that the head of Employee
Relations has taken note and has approached George about taking a fairly high-level position in that department. You know that George has ambitions to grow professionally and that he would do well in the role, but you are also concerned about how employees might react knowing that George has a lot of information about issues that have been raised to the ombudsman.
You would like to keep George in the office, but you won’t be able to match the salary ER would be offering him. What, if anything, would you do to help facilitate an effective transition for George, the organization and your
Office?
Readers shared the following comments on the situation:
• Make sure there is a “bright line” departure from the office so that he does not handle any other calls. You could also make appropriate announcements memorializing the confidentiality of any conversations with him is still in existence.
• I would have an informal conversation with George and share the concerns/perceptions issues regarding his potential transition. Ask George to share his best experience about his role as an ombudsman. Ask
George what could I or the organization do to support his growth and development? What would he do if he was in my place and to brainstorm effective ideas for transitions if transition is appropriate after the support and growth conversation.
• I would simply ask George and hear from him if he has any concerns. Because of the reputation he has created I’d like to believe that people would actually trust him more and would still seek his assistance
(though this time as a person with authority).
• Nothing. George as an ombuds is bound by confidentiality.
• Debriefing for previous work and briefing for the transition needs to be done. Make the transfer transparent in every way, including in writing, media relations and such, and furthermore about the responsibilities and duties for past job and new job.
• Have a discussion with George to ensure he understands that he would need to keep all information while he was an Ombudsman in full confidentiality. I would also follow up with George to see if there are any pending issues that would need to follow up.
• If not already done, have George sign a confidentiality agreement. Talk to the union reps about the move to ensure they are understanding/supportive. Talk to
George about how he will handle his knowledge of information when faced with decisions that might compromise him. Have an announcement made about the move that clarifies George’s position, the role of the office, Ombudsman, etc.
• I would sit down with George and brainstorm about questions he and I should expect, and how we will answer them, to assure employees that any information George may have heard in his role as an Ombudsman will continue to be kept confidential and will not bias his new role (to the best of his abilities).
We requested some additional comments about this scenario from the IOA Standing Committee on Professional Ethics, Standards of Practice and Best Practices:
This change in position for George creates both a challenge and opportunity to communicate effectively
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Volume III, Issue 2, July, 2008, IOA T HE I NDEPENDENT V OICE
(What Would You Do?, continued from page 7) with the entire organization. Effectively communicating this change can help create the perception that George will maintain confidentiality in his new role. Whether this is done successfully will likely have an impact on the trust employees have both in the Ombudsman Office and the Employee Relations function.
disclose information or identities. There may be situations when George should rescues himself because he has confidential information gained as an Ombudsman that is relevant to a particular Employee Relations situation he is involved with.
Ideally, a confidentiality agreement has been signed by
George and all other Ombudsman Office staff. If not, this may still be done prior to the transition. This agreement should be part of the communication to employees.
Language may include something similar to this:
An organization-wide announcement of George’s new role (preferably from a high level executive) should emphasize the confidentiality expectation as well as use this transition as an opportunity to again define the different roles of the Ombudsman Office and the
Employee Relations function (and possibly other
“All staff employed by the Ombudsman Office are members of the International Ombudsman Association and have agreed to work in compliance with the IOA
Code of Ethics and Standards of Practice, copies of which are also attached to this Agreement. The obligation to maintain confidentiality of all communications with inquirers and to work in conformity with the IOA Code of serving in that capacity) are considered privileged. The privilege belongs to the Ombudsman and the Ombuds-
man Office, rather than to any party to an issue. Others cannot waive this privilege.”
3.2 should be highlighted to
Ethics and
Standards of employee resources).
IOA SOP 3.2 states that “Communications between the
Ombudsman and others (made while the Ombudsman is
mean that even as
George transitions
Practice is equally critical for all nonto his new role, the Ombudsman ombudsman staff employed by the Ombudsman Office.
In practical terms, this means that information concern-
Office maintains the privilege and will resist any attempt to require George to reveal confidential information ing the identity of the people who use the Ombudsman
Office, the subject matter of the issues raised, and the obtained while working in the Ombudsman Office. This privilege and obligation to resist all requests to reveal contents of any communications or actions taken by any ombudsman or staff of the office will not be disclosed to confidential information remains with the Ombudsman
Office rather than with George in his new role (although persons outside the office. This obligation not to disclose will continue even if you are no longer employed by the it is expected he would exercise the privilege as well) or employees who shared the confidential information.
Ombudsman Office.”
It may also be helpful to include in the description of his new Employee Relations duties and role as well as in the
This organization-wide communication should remind employees of the Ombudsman process — particularly terms of any employment contract the expectation and requirement that George will protect confidential the fact that no formal records are kept and that personal case notations are routinely destroyed upon case communications with previous Ombudsman Office visitors. This, combined with the Ombudsman Office completion (SOP 3.5,3.6,3.7). This may also solidify the perception of confidentiality as George moves to his
Confidentiality Agreement, strengthens the “perception” of confidentiality. It creates a sense that protecting new role — there will be nothing for him to physically take with him that could be used to breach confidentiality. confidentiality is both a personal promise to employees by George as well as the expectation of the organization and his superiors.
Former visitors to the Ombudsman Office may have a concern about George’s potential use of confidential information in his new position even if he does not
The next edition of The Independent Voice will provide a new scenario for your responses. If you have a scenario you would like to contribute, please send it via e-mail to any member of the editorial team listed on page 3.
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Volume III, Issue 2, July, 2008, IOA T HE I NDEPENDENT V OICE
BY MAURICIO “REESE” RAMOS AND TERI WILLIAMS
Ever read Alice in Wonderland? At first I used to think it was a children’s story. Then one day
(after multiple readings over a period of years) I came to the conclusion that Lewis Carroll was indeed a genius. Many of you may be saying, there you go again, trying to connect two unrelated things, but bear with me. Each time I read Alice I glean lessons and similarities between Wonderland and our own personal journeys in the “Ombuds World” that I can’t help but at times believe Lewis Carroll wrote the very first Ombuds manual.
So, like Alice, take a drink (you have already taken the pill) and escape with me for a lesson that a certain character, the Caterpillar, offers Alice and in turn, us as Ombuds. Do you dare go down the rabbit hole? Your Ombuds practice may never be the same again.
After Alice falls down the hole (while chasing the white rabbit) she meets all sorts of interesting characters, which includes the fascinating
Caterpillar. When Alice meets the
Caterpillar he asks her, “Who are you?” Alice tries to answer but finds that because she has changed sizes all day she does not quite know who she is or even how to explain this confusion to the Caterpillar. Alice even attempts to let the Caterpillar know that one day he will turn into a chrysalis, and then after that into a butterfly. Alice hopes that perhaps the Caterpillar will understand her confusion because some day he will feel different too. However, the
Caterpillar disagrees with Alice and says he won’t. And herein lies the lesson.
For the Caterpillar his identity is not tied to the dramatic transformation and changes that happen to him.
This particular guide reminds us that what happens in the external world is not tied to who we are. It is our beliefs about ourselves and how we relate to these external events that determine our experiences. Although you may already know this, I believe it is a powerful reminder that who we are is shaped by our perception of ourselves and the way we perceive those events, thus not by the events themselves. This is why the Caterpillar keeps asking Alice,
“Who are you?” That is the real question. Not, what happened? Or where have you been? Or even where are you going? Yet instead ask who are you?
As an Ombuds, the Caterpillar’s question in turn becomes, “Who am
I as an Ombuds?” In other words,
“What is my purpose as an Ombuds?” By answering this question we come up with an Ombuds
Mission Statement (OMS), which can be a powerful tool in guiding our practice.
Mission statements are powerful because they give a sense of meaning and purpose to our personal values and goals. Mission statements are, in fact, a concise statement of your life purpose.
Therefore, a mission statement specifically directs our focus in order to produce desirable results.
Steven Covey, in his book First
Things First , refers to developing a mission statement as “connecting with your own unique purpose and the profound satisfaction that comes from fulfilling it.” Enthusiasm and excitement will fill you when you get a sense that you are achieving your personal mission statement. Feelings of being competent, helpful, and effective are what most people strive for and your mission statement will be a constant reminder of what you
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Volume III, Issue 2, July, 2008, IOA T HE I NDEPENDENT V OICE
(Mission Statement, continued from page 9) want to attain day by day. Writing a mission statement will provide the focus you need to accomplish your purpose as an Ombuds.
Here are some corresponding questions we can ask ourselves in order to identify the values that empower us: recurring themes that resonate for you.
In order to assemble a statement, keep in mind a couple of things:
1) Your OMS should be one sentence long because you want to be able to recite it without having to think about it too much. If you find experience that feels most genuine for you? Recognizing which of those small nuances strike a chord will help you create your own personal OMS.
In essence, by adopting a specific
OMS you will be adopting a set of rules, beliefs, and behaviors that go along with whatever your statement
• What principles, beliefs and values guide my work?
yourself writing more than two lines you have too much (and off with is. “Navigator” and “magician” are words that might convey similarities
• Why did I become an Ombuds to begin with?
your head)! This is about the essence, the core, of your practice.
to you but aren’t there are also key differences in those words for you?
• What do I enjoy most about being an Ombuds?
• What is the biggest need I am trying to meet for myself and others?
• Are there needs that exist in my organization/ institution that line is something you will embrace
“transform” anyone or anything but instead “to guide” will determine a
I want to incorporate in
2) Your OMS must truly guide, motivate, and inspire you; this one
Knowing that perhaps for you the focus of your practice isn’t to quality and consistency in your practice quite different from anyone else’s practice.
Mere words they may appear but words make a world of my OMS?
difference, don’t they? Eventually
• What is my institution’s mission statement and how does my OMS unconditionally.
Alice meets Humpty Dumpty and his powerful lesson is about the power relate to it?
• Think of a peacemaker, Ombuds, mediator, leader, or person you admire (living or dead). What about them inspires you? If this
Here are some sample OMS’s I have noted over the years:
“My OMS is to be a “humane” face and “conscience” of the institution we are a part of.” of words and that the words he uses mean just what he chooses them to mean .
What words can you put together that reflect a meaning for your person could give you one gift
(non-material) what would it be?
“I am a navigator that empowers people to go from where they are to practice that you can live by? This does not mean you will be one
• Is there a metaphor that I can adopt to help me symbolically where they want to be through the sea of conflict.” specific role all the time but generally , is there a specific focus that better remember my role?
• One day, you will no longer be an
Ombuds (because you have
“I’m an Ombuds magician that can transform people’s problems into opportunities and lessons.” suits you? Choose your OMS wisely because it will determine your practice. For you may never know when you will find yourself down a retired, pursued a new venture, or have died). As an Ombuds, how
“My purpose is to provide a place of sanctuary.” would you like to be remembered?
deep, deep hole and happen to stumble upon a Caterpillar who will
“I am an Ambassador of Peace.” ask, “Who are you?”
Of course these are just some of the questions we can ask ourselves but once you have answered these questions you should be able to look
Do any of these sample OMS’s (with their fine distinctions and subtleties) resonate for you by creating an
And now, we’re off to meet a very special visitor who likes tea and has a penchant for hats. at the answers and pull some
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Volume III, Issue 2, July, 2008, IOA T HE I NDEPENDENT V OICE
BY SAMANTHA LEVINE
Anyone who has struggled to relate a difficult incident or find the right words to explain a confusing emotion knows there is power and opportunity in the ability to concretely name and describe an experience. This holds true for one of the most recently defined, and potentially disastrous, phenomena of organizational conflict: workplace mobbing. “The language has allowed us to see it more and talk about it more,” said Tom Sebok, director of the Ombuds Office at the University of Colorado at Boulder and associate editor of the Journal of the International Ombudsman Association .
Armed with this concept, people who experience mobbing can more fully make sense of their experiences while interveners, such as organizational ombudsmen, can help proactively diagnose, defuse and prevent the insidious behavior.
First used to describe the aggressive behavior of birds that sense danger, the term “mobbing” was applied to the human realm in 1984 by a
German psychologist, Heinz Leymann, who practiced in Sweden. He studied specific cases in which groups of employees ganged up for an extended period on a colleague, engaging in a systematic campaign of what he called “psychological terror” that resulted in the victim’s mental, psychosomatic and social misery.
1 Thanks to Leymann’s work, the concept became familiar in
Europe, where several countries have enacted laws banning workplace victimization.
Over the last decade, the concept has gained increasing attention in
North America. Leading mobbing researcher Kenneth Westhues, a sociologist at the University of
Waterloo in Ontario, Canada, says that “simply having the word in people’s vocabularies” has fueled more research. Sebok analogizes that the current level of awareness about workplace mobbing is akin to where the United States was about
20 years ago on the issue of sexual harassment “when it was beginning to be talked about, named, and applied to the workplace.”
The term ‘mobbing’ is often used synonymously with ‘bullying,’ but the concepts are not interchangeable.
Bullying is typically hostile behavior carried out by one person, often in a position of relative power, against another individual. Mobbing is a less overt, more complex, group-based activity that often occurs ‘horizontally’ among people at the same professional level or from the
‘bottom up,’ with the targeted person occupying a position of authority. It may last for months and include repeated verbal threats, rumormongering, social isolation of the target, and efforts to undermine the target’s self-confidence with the goal of forcing the person out of the organization. Though anyone may be mobbed, research has shown that “the employee most vulnerable to workplace mobbing is the personally invested high achiever who somehow threatens his or her colleagues.” 2 Whereas bullies might seek out the ‘easy marks,’ those who fall victim to mobbing are rarely quiet or submissive employees — at least at the beginning of the assault.
Mobbing may occur in any type of organization, but an inordinate number of cases have been reported in academia. Sebok notes several characteristics of university environments that make them susceptible to mobbing: the lack of authority, willingness and training on the part of departmental chairs and other campus leaders to address interpersonal conflict among faculty and staff; the extension of the concept of
‘academic freedom’ to cover all types of behavior and communication, even destructive forms; and the existence of tenure, the ultimate in job protection. Across organizations, other structural and interpersonal problems, including a lack of effective leadership, the absence of alternative avenues to conflict resolution, and inadequate communication can cultivate climates that inadvertently support mobbing.
While the incidence of mobbing is fairly low — some researchers have estimated that between 4 and 8 percent of employees have experienced this victimization during their careers – that still equals millions of individual cases worldwide. In addition to the devastating effects of mobbing on the victims, from job loss to illness and even suicide, it can also result in multiple negative impacts on organizations, including high turnover, low productivity and poor morale.
3
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Volume III, Issue 2, July, 2008, IOA T HE I NDEPENDENT V OICE
(Mobbing, continued from page 11)
Ombudsmen are in a strong position to help address and prevent workplace mobbing. Sebok, who has cotaught a new IOA course on workplace bullying, recommends that ombuds consider using climate surveys to surface potential cases of mobbing, develop training to build an organizational culture that encourages bystanders to flag evidence of mobbing, and employ exit interviews and upward evaluation feedback to ensure that organizational leaders are aware of possible dysfunction. Ombuds also can assist people who say they have been victims of mobbing, interact with those who are accused of mobbing and coach administrators who supervise individuals who may be engaging in these behaviors.
There is a great need for such work, says Westhues, who says “mobbing is like a tornado in a storm — there are storms all the time and tornadoes do not occur in all of them. But when they do, the results are disastrous.”
FOOTNOTES
1 Leymann, H. (1996) The Content and Development of Mobbing at
Work. European Journal of Work and
Organizational Psychology , 1996. 5(2), pp. 165-184.
2 Bultena, C., and Whatcott, R. (2008)
Bushwhacked at Work: A Comparative Analysis of Mobbing and
Bullying at Work. Proceedings of the
American Society of Business and
Behavioral Sciences . 15(1), pp. 652-
666.
3 Davenport, et al. (1999) Mobbing:
Emotional Abuse in the American
Workplace . Ames, Iowa: Civil Society
Publishing
BY LISA CHUDA WITZLER
After my first semester at college, I eagerly told my parents that I was not going to be an Economics major as intended, but rather a Peace Studies major. When they realized this was not simply a freshman phase, they began seeking “legitimate jobs” for their “professional hippie”. My mother, who worked for the Carter and Regan Administrations, was very familiar with the ombudsman role in the government and suggested the position to me. I foolishly discounted the idea because I could hardly pronounce the word let alone understand what an ombudsman did. This was before “googling” was prominent and there was very little information I could find about the job.
A few years went by and I received my bachelor’s degree and set out to change the world. This did not last long as I soon discovered that changing the world required 80-hour work weeks and very little salary. With student loans piling up and rent increasing, I decided to climb the non-profit ladder a few rungs and go work for a university.
The transition to a “regular” 9 to 5 job found me with an abundance of free time. Not one to sit around and do nothing, I decided to go back to school part-time and work on my Master’s degree. I took a class in negotiation and fell in love with being a student again. Throughout the program, I took numerous courses in organizational conflict and I began hearing a vaguely familiar term: ombudsman. An ombudsman visited one of my classes and I couldn’t help but think, “They do exist!” Until then, ombudsmen were just another one of the many careers my mother had suggested.
As I was learning more and more about organizational conflict, more and more of my colleagues were coming to me for advice with their conflicts at work. I wanted to help them as best as I could without interfering with my job responsibilities. I decided that I would focus my master’s project on organizational conflict and enter the dispute resolution field as an ombudsman. I contacted Mary Rowe, the ombudsman at MIT, where I work, and she suggested I become a member of IOA and attend the upcoming IOA conference in Boston.
I arrived at the pre-conference courses eager to learn as much as I could about ombudsing. I attended the “IOA Standards of Practice and Code of
Ethics: Understanding the Core Principles or an Organizational Ombudsmen
Practice” and the “Current Legal Issues for Ombudsmen Programs.” The first course provided me with some valuable background and vocabulary and was a very good place to start. I had gained some confidence and was eager to hear about the legal issues that ombudsmen face. I had read the assigned readings and naively soaked them up as gospel. When I realized that much of what ombudsmen do could have major legal ramifications, I began to
(continued on page 13)
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Volume III, Issue 2, July, 2008, IOA T HE I NDEPENDENT V OICE
(Journey, continued from page 12) wonder, “What had I gotten myself into? Was I really willing to go to jail for my job?” I quickly learned that I had overreacted because these were the extreme cases to be aware of, not the norm. Ombudsmen did not go to jail on a regular basis for their job. The Peace Studies/grassroots organizer in me was a teensy bit disappointed.
The next few days were a blur of acronyms and new vocabulary. I was pleasantly surprised by how friendly everyone was to me and felt very welcomed in an incredibly awkward situation. I was not quite sure how to introduce myself because I am a student, and an administrative assistant and an aspiring ombudsman. For some reason, this was very difficult to articulate in a ten second introduction at the beginning of the sessions. I continued to absorb as much as I could during the sessions.
As an aspiring ombudsman, I was curious about how everyone found his or her way to the ombudsman role. The academic in me could not help myself but perform a mini research project throughout the conference on how people started as an ombudsman. I discovered many came by way of social work and others through faculty positions and others from a legal background or a communications or publicist background. Very few held a degree in conflict management or some related field. What did this mean for a recent graduate with a degree in conflict management? I think it is the sign of a rapidly growing and changing field where many different perspectives, experiences and qualities are valued.
When I think back on my experience at the conference, I am not surprised that I was always welcomed into a conversation or escorted by new-found friends to be introduced to as many new people as possible. The conference was an incredible networking experience for me. I began to feel very comfortable with this tremendous group of people and was eager to put my talents to work. Having organized a number of conferences while wearing my administrative assistant hat, I couldn’t help but pinch-hit as a moderator for some of the sessions. I enjoyed the experience so much that I have joined the committee for next year’s conference! I have also joined the communications committee and am eager to start work on projects with them. I have never been so excited about an organization and a field before. Thanks to the wonderful people I met at the conference, I have found my niche and finally feel a sense of belonging that is rare for someone so young.
After the conference I have a very rosy picture in my mind about what it will be like to be an
Ombudsman. The reality and the challenges seem far away, but they have not escaped me. I realize that I am entering a field that is challenging yet very rewarding.
FALL 2008
Monday - Friday
October 27-31, 2008
Vancouver, BC, Canada
4TH ANNUAL CONFERENCE
April 15-18, 2009
The Fairmont Hotel
The Queen Elizabeth
Montreal QC, Canada
5TH ANNUAL CONFERENCE
April 7-10, 2010
The Marriott New Orleans
New Orleans, LA
For details on all IOA Course
Offerings, log on to www.ombudsassociation.org/
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Volume III, Issue 2, July, 2008, IOA T HE I NDEPENDENT V OICE
This article is reprinted from Directors Monthly with permission of the publisher.
© 2008 National Association of Corporate Directors (NACD)
1133 21st Street, NW, Suite 700, Washington, D.C. 20036, 202-775-0509, www.nacdonline.org
BY JONATHAN E. MCBRIDE AND JAMES S. HOSTETLER
Grievances cannot be redressed unless they are known, and they cannot be known but through complaints. . . If these are deemed affronts and the messengers punished as offenders, who will henceforth send petitions?
. . . Where complaining is a crime, hope becomes despair.
— Ben Franklin
In the December 2007 issue of Directors Monthly (DM),
Gary Edwards issued “A Call to Action for Board Leadership” to strengthen and enhance the compliance, ethics, and corporate culture of an organization. After noting problems with the structure and function of most current corporate ethics and compliance programs, Mr.
Edwards offered an action plan for boards of directors to improve their ethics programs. We applaud and support his analysis and conclusion that “understanding why and how boards must reengage on the critical topic of corporate ethical culture is essential to their success.”
In this article, we offer a significant additional building block, perhaps one of the most powerful governance tools available to corporate boards today if they are to effectively promote best practices in governance, risk management, and compliance. This tool is the “organizational ombudsman” (ombuds). Providing a safe space for employees, free from intimidation or retaliation, to surface issues of concern, particularly those that expose the organization to risk, is precisely what an organizational ombudsman does.
Recent studies have shown that though corporate ethics compliance programs are on the rise, reporting violations are on the decline. One way to remedy this is by establishing an ombudsman office and providing employees with an informal channel for reporting unethical activities that may be putting your company at risk.
Employees need to be able to let the board of directors know when they see something that threatens performance or exposes the company to risk. Only when corporate boards know what’s really going on in their organizations can they protect the company’s financial assets, and an equally important asset—its reputation.
Corporate directors are acutely aware that they expose themselves to liability if they fail to keep abreast of emerging best practices in governance, risk management, and compliance. Responsible boards, increasingly concerned about what they don’t know, are expending significant time and resources in identifying, quantifying, and mitigating risks.
Sarbanes-Oxley, the NYSE, and NASDAQ mandate that companies provide channels of communication through which employees can act as “whistleblowers” free from fear of retribution. The U.S. Sentencing Guidelines stipulate the same thing. In response, many boards have instructed operating management to provide mechanisms through which employees can disclose their concerns in a manner in which they feel safe. The result often has been the establishment of formal internal functions, such as ethics, compliance, internal audit, legal, and human resources, or hotlines, among others.
Mentally draw a line under that list of internal functions.
Everything above the line represents a “formal” channel of communication where agents of management make policy, enforce policy, and keep official records, as well they should. When appropriate, they also conduct formal investigations. If an employee reveals wrongdoing to any of these formal channels, the organization is “on notice”; that is to say, the company “knows” and, depending on the nature of the issue, is obligated to initiate an investigation.
Now drop down below the line. That is where the organizational ombudsman lives. The office of the organizational ombudsman offers an “informal” channel
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Volume III, Issue 2, July, 2008, IOA T HE I NDEPENDENT V OICE
(Ombudsman, continued from page 14)
of communication, independent of management’s formal chain of command. The ombuds is an independent, neutral, and confidential resource. The ombuds is neither the company’s advocate nor the employee’s advocate; rather, it is an advocate for fair process.
As the ombuds is not an agent of management, it does not make or enforce policy, does not perform formal investigations, and does not keep records. The ombuds’ function is to listen, help analyze options, and coach concerned employees. Based on sensitive information that flows to the ombuds and establishes statistical trends, the ombuds is in a unique position to identify areas of weakness and provide the board with periodic recommendations concerning systemic changes that can benefit the entire organization.
Companies that focus only on the formal programs, which “protect” the company by satisfying criteria mandated by Sarbanes-Oxley and other legislative and regulatory requirements, often don’t get access to the very information they need. Ironically, in many cases, the stronger and more “effective” management makes the formal channels, the higher the intimidation factor and the less employees use them.
In the 2007 National Business Ethics Survey (NBES) conducted by the Ethics Resource Center, it is noted that in recent years the number of formal programs such as hotlines has increased, as has the percentage of employees who have observed unethical behavior—e.g., conflicts of interest, abusive behavior, and lying. At the same time, the percentage of employees willing to report the unethical behavior has decreased. The survey also found that most employees who do report misconduct prefer to reveal it “to a person… rather than to a company ‘hotline.’” Ombuds utilization rates are generally three to ten times higher than those of a hotline.
Companies that provide an ombuds office actually gain more timely access to needed information. According to
Edwards, “Employees are less likely to report misconduct if they fear that doing so will result in being deposed and exposed.” Because an ombuds office provides a safe haven for individuals to discuss issues of concern, employees are more likely to surface issues that expose the corporation to risk. They know their identities will not be revealed.
So why is the ombuds function, which can quench the board’s thirst for independent knowledge of potential risks, not on the radar screen of most directors and management executives? It has been our experience that many board members feel that when they have one or more formal channels in place, they have covered their bases. They also perceive that an ombuds function would duplicate, or compete with, the formal channels.
Why bother establishing an ombuds function?
One reason is that because of the “informal” nature of the office, communications made through an ombuds function do not constitute formal “notice” to the company, thereby requiring an investigation where none may be warranted. In the event of litigation, courts normally uphold the ombudsman’s privilege and issue protective orders to shield the ombudsman from testifying. As a consequence, the ombuds function represents a safe place for individuals to take problems or concerns to better understand the issues and assess options for resolving the matter.
Stephen P. Norman, corporate governance officer of
American Express, has observed: “One of the surest ways to prevent brand damage is to identify problematic behavior at its earliest stage. Our employees are often in the best position to raise issues, but they won’t unless there is both the perception and the reality that they will be supported. An active ombuds office does that for us, as one of our key channels for helping surface issues.”
Second, the ombudsman provides early warning to the board by identifying “hot spots” or areas needing managerial intervention. Statistics provided by the ombuds function can result in periodic recommendations concerning organizational change that might benefit the enterprise as a whole. This can resolve contentious issues early, and can prevent their recurrence.
Herb Allison, former chief executive of financial services company TIAA-CREF, notes that an ombudsman can tie together a company’s directors and employees and help assure that when problems do arise, directors can know
(continued on page 16)
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Volume III, Issue 2, July, 2008, IOA T HE I NDEPENDENT V OICE
(Ombudsman, continued from page 15) about them and take steps to address them. “An ombudsman provides another avenue for a company to surface and address concerns so they reach the board sooner rather than later.”
Third, statistics indicate that when there are multiple reporting channels in place, including an ombuds function, the formal channels can be more efficient. Not only does the informal ombuds function not compete with the formal channels, but by coaching and directing employees to use them, the ombuds complements the formal channels. When employees speak with the ombudsman first, sometimes their concern is resolved simply by being “heard.” If, after initial consultation with the ombuds, they elect to approach a formal channel, they will better know what they want to say and what outcome they seek. This saves the formal channels valuable time from addressing or investigating issues that belong elsewhere.
Dennis Muse, CEO of Global Compliance, a leading provider of integrated ethics and compliance solutions, states, “As a best practice, Global Compliance counsels our clients to implement multiple vehicles and channels for the reporting of business misconduct or noncompliance.”
Fourth, from a return-on-investment (ROI) perspective, an ombuds function makes demonstrable good sense.
Statistics generated by John Zinsser of Pacifica Human
Communications, LLC, a leading expert on ombuds program performance metrics, show on average a fourteen dollar return per one dollar invested—and this is before savings from legal fees that would otherwise be spent on employee-initiated litigation are taken into account. While the ombuds function is sometimes dismissed as a “cost” center, we challenge boards to show comparable ROI results from more conventional
“profit” centers.
Edwards has issued a strong call for leadership by boards to promote an organizational culture that encourages ethical conduct. We urge boards to take ownership of the organizational ombudsman concept as an important tool in meeting not only this responsibility but also in resolving conflicts which, if left to fester, undermine morale and erode performance.
Indeed, this emerging best practice in governance must be directed and led by the board, not delegated to one of the formal channels which plays a complementary role to the ombuds. To practice governance and risk management powerfully and effectively, CEOs, boards, and audit committee chairs must integrate effective ombuds programs into the DNA of twenty-first century corporations. Ultimately, directors should become
“champions” for the critical role organizational ombudsmen can play in corporate America.
Jonathan E. McBride is president, and J ames S.
Hostetler is managing director, of McBride Associates,
Inc., a governance consulting firm in Washington, DC.
The International Ombudsman Association welcomes its newest members:
Rob Anson
Faculty Ombuds
Boise State University
Boise, ID
Minerva Collazo
Student Ombuds
University of Puerto Rico at Bayamon
Bayamon, PR
Marit Bessesen
Interim Ombudsman
San Diego State University
San Diego, CA
Valerie Craigwell White
Ombudsperson
Lewis & Clark College
Portland, OR
Evelyne Girard
Ombudsman
Public Service Commission
Ottawa, ON, Canada
William Howard
Ombudsman
State of Maryland Judiciary
Annapolis, MD
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Volume III, Issue 2, July, 2008, IOA T HE I NDEPENDENT V OICE
(New Members continued from page 16)
Laura La Vita
Employee Ombudsman
TD Bank Financial Group
Toronto, ON, Canada
Nancy Milton
Conflict Management Solutions
Elk Grove, CA
Gustavo Partida
Assistant Ombudsman
Dept. of the Ombudsman for LA
Los Angeles, CA
Charmaine Tomczyk
Assoc. Director of Library Services
Coastal Carolina University
Conway, SC
Stella Johnson
Mediation Renaissance
Windsor, ON, Canada
Eleanora Layman
Ombudsperson
IKON Office Solutions
Downingtown, PA
Phoebe Morgan
Faculty Ombudsman Program
Coordinator
Northern Arizona University
Flagstaff, AZ
Juan Manuel Thompson
Agency Ombudsman, Charles
County Dept. of Social Services
La Plata, MD
Katrina Agard
Protestant Chaplain
Bentley College
Waltham, MA
Jenny Besch, Director
Westchester Mediation Center
New York, NY
Barry Boss
Office Managing Partner
Cozen/O’Connor Attorneys
Washington, DC
John Breletic
Graduate Student
Kennesaw State University
Kennesaw, GA
Bryan Collins
Graduate Student
Kennesaw State University
Canton, GA
Stan Conyer
Graduate Student
Kennesaw State University
Bradenton, GA
Andrea Fishbach
Aspiring Ombudsman
Seattle, WA
Ricky Gayadin
Brampton, Ontario, Canada
Nicki Green
Graduate Student
Kennesaw State University
Canton, GA
Patricia Hawkins
Ombudsman
American InterContinental
University— Online Division
Atlanta, GA
Rivka Horowitz
East Lyme, CT
Kenneth Newberger
Conflict Resolution Specialist
Win Win Conflict Solutions
Damascus, MD
Michael Paris
President/CEO
Better Business Bureau
Canton, OH
Thomas Pollard
Commissioner
FMCS
Syracuse, NY
D.B. Reiff
Director Client Services
FCMS Dispute Resolution
Boston, MA
James Rowell
Graduate Student
Kennesaw State University
Marietta, GA
Marc Schwartz
North Caldwell, NJ
Daisy Seebach
Plano, TX
Richard Steer
Partner
Tarter Krinsky & Drogin LLP
New York, NY
Teri Williams
Ombuds Office Management
Assistant
Sandia Nat’l Laboratories
Livermore, CA
Loretta Young
Internal Auditing Analyst
California State University,
Long Beach
Compton, CA
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