APPENDIX G:

• Jurisdiction: United States

APPENDIX G:

The Ombudsman Association, Standards of Practice¹

The mission of the organizational ombudsman is to provide a confidential, neutral and informal process which facilitates fair and equitable resolutions to concerns that arise in the organization. In performing this mission, the ombudsman serves an information and communication resource, upward feedback channel, advisor, dispute resolution expert and change agent.

While serving in this role:

We adhere to the Ombudsman Association Code of Ethics. We base our practice on confidentiality ²

2.1 An ombudsman should not use the names of individuals or mention their employers without express permission.

2.2 During the problem-solving process an ombudsman may make known information as long as the identity of the individual contacting the office is not compromised.

2.3 Any data that we prepare should be scrutinized carefully to safeguard the identity of each individual whose concerns are represented.

2.4 Publicity about our office conveys the confidential nature of our work.

We assert that there is a privilege with respect to communications with the ombudsman and we resist testifying in any formal process inside or outside the organization. ³

3.1 Communications between an ombudsman and others (made while the ombudsman is serving in that capacity) are considered privileged. Others cannot waive this privilege.

3.2 We do not serve in any additional function in the organization which would undermine the privileged nature of our work (such as compliance officer, arbitrator, etc.)

3.3 An ombudsman keeps no case records on behalf of the organization. If an ombudsman finds case notes are necessary to manage the work, the ombudsman should establish and follow a consistent and standard practice for the destruction of any such written notes.

3.4 When necessary, the ombudsman’s office will seek judicial protection for staff and records of the office. It may be necessary to seek representation by separate legal counsel to protect the privilege of the office.

We exercise discretion whether to act upon a concern of an individual contacting the office. An ombudsman may initiate action on a problem he or she perceives directly. We are designated neutrals and remain independent of ordinary line and staff structures. We serve no additional role (within an organization where we serve as ombudsman) which would compromise this neutrality.

5.1 An ombudsman strives for objectivity and impartiality.

5.2 The ombudsman has a...