You have one cohort of directors: "I'm terrified of what I don't know." And you have another cohort of employees that know things and don't know who to tell. How do you marry up those two interests? The organizational ombudsman is a terrific solution to that. The board members don't need to know the source of issue; they do need to trust their intermediary. That the intermediary will sort the wheat from the chaff and will only bring issues to them that will command their attention.
The Association has identified and trained members with a thorough knowledge of the Code of Ethics and the Standards of Care in the Sacramento real estate industry, as well as the willingness and patience to help others, to provide ombudsmen services. When a phone call from a SAR member or client of a member comes into the Association, the caller may be offered the ombudsman service. The ombudsman may advise the complainant on possible avenues of resolution or simply answer questions. If the matter might be better resolved in a meeting with the respondent, the ombudsman may encourage the complainant to request ethics mediation. If the complainant wishes to file a complaint, the ombudsman can assist the complainant with the preparation of written statements and an understanding of what the burden of proof for a hearing might entail. The ombudsman may also be the disputant's REALTOR® representative at any ensuing hearing. The complainant is assured of complete confidentiality during this process.
After reading the book I can say I’m still amazed more companies haven’t added ombuds functions. Setting up such an office and operating it so that confidentiality, independence and neutrality are protected is no easy task but there appears to be much more upside than downside, if done right. The flawed cases referenced where confidentiality was denied appear to be deeply flawed. However, I wouldn’t undertake such a task without Howard’s book and I would also want to join the International Ombudsman Association to discuss the idea with several who have set up and operated such offices. While it isn’t an “idiot’s guide” or step-by-step approach, the subject matter doesn’t lend itself to that possibility at this stage of development. Charles Howard’s essential guide for organizational ombudsman will undoubtedly facilitate growth of this important function that could help develop a culture of trust, candor and accountability.
The enactment of the Dodd-Frank Wall Street and Consumer Protection Act last year and implementing regulations from the Securities and Exchange Commission earlier this year were strongly opposed by many groups, such as the Association of Corporate Counsel, because they create a bounty system for whistleblower tips made directly to the SEC rather than encourage reporting through a company’s internal channels.The article is also available throught Law.com.
Separately, the proposed settlement requires Pfizer to create an Ombudsman program so as to provide the company's [*340] employees with an alternative, confidential means for bringing work-related concerns to the attention of senior management without fear of reprisal. See Corporate Governance Proposal at 6. The Ombudsman will operate a stand-alone office under the direction of Pfizer's Chief Compliance Officer, and is authorized to report his or her concerns directly to the Regulatory Committee. Id. All conversations with the Ombudsman will remain confidential, except where the employee raises an issue that risks harm to an individual or the company or where disclosure is required by law. Id.
2011 Corporate Organizational
Ombuds Roundtable (COOR)
Agenda SupplementPresentation Descriptions
1. Welcome to M. D. Anderson and Introductions by Anu Rao [bold not in original, see note below] and the M.D. Anderson Ombuds Office
2. ADR Internationally, Locally and Contractually by Dan Fontaine, Esq., M.D. Anderson Senior Vice President Business Affairs and Regulation
Introduction, background and history of the MD Anderson Cancer Center. The role of ADR and the importance of the Ombuds office in the growth of the center locally and internationally using examples of contractual language and process descriptions.
3. Purpose, Direction & Structure of COOR by Sean Banks and Anamaris Cousins Price
Call-in participation and live discussion. History of the COOR group. What should its purpose be and how can it best serve the needs of corporate organizational ombuds? The new Mission Statement. Exploration of various alternative structures for COOR going forward; hurdles to overcome, costs and benefits of independence. Selection of the Host for the next Roundtable, formation of the planning and governance committees.
4. Organizational Ombuds Shield Law Effort by Ralph Hasson
Organizational Ombuds Shield Law efforts then, now and in the future. Progress and roadblocks in previous legislative sessions from 2004 to the next session in 2013. A breakdown of the costs to champion this effort. Thanks to contributors for their efforts, time and funding. Explanation of the challenges and how to overcome them in the next legislative session. A call for support to get a shield law passed in Texas, throughout the United States and internationally.
5. Creating, Managing & Maintaining a Positive Perception of an Ombuds Program by Carol Breslin and Al Swenson
How do ombuds adhere to their charters and manage perceptions? How do you create, maintain and/or change perceptions to market Independence, Neutrality, Impartiality and Informality? Interactive discussions of working scenarios, IOA standards of practice and sharing of ombuds best practices.
6. Roundtable discussion on various topics facilitated by Mauricio Ramos
Ombuds data management, supervisors & employees working at different locations, interacting with EAP & HR, social media, technology, the need to update IOA standards of practice in light of today’s technology, ombuds effectiveness, ombuds reporting, coaching, annual reports, expectations of visitors and confidentiality, leadership changes, ombuds therapy, etc.
Potential topics for the 2012 Roundtable include technology and social media presentations to name just a few.
Special thanks to M.D. Anderson for hosting such a successful Roundtable and to Chevron, Marathon Oil, Shell and Halliburton for sponsoring the meals. Many thanks to all presenters and participants for making this a truly enjoyable professional experience. We look forward to welcoming all corporate ombuds to join us for our 2012 Roundtable.
Having a local ombudsman program provides an opportunity for disputing parties to resolve their disagreement without needing to file a formal ethics complaint or arbitration request. The ombudsman’s role is that of a communicator who works to identify the nature of the dispute to determine if discussions with the parties can resolve the matter-- saving time, money and effort on behalf of the parties and the association.
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This program will be facilitated by Diane Disbrow (NJ) and Wally Folks (TX) and will include:* An explanation of the ombudsman concept* A panel discussion about successful ombudsman programs from various areas* An opportunity to answer questions about your own local ombudsman program* Sample materials and resources
