Ombuds Office Overview GSBS Orientation August 23, 2018 Carrie Anderson, MBA, MS Program Coordinator

Ombuds Profession Different Types Swedish word appearing in the 1700s. An ombudsperson serves as an alternative means of dispute resolution. They are designated neutral who helps resolve disputes in a fair manner by providing a safe space and a confidential setting. An ombudsperson serves in healthcare, academic, government and corporate settings. Classical Organizational Executive Ombuds https://www.americanbar.org/content/dam/aba/events/dispute_resolution/Newsletter%20articles/Howard_Smith_Types_of_Ombuds.authcheckdam.pdf A Swedish word that appeared in the 1700s,1 ombudsman means agent or representative2 ; however, the idea of a complaint officer goes back even farther into history, reaching back to Ancient Egypt, the Roman Republic, and the Han Dynasty.3 According to the American Bar Association’s (ABA) 2004 Resolution updating and setting standards for ombuds programs, ombudsman means “an independent, impartial, and confidential complaint handler” who “serves as an alternative means of dispute resolution – a means by which issues may be raised, considered, and resolved.”4 Very roughly, an ombuds is a neutral party present to examine or help resolve issues that arise, generally in a context with a significant power imbalance or fear of retribution. A key issue, however, is that there are different types of ombudsmen. In fact, the ABA has also adopted three other Resolutions, beginning as far back as 1969, that help define the most common types of ombuds.5 Accurately identifying what type of ombudsman serves in a particular context is easier with an understanding of the specific ombuds program; these programs have evolved in the U.S. over the past fifty years. “serves as an alternative means of dispute resolution – a means by which issues may be raised, considered, and resolved.”4 Very roughly, an ombuds is a neutral party present to examine or help resolve issues that arise, generally in a context with a significant power imbalance or fear of retribution. A key issue, however, is that there are different types of ombudsmen. I Classical, Legislative, Executive, Organizational, and Advocate. A Classical/Traditional ombuds works to address problems for the general public or within an entity, generally regarding “actions or policies of government entities or individuals.”18 In the 2004 Resolution, the more particularized legislative and executive ombuds replace the classical category,19 but the broader term is still widely used by ombuds groups, including the ABA Ombuds Committee, and used more often than the legislative/executive delineation.20 The ombudsman is either appointed by the legislative body or by the executive with confirmation from the legislative body. Traditional ombuds can: • Hold agencies accountable to the public and assist in legislative oversight of those agencies. • Conduct investigations and use subpoena power. • Issue public reports. • Advocate for change within the entity and publicly.21 A Legislative ombuds works in the government’s legislative branch to address internal issues or problems brought by the public, generally regarding accountability to the public for “the actions or policies of government entities, individuals or contractors.”22 Legislative ombuds are appointed by the legislative body or the executive with confirmation by the legislative body and adhere to the twelve characteristics23 outlined in the 1969 ABA Resolution. An example of this type of ombuds is the corrections ombudsman. Legislative ombuds can: • Hold agencies accountable to the public and assist in legislative oversight of those agencies. • Conduct investigations and use its subpoena power during investigations. • Issue public reports. • Advocate for change within the entity and publicly.24 An Executive ombudsman can work in private or public sector entities and can hear “complaints concerning actions and failures to act of the entity, its officials, employees and contractors.”25 Unlike the legislative ombudsman, the executive ombuds is not created by or with the confirmation of a legislative body, but rather are often appointed by the head of an entity. An example of this type of ombuds is the municipal government ombudsman. Executive ombuds can: • Conduct investigations. • Issue reports. • Hold the entity accountable or collaborate with the entity to make programs better. • Have jurisdiction over a subject matter that involves multiple agencies, but should not have general jurisdiction over more than one agency if located in government.26 An Organizational ombuds can work in private or public sectors and usually addresses issues brought by an entity’s members, employees, or contractors of an entity regarding its practice or policy.27 These ombuds often work to help resolve conflicts on an informal level for the organization, using a range of methods from conflict coaching to informal mediation. In addition to the three principles of confidentiality, impartiality, and independence, the leading organizational ombuds association recognizes informality as a vital component in the standards of an organizational ombuds practice, declaring in its code of ethics, “The Ombudsman, as an informal resource, does not participate in any formal adjudicative or administrative procedure related to concerns brought to his/her attention.”28 With the program arising from the entity, even with structural independence it is especially important for the constituent to clearly differentiate the ombuds program from other agency mechanisms. An example of this type of ombuds is the university ombudsman. Organizational ombuds can: • Make inquiries and operate according to informal processes as specified in an office charter. • Conduct inquiries impartially and independently. • Issue reports. • Advocate for change within the entity.29 An Advocate ombudsman can work in private or public sectors. While remaining objective, an advocate ombuds “is authorized or required to advocate on behalf of individuals or groups found to be aggrieved.”30 This ombuds is thus not always a neutral party, but at the fact determination stage, even the advocate ombuds must be impartial. If there is a basis for a complaint, the ombuds advocates for change or relief. This ombuds must understand the nature and role of advocacy and provide constituents information, advice, and assistance. An example of this type of ombuds is long-term care ombudsman.31 Advocate ombuds can: • Represent constituents’ interests regarding policies implemented by the establishing entity, government agencies, or other defined organizations. • Initiate action when merited in an administrative, judicial, or legislative forum.32 Legislative Advocate

MD Anderson Ombuds Office History MD Anderson Ombuds Office Founder Bill Brock, Ph.D. was a faculty member at MD Anderson Department of Experimental Radiation Oncology since 1978 and 1st Ombudsperson. Started Faculty Ombuds Office in Spring of 2000. Spring 2006 office expanded to all MD Anderson employees, including faculty, classified and administrative staff, trainees, postdocs and students. Bill was a faculty member at M. D. Anderson in the Department of Experimental Radiation Oncology since 1978. Bill was a faculty member at M. D. Anderson in the Department of Experimental Radiation Oncology since 1978. In the spring of 2000, he established the Faculty Ombuds Office. As a result of its success with faculty, the program was expanded to all MD Anderson employees, including faculty, classified and administrative staff, trainees, postdocs and students. Aside from his career as a scientist, Bill has been trained as a mediator, executive coach and ombudsman, but he considers his real training to be his experience at M. D. Anderson. In 2003, he retired from his academic position and now works part-time in the Ombuds Office

Organizational Ombuds Role of an Organizational Ombuds Primary Duties: Provide a safe and confidential space Work with individuals and groups to explore and assist in determining options to help resolve work related conflicts, problematic issues, or concerns Raise systemic concerns allowing the organization to proactively address problems Encourage civility, fair process, and respectful workplace

The International Ombudsman Association (IOA) Standards of Practice Confidentiality Our conversations are strictly confidential unless you give us permission to talk to someone else, if there appears to be an imminent risk of serious harm, or it is required by law. Neutrality We are impartial and neutral. An ombudsperson is not an advocate for either employees or management. Independence Our office is independent in order to provide employees with a safe place to discuss workplace conflicts, complaints or disputes without fear of retaliation. Informality We are an informal resource with no official records. Contacting our office is not the same as reporting an issue to the Institution and does not officially place MD Anderson on ‘notice’.

FEATURE FILMS ARE THE RE- SULT OF YEARS OF SCIENTI- How many Fs? FEATURE FILMS ARE THE RE- SULT OF YEARS OF SCIENTI- FIC STUDY COMBINED WITH THE EXPERIENCE OF YEARS

FEATURE FILMS ARE THE RE- SULT OF YEARS OF SCIENTI- How many Fs? FEATURE FILMS ARE THE RE- SULT OF YEARS OF SCIENTI- FIC STUDY COMBINED WITH THE EXPERIENCE OF YEARS

Listen Ways We Can Help You Help you feel prepared to handle a situation Help you develop and evaluate resolution options and plans Research policies, procedures or regulations that apply to your situation Coach you on how to have a difficult conversation or navigate a difficult situation Mediate or facilitate a discussion with the other person (with your permission) Conduct informal fact gathering (with your permission) Refer you to other institutional resources Facilitate team conflict resolution (upon request) Provide institution wide training on various conflict resolution topics Listen New* Getting Your Mojo Back 2 hours Audience: All Employees Description: Bring your lunch and join the Ombuds Office for a session designed to help you rekindle your motivation, reconnect with your mission, avoid “Mojo Zappers,” and gain inspiration to reach your goals. Registration:  Please register through the Education Center. Select “Learn,” “Classroom Training,” and search for "Mojo." Click on the class name. Scroll down and double click the name again. Then scroll to the right to select "Enroll." Or you can click below next to your preferred date to be taken to the Education Center registration for that specific date and course. Upcoming Courses: (Print the flyer for your coworkers or work area)               ♦ Nov. 1, 2017, 12-2 p.m.                              ♦ Feb. 14, 2018, 12-2 p.m.                              ♦ May 23, 2018, 12-2 p.m.                              ♦ Aug. 29, 2018, 12-2 p.m.  Conflict Resolution: Build Your Conflict Competency 4 hour class Audience: All Employees Description: Do you ever get stuck when facing a conflict? Would you like to build trust and respect while constructively resolving conflict? This interactive class will help you understand the dynamics of conflict, increase understanding of conflict styles, and provide strategies for positive resolutions. Registration:  Please register through the Education Center. Select “Learn,” “Classroom Training,” and search for "Conflict Competency." Click on the class name. Scroll down and double click the name again. Then scroll to the right to select "Enroll." Or you can click below next to your preferred date to be taken to the Education Center registration for that specific date and course. Ombuds Office Overview –participants will learn: What is an Ombuds How can an Ombuds help you Conflict Overview – participants will learn: The sources of conflict How emotions and conflict styles play a role in conflict Ways to uncover the real issue and develop lasting solutions Conflict and Change – participants will learn: How people react to change and why The sources of unproductive conflict during change What can be done to prevent both personal and systemic sources of conflict Conflict in the Moment - participants will learn: How to respond in an emotional moment How to deescalate a tense confrontation How to be diplomatic yet assertive when responding to a delicate conversation Customized Conflict Resolution Session We can design a session to meet your team’s needs   There may be some budget considerations if there is a recommended to use assessment tools for the team

What an Ombuds does not do Judge guilt or innocence Participate in grievances or appeals process Participate in formal investigations Serve in any other role that would compromise neutrality Receive notice for the organization Make binding decisions or mandate policies Move forward without consent of the employee Assist when legal counsel is engaged

When Should You Contact Us? Contact us when you have any workplace concern or question, no matter how big or small. You can meet with us as a proactive first step, last resort, or anywhere along the way. Are unsure which policies, procedures or regulations apply to your situation Want to discuss a sensitive issue confidentially Have tried other avenues and there seem to be no good answers Desire “coaching” in effective communication or problem solving techniques Want to seek guidance on your options Might benefit from a mediated or facilitated discussion.

Frequent Issues Perceptions of unfairness Issues related to respect and treatment Conflicts with advisors, managers or colleagues Communication difficulties Stressful work environments, team dynamics Authorship issues Department climate Issues related to equity Schedules, assignments Pay, benefits Career progression Compliance issues, discrimination Change management Management and leadership style, capacity Inappropriate behavior

Meet the Team Geoff Bartholomeusz, Ph.D. Ombudsperson Diana Anderson, MM, ACC, CO-OP® Director and Ombudsperson Scott Cantor, Ph.D. Ombudsperson Carrie Anderson, MBA, MS Program Coordinator Patty Guajardo Administrative Manager

Contact Information By Phone: 713-792-4896 or 866-610-7841 E-mail: ombuds@mdanderson.org Stop by the office Cancer Prevention Building (CPB4.3404) 1155 Pressler Houston, TX 77030 Visit our website http://www.mdanderson.org/about-us/for-employees/employee-resources/ombuds-office/index.html

Please make sure you grab your gifts on the way out! Questions? Please make sure you grab your gifts on the way out! Thank you!