OMBUDSMAN OFFICE The Function and Principles KHAIRUL ANUAR CHE AZMI Ombudsman Universiti Sains Malaysia

FROM CANVAS TO TRANSFORMATION 1.Talent management 2.Resources 3.Bureaucracy in governance 4.Autonomy and accountability 5.Quality of services 6.Global agenda and future relevance 7.Sustainability agenda 8.People led solution agenda 9.+ Ombudsman

What is Ombudsman? First University? 1 st November 2011

Governance & Autonomy

THE OFFICE OF THE OMBUDSMAN The office of the Ombudsman is an alternative channel for communication of concerns that is independent, impartial, confidential and informal. The Office is available as an information and conflict management resource to USM’s community.

Closest is Biro Pengaduan Awam

Changing the way we think about conflict and conflict resolution –Helps manage and resolve conflict through individual, group and organizational participation –Allows an organization to get an objective perspective, learn from conflict and apply lessons

The establishment of Ombudsman Office is always synonym with “menginsankan” University. The existence of an Ombudsman Office signals that the University cares about its people and recognizes the value of providing informal dispute resolution for members of the campus community. Because Ombudsman Office have no authority to sanction individuals or make official decisions or pronouncements of “right or wrong” for the University, disputants who use an Ombudsman Office are empowered to decide for themselves how their concerns will be addressed.

THE VALUE OF AN OMBUDSMAN OFFICE TO UNIVERSITI SAINS MALAYSIA Conflict is inevitable and can be expensive. The normal alternatives for dealing with conflicts are administrative hearings, formal and informal grievances, “tak apalah” attitude, “nantilah..satu hari aku…(dendam)” or lawsuits. USM established the Ombudsman Office with the hope that the Ombudsman Office will resolve at least some of these issues faster, cheaper, and more equitably than either grievance procedures or litigation.

In simple terms, when the intervention of an Ombudsman results in student or employee retention, it is usually a “win-win” outcome for the University and the individuals involved. When the intervention of an Ombudsman result in the avoidance of litigation, financial savings can be considerable and negative publicity for the University is avoided.

Providing advice, persuasion, mediation, follow up actions with CIII

How you view this?

Learning from Conflict and Applying Lessons --View of the big picture

The Key Characteristics of the Ombudsman Function 1)Independence 2)Confidentiality 3)Impartiality 4)Informality

Independence

Independent : Ombudsman report to the highest possible level of organisation only and in our case – the Vice-Chancellor. Note: The Ombudsman reporting relationship to other departments, such as Jabatan Bendahari, is for administrative and budgetary purposes only.

Neutrality/Impartiality

Neutral or Impartial : Ombudsman have no personal interest or stake in and incur no personal gain or loss from the outcome of any disputes. Ombudsman avoid situations that may cause or result in conflict of interest. Ombudsman attempt to promote fair processes but do not advocate for individuals. So no “kawan-kawan” thingy in Ombudsman

Confidentiality

Our Commitment  We are committed to work with integrity, consistently with IOA standards.  Ombudsman will not disclose or discuss any confidential information without the contact’s knowledge or permission.  The exception is the imminent risk of serious harm. This includes not revealing : the identity of complainant; specific details around matters handled; any materials relating to specific cases.

Informality

Informal : Warga Universiti have a right to consult voluntarily with the Ombudsman Office. The office has no authority to make decisions on behalf of University’s and maintain no official records.

Goal

The Ombudsman Office is authorized by the University’s Constitution to confidentially receive complaints, concerns, or inquiries about alleged acts, omissions, improprieties, and/or broader systematic problems within the Ombudsman’s jurisdiction and to listen, offer options, facilitate resolutions, informally investigate or otherwise examine these issues independently and impartially.

INDEPENDENT The Ombudsman Office and the Ombudsman him/herself are independent from other department/unit/PTJ within the University entity. NEUTRAL AND IMPARTIAL The Ombudsman is neutral, impartial, and unaligned. CONFIDENTIAL The Ombudsman holds all communications with those seeking assistance in strict confidence and takes all reasonable steps to safeguard confidentiality. INFORMAL The Ombudsman function on an informal basis.

Ombudsman is not just mere postman but conflict mediator

What should contain in your complaint to Ombudsman Office?

Case scenario

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What’s in a Name : Ombudsperson, Ombudsman, and Ombuds? The name “ombudsman” (om budz man) comes from swedish and literally means “representative.” At the most fundamental level, an ombudsman is one who assists individuals and groups in the resolution of conflicts or concerns. There are a number of a different titles or names for this position: “ombudsman,” “ombudsperson” or “ombuds” among others. (For the purpose of this document, the term “ombudsman” will be used.)

What an Ombudsman does not do. Because of the informal, neutral, confidential and independent positioning of an ombudsman in an organization, they typically do not undertake the following roles or activities: Participate in formal investigations or play any role in a formal issue resolution process. Serve in any other organisational role that would compromise the neutrality of the ombudsman role. Receive notice for the organisation Make binding decisions or mandate policies Create or maintain records or reports for the organisation

Scenario You are an Ombudsman at ABC University in Canada. You practice under the core principles of independence, confidentiality, impartiality and informality under the IOA Standards. You have a visitor (“X”) in your office who is a female graduate student in her late 20’s from Egypt who emphasizes the need for confidentiality – she needs strict anonymity and does not want anyone to know about the problem she is having or that she works in a lab and her male supervisor, a tenured faculty member, has been making inappropriate sexual comments about her body. She then tells you that the last she met with him, his advances had gotten more explicit and she does not know what to do. If she challenges him, she feels that he would dismiss her, jeopardize her Ph.D. studies and ruin her reputation because he is very and has hinted as such. In addition, she cannot engage in any formal complaints because she does not want to go into this process and face any humiliation. She also worries about her conservative family finding out any hint of problems either with her studies or the nature of the problem. You realize that 6 months earlier, you had seen another visitor (“Y”) with similar complaints about the same faculty member, and provided her with options such as going to the sexual harassment office. You had offered to communicate with the faculty member or the Head of the department issue, but she did not feel comfortable and thought faculty member would retaliate. She also did not believe that the formal complaint process would work as the faculty member had tenure. Y since graduated and left the University.

INTRODUCTION The Office of the Ombudsman at the University of California, Riverside ("UCR") was first established on November 12, 1968 to provide independent conflict resolution assistance to the University community while protecting the principles of fairness, equity and respect for all. In the spirit of this important function, this Charter Agreement defines the privileges and responsibilities of the University Ombudsman and the Office of the Ombudsman. II.PURPOSE AND SCOPE OF SERVICES The Ombudsman will provide informal dispute resolution services to UCR faculty, staff and students. The Office of the Ombudsman will be a place where members of the University community can seek guidance regarding disputes or concerns at no cost and at any stage in the resolution process. The Ombudsman will confidentially receive complaints, concerns or questions about alleged acts, omissions, improprieties, and/or broader systemic problems. The response of the Ombudsman is tailored to the dynamics of the situation and the visitor's concerns. The Ombudsman will listen, make informal inquiries or otherwise review matters received, offer resolution options, make referrals, and mediate disputes independently and impartially. Services of the Ombudsman supplement, but do not replace, other more formal processes available to the University community. In addition, the Ombudsman will serve as an information and communication resource, consultant, mediator, dispute resolution expert and source of recommendations for institutional change for the University. The Ombudsman also will provide feedback to the University when trends, patterns, policies or procedures of the University generate concerns or conflicts.

III. STANDARDS OF PRACTICE AND CODE OF ETHICS The Ombudsman will practice under the International Ombudsman Association ("lOA") Standards of Practice and Code of Ethics, and this Charter adopts and incorporates by reference the lOA Standards of Practice, lOA Code of Ethics and lOA Best Practices. The Ombudsman will function independently of their organization, be confidential and impartial, and limit the scope of their services to informal means of dispute resolution. The Ombudsman will be a member of lOA, and will attend regular trainings and the annual lOA conferences. The lOA Standards, Code, and Best Practices are minimum standards, and the UCR Ombudsman will also strive to operate to best practices in a way that serves the interests of the University community, including adhering to the "Declaration of Best Practices for University of California Ombuds Offices". The Ombudsman will establish consistent policies and practices for the Ombudsman which will be made available upon request. The Ombudsman will also publicize the confidential, independent, neutral and informal nature ofhi s lhe r services, and explain these ethical standards to each visitor.

A. Independence The Ombudsman will be, and appear to be, free from interference in the performance of his/her duties. This independence is effected primarily through organizational recognition, reporting structure, and neutrality. The Ombudsman will operate independent of ordinary line and staff structures. The Ombudsman will exercise sole discretion over whether and how to act regarding individual matters or systemic concerns. To fulfill his/her functions, the Ombudsman will have a specific allocated budget, adequate space, and sufficient resources to meet operating needs and pursue continuing professional development. The Ombudsman will have the authority to manage the budget and operations of the Office of the Ombudsman. The Ombudsman will report to the Office of the University Chancellor and Executive Vice Chancellor for administrative and budgetary matters only. B. Confidentiality The Ombudsman will not confirm communicating with any party or disclose any confidential information without the party' s express permission and at the discretion of the Ombudsman. Confidentiality will be respected even i f disclosure may prevent resolution of a problem. The Ombudsman may, however, disclose confidential information if and when there is an imminent risk of physical harm and no other mechanism for reporting. The Ombudsman will assert that he/she holds a privilege with respect to the identity of visitors and their issues. Therefore, the Ombudsman will not participate in any formal process inside or outside the University, even i f given permission by the visitor after initiating formal processes.

C. Neutrality The Ombudsman will be neutral in his/her activities, and will not take sides in any conflict, dispute or issue. The Ombudsman will impartially consider the interests and concerns of all parties Involved in a situation with the aim of facilitating communication and assisting the parties in reaching mutually acceptable agreements that are fair and equitable, and consistent with the mission and policies of the University. The Ombudsman will avoid involvement in matters where there may be a conflict of interest. (A conflict of interest occurs when the Ombudsman’s private interests, real or perceived, supersede or compete with his/her dedication to the neutral and independent role of the Ombudsman.) When a conflict of interest exists, the Ombudsman will take all steps necessary to disclose and/or avoid the conflict. D. Informality The Ombudsman will be a resource for informal dispute resolution only. The Ombudsman will not formally investigate, arbitrate, adjudicate or in any other way participate in any internal or external formal process or action. Use of the Ombudsman will be voluntary and not a required step in any grievance process or University policy.