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MWI's EXTERNAL ORGANIZATIONAL OMBUDS SERVICE
MWI's External Organizational Ombuds Service provides independent,
confidential, and neutral assistance to employees.
- An ombudsman is available to all employees and management to discuss,
address and seek help with a variety of problems and issues;
- An ombudsman is a resource for interpreting company policies,
guidelines and organizational structure;
- An ombudsman provides confidential and informal
assistance in resolving concerns and is outside the normal structure;
- An ombudsman maintains strict confidentiality (except where
there is a serious threat of harm);
- An ombudsman does not keep records on individuals but does provide
management with reports on trends and other information that would otherwise
not be available to management.
The Role of an Ombudsman
An Ombudsman’s purpose is to provide employees with a
unique and confidential channel for voicing complaints and resolving conflict.
An Ombudsman offers employees and management the following services:
-
Opportunities to discuss and seek advice on how to
handle difficult situations;
-
Mediation services with another employee, supervisor,
or manager;
-
Insights about company policy in regard to a particular
situation;
-
Services designed to build morale, productivity and the
capacity of the workforce to manage and resolve conflicts on their own.
All conversations with the Ombudsman are held in absolute
confidence. Confidentiality provides employees with a safe avenue to
communicate their concerns without fear of retaliation or adversely impacting
their career at the organization. Notwithstanding confidentiality, the
Ombudsman will provide general information to management about patterns of
concerns and/or serious issues of safety or abuse. This information is useful
to companies that are committed to creating a supportive and healthy work
environment and resolving concerns before they escalate into serious issues.
- Benefits to Employees: Employees benefit by
having a confidential, company-sanctioned avenue to express concerns, review
policies, explore options, and resolve conflicts. The Ombudsman's adherence
to strict confidentiality reduces an employee's fear of retaliation. This
informal process, which exists outside of the company structure, provides
employees with an opportunity to resolve issues before they escalate to a formal complaint
against another employee or against the company.
- Benefits to Management: Management benefits by
receiving regular direct reports about issues and trends affecting the
company that would otherwise be unavailable to management. Management also
benefits by addressing employees’ concerns before they escalate into
decreased productivity, lowered morale, or even lawsuits. Having an
established confidential and anonymous Ombuds office also helps businesses
comply with duties outlined in the U.S. Sentencing Guidelines, the
Sarbanes-Oxley Act, and with other requirements.
MWI Ombuds Practitioners adhere to the
Code of Ethics and
Standards of Practice of
The International Ombudsman
Association
(IOA).
Comparison Chart of Roles
This chart is designed to define the role of the Ombudsman
and clarify the differences between the role of the Ombudsman and other roles
within a company.
|
|
HR or Personnel
|
Ethics
Officers |
Ombudsman |
EAP |
EEO |
|
Focus |
Provide leadership, develop and
administer company strategy, policies and practices with respect to
people |
Address and prevent
waste, fraud,
and abuse, and code of conduct violations |
Provide a
zero barrier
office for all work related problems;
support all
conflict management
activities, including system improvement.
|
Provide counseling and consultation
to help
employees
and
supervisors
with personal problems that affect
work |
Respond to allegations of unlawful
discrimination or harassment; prevent discrimination
|
|
Function |
Provide HR consultations throughout
the organization. Assist managers
and
employees in following and
applying all HR-related policies and procedures. Training. |
Help to surface and, investigate
ethics allegations. Identify problems, adjudicate,
and assure
appropriate disposition of cases and discipline of offenders.
Record-keeping for compliance. Training.
|
Help to surface serious
problems.
Help to resolve disputes informally where possible.
Identify issues,
generate options, mediate, refer to other resources, and recommend
changes. Training. |
Counsel and
refer
employees and
supervisors who need help with personal problems. Presentations. |
Receive, track, refer, or
investigate EEO cases. Identify issues and assure appropriate
disposition, discipline and documentation. Training.
|
|
Designated Neutral |
No;
compliance officer |
No;
compliance officer |
Yes |
No; advocate
for employees |
No; compliance officer
|
|
Near Absolute Confidentiality |
No; protects privacy |
Protects the source if possible |
Yes |
There are
some
limitations |
No; protects privacy
|
|
Make or Modify Policy |
Yes |
Yes |
No |
No |
No
|
|
Implement Policy |
Yes |
Yes |
No |
Concerning certain employee health
benefits
|
Yes
|
|
Enforce Policy |
Yes |
Yes |
No |
Concerning certain employee health
benefits
|
Yes |
|
Office that accepts notice for
corporation
|
Yes |
Yes |
|
No |
Yes
|
|
Conducts
formal investigations as
the basis for management action
|
Yes |
Yes |
No |
No |
Yes
|
|
Expected to Testify |
Yes |
Yes |
No |
No – except
with client permission
|
Yes
|
|
Responsible
for identifying
systemic shortcomings
or problems |
Yes,
especially at senior levels |
Limited to ethics
concerns |
Expected to identify, communicate,
make recommendations about work-related issues, including those caused
by company policies |
May make recommen-dations |
Limited to legal or jurisdictionally
defined concerns. |
- Mary Rowe, Massachusetts Institute of
Technology
For more information about MWI's External Organizational
Ombuds Services, contact Charles Doran, Executive Director at 800-348-4888 x22 or
by e-mail at cdoran@mwi.org.
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