Frequently Asked Questions (FAQs)
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What is an Ombudsman?
The word "Ombudsman" can be found in Old Swedish as the word umbudsmann
(accusative)
and as umbuds man, meaning "representative". The
modern meaning of the
term emerged
when the Swedish Parliament appointed an Ombudsman in 1809 to safeguard
the rights of
citizens through establishment of a supervisory agency independent of
the executive branch.
The title "Ombuds" is often used as a gender-neutral substitute for
"Ombudsman".
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When did the federal government start using
Ombudsmen?
Federal agency Ombudsman offices were first created in the early 1970s
resulting from
concerns by congress, the federal agencies, and the public regarding
bureaucratic bottlenecks,
burdensome regulations, and the size of the government. As federal
ombudsman offices
increased in number, a platform for idea exchange, program development,
and establishment of best
practices emerged. In response, the Coalition of Federal Ombudsmen
(CFO) was formed and convened
their first meetings in the early 1990s.
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What are the different types of Ombudsmen?
- Executive Ombudsmen
– receive complaints
concerning actions and omissions of the agency, its officials,
employees, and contractors working to hold the entity or its programs
accountable at work or work to improve performance.
- Classical Ombudsmen
– are established by statute,
acts of Parliament, etc. to resolve problems through formal
investigations (usually in addition to informal reviews) and issue
formal reports; some classical ombudsmen have decision-making authority.
- Organizational Ombudsmen
– are established by
statute or management decision, perform neutral fact-finding and
informally address problems concerning the organization’s
actions, policies or regulations (governmental).
- Advocate Ombudsmen –
evaluate complaints,
problems and issues objectively, but advocate for fair process on
behalf specific individuals or groups (e.g. long-term care Ombuds).
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What establishes having a federal Ombudsman?
Federal Ombudsmen are often established pursuant to legislative
action/statute or written
agency policy that sets forth the structure, role and jurisdiction of
the Ombudsman.
Federal Ombudsmen can be either classical or organizational.
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What are the characteristics of a federal
Ombudsman?
- Independent;
- Impartial; when conducting
inquiries and reviews;
and
- Confidential;
- Neutral; the Ombudsman does not represent
individuals or groups and does not take sides.
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What is an Ombudsman authorized to do?
- Receive complaints and questions.
- Exercise discretion to accept or decline to act on a
complaint or question (e.g. union grievances, EEO complaints ect.).
- Act on personal initiative to prevent
problems, if possible, and address issues systematically within the
Ombudsman’s jurisdiction.
- Aid in the just resolution of a complaint or problem.
- Gather information and enlist full
cooperation of programs within jurisdiction.
- Resolve issues at the most appropriate, or lowest, level of
the agency.
- Initiate litigation to enforce or protect the authority of
the office
as defined in the Ombudsman policy, the Standards for the
Establishment and Operation of Ombuds Offices, or as required
by law.
- Function by means such as:
- Conduct an inquiry;
- Review issues and report findings;
- Develop, evaluate, and discuss options;
- Facilitate, mediate and provide conciliation services;
- Make recommendations;
- Identify patterns and trends and potential systemic
issues;
- Educate; and
- Issue reports (e.g. quarterly, annual, etc.).
- Participate in litigation to enforce or protect the
authority of the office as defined in the Ombudsman policy, the
standards for the Establishment and Operation of Ombuds Offices, or
required by law.
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For employment concerns, how are Ombudsman
functions impacted with bargaining-unit employees?
If consistent with collective bargaining obligations and agreements,
Ombudsmen may provide options to resolve disputes covered by negotiated
agreements. Ombudsmen may address issues under a collective bargaining
agreement if authorized by language in the agreement or with memoranda
of agreement between labor unions and the agency, partnership
agreements or other authorizing document.
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What qualifications are needed to be an
Ombudsman?
An Ombudsman should be a person of recognized knowledge, judgment,
objectivity, and integrity.
The establishing agency should select an Ombudsman with relevant
education
(e.g. law, sociology, psychology, etc.) and the periodic updating of
knowledges, skills
and abilities (e.g. IOA USOA, mediation training, etc.).
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What safeguards assure the effective operation
of an Ombudsman’s office?
- The Ombudsman is and appears to be free from interference
in the legitimate performance of duties and independent from control,
limitation, or penalty imposed for retaliatory purposes by an official
of the appointing agency or by a person who may be the subject of a
complaint or inquiry.
- The Ombudsman conducts inquiries, or reviews in an
impartial manner, free from bias and conflicts of interest.
- The Ombudsman does not disclose and is not required to
disclose any information provided in confidence, except to address an
imminent risk of serious harm.
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To whom does the Ombudsman report?
- To ensure independence, the federal Ombudsman should report
and have direct access to the highest agency official, whenever
possible.
- If the Ombudsman reports to a designee, it is critical that
the reporting relationship not present a conflict that would adversely
impact Ombudsman functions.
- It would not be appropriate for an Ombudsman who resolves
employment related issues to report to the agency’s Director
of Human Resources, even as the designee of an agency.
- All federal employees, including federal Ombudsmen, are
obligated to report federal program fraud, waste, and abuse and
cooperate with federal investigations.
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Does the Ombudsman keep everything confidential?
- All federal employees, including federal Ombudsmen, are
obligated to report federal program fraud, waste, and abuse.
- When an employee who has contacted the Ombudsman describes
waste, fraud, and abuse, but is unwilling to report it, the Ombudsman
may serve as a conduit to report the situation anonymously.
- It is essential that federal Ombudsmen have access to
independent or properly insulated legal counsel in order to obtain
competent advice regarding conflicts or impeding litigation.
- A Legislative Ombudsman is subject to applicable statute
when addressing expectation of confidentiality with an individual.
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Are there any limitations to an
Ombudsman’s authority?
- Organizational Ombuds cannot make, change, or set aside
law, policy or administrative decision.
- Make bindings decisions or determine rights.
- Directly compel an agency or any person to implement the
Ombudsman’s recommendations.
- Conduct formal investigations that substitute for
administrative or judicial proceedings.
- Accept jurisdiction over an issue that is currently pending
in a legal forum unless all parties and the presiding officer in that
action explicitly consent. However, Ombudsman policy may state that
she/he has power to conduct neutral fact-finding "without regard to the
finality of the administrative act" and continue to identify viable
problem resolution options regardless of ongoing litigation.
- Address any issue arising under a collective bargaining
agreement or under any labor or employment law, rule, or regulation,
unless the union specifically authorizes the Ombudsman to do so.
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Does speaking to the Ombudsman give notice to
the agency?
No, the Ombudsman is intended to supplement, not replace, formal
procedures that protect legal rights or address allegedly inappropriate
or wrongful behavior or conduct. The Ombudsman does not provide notice
to the agency, except generically. This must be stated in the Ombudsman
charter and other literature describing the function.
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