IOA Best Practices
A Supplement to IOA’s Standards of Practice1
Version 3, October 13, 2009
The Best Practices guide is intended to provide guidance to Organizational Ombudsmen 2 inpracticing according to IOA Standards of Practice to the highest level of professionalism
possible. Any questions or suggested revisions are welcome and should be sent to the Chair of
the Professional Ethics, Standards, and Best Practices Committee.
PREAMBLE
The IOA Standards of Practice are based upon and derived from the ethical principles stated in
the IOA Code of Ethics.
Each Ombudsman Office should have an organizational Charter or Terms of Reference,
approved by senior management, articulating the principles of the Ombudsman function in thatorganization and their consistency with the IOA Standards of Practice.
Before implementing an Ombudsman program, an organization should educate all affected
constituencies about the nature and scope of the program, including the role of the Ombudsman
within the organization and the Standards of Practice that will govern the activities of the office.
Each entity that establishes an organizational Ombudsman Office should make certain that theoffice has a Charter that ensures that the Ombudsman will function according to the Standards ofPractices and the core values of independence, impartiality/neutrality, confidentiality, andinformality. These Standards of Practice will govern the way in which the Ombudsman receives
complaints, works to resolve issues, and makes recommendations for the general improvement of
the organization. The Charter should also specify the Ombudsman’s scope of practice,limitations on Ombudsman authority, and qualifications to be an Ombudsman.
IOA asserts that communications with an ombudsman are confidential and strives to protect
confidentiality for all protected communications.
One basis for protecting confidentiality is a claim of privilege. The law on this issue is still
evolving and the determination of whether such a privilege is applicable is made by courts on acase-by-case basis since there is no statute creating such a privilege. In addition, ombudsman
offices have been able to protect the confidentiality of communications where program materials
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IOA Standards of Practice are indicated by text boxes; recommended Best Practices follow each text box.
IOA Code of Ethics, Standards of Practice, and Best Practices are designed to guide “Organizational Ombudsmen” asdistinguished from “Classical”, “Advocate”, “Executive” or other types of Ombudsmen.

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The term Ombudsman is used to communicate to the widest possible community and is not intended to discourage others fromusing alternatives. IOA respectfully acknowledges that many practitioners use alternative forms of this word.

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adequately state that people who use the office agree to abide by expressed confidentiality
principles or where statutes dealing with alternative dispute resolution or mediation are
applicable to ombudsman communications.
STANDARDS OF PRACTICE
INDEPENDENCE
1.1 The Ombudsman Office and the Ombudsman are independent from other organizational
entities.
The director of the Ombudsman Office should report directly to the highest level of theorganization (such as board of directors, CEO, agency head, etc.) in a manner independent ofordinary line and staff functions.
The director of the Ombudsman Office should have terms of employment that indicate that his or
her stature in the organization is not subordinate to senior officials.
The Ombudsman should be able to function independently from control, limitation, orinterference imposed by any official in the entity.
The Ombudsman should be protected from retaliation (such as of elimination of the office or the
Ombudsman, or reduction of the Ombudsman budget or other resources) by any person who may
be the subject of a complaint or inquiry.
The Ombudsman should have a set and renewable term, or should be removable only for neglectof duty, misconduct, or medical incapacity, and only by means of a fair process and procedure.
The Ombudsman should obtain assurance from the organization at the outset, and apart from any
particular dispute, of access to outside legal counsel at his or her own discretion.
The expense of outside counsel should be covered by the organization and included in the overallbudget for the Ombudsman Office. The Ombudsman should have an understanding with theorganization that the Ombudsman is not required to inform the organization when it
communicates with or accesses outside counsel.
The purpose of outside legal counsel should be to enhance the Ombudsman’s ability to practiceaccording to the Standards of Practice. The Ombudsman should consider how outside counsel
may assist in a variety of situations, including when the entity and the Ombudsman need to
strategize how best to handle a discovery request made of the Ombudsman, or when the
Ombudsman and the entity could benefit from consultation with outside counsel regarding how
best to establish and operate the office so as to ensure the integrity of function, and to protect the
Ombudsman.
1.2 The Ombudsman holds no other position within the organization which might compromise
independence.

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See Sections 2.3 and 2.4.
1.3 The Ombudsman exercises sole discretion over whether or how to act regarding an
individual’s concern, a trend or concerns of multiple individuals over time. The Ombudsman
may also initiate action on a concern identified through the Ombudsman’s direct observation.
The Ombudsman should bring to the attention of the appropriate office those policies, programs,
procedures or practices which may be problematic for the organization or which negatively
affect people’s health, safety or rights.
The Ombudsman should issue periodic reports summarizing activities, problem areas identified,and recommendations for systemic change. Ombudsman Office materials (websites, brochures,etc.) should state that all such reporting is conducted in a manner that protects the identity of
individuals and does not place the organization on notice.
1.4 The Ombudsman has access to all information and all individuals in the organization, as
permitted by law.
1.5 The Ombudsman has authority to select Ombudsman Office staff and manage Ombudsman
Office budget and operations.
The Ombudsman Office must be provided with sufficient resources to operate an independentand effective program. These resources include adequate space, equipment, staffing, staff
development, and the production and distribution of informational materials.
The independence of the Ombudsman Office may be supported by having the selection andevaluation of the Ombudsman, as well as the establishment of an appropriate level of funding, bedetermined by or in consultation with committees representative of various institutional
constituencies.
NEUTRALITY AND IMPARTIALITY
2.1 The Ombudsman is neutral, impartial, and unaligned.
See Section 1.2.
2.2 The Ombudsman strives for impartiality, fairness and objectivity in the treatment of people
and the consideration of issues. The Ombudsman advocates for fair and equitably administeredprocesses and does not advocate on behalf of any individual within the organization.
All members of the specified community served by the Ombudsman may voluntarily seek
services from the Ombudsman Office and will be treated with respect and dignity. The
Ombudsman should assure access impartially, including to people with disabilities, people who

3need language interpreters, or people whose work hours require flexibility in schedulingappointment times.
The organization should assure that all specified members of the organization have the right toconsult with the Ombudsman, and retaliation for exercising that right will not be tolerated.
2.3 The Ombudsman is a designated neutral reporting to the highest possible level of theorganization and operating independently of ordinary line and staff structures. The Ombudsman
should not report to nor be structurally affiliated with any compliance function of theorganization.
The Ombudsman should have direct access to the board of directors (or other oversight body as
appropriate). See Sections 1.1 and 1.2.
While the Ombudsman should be an internal position, it should not report to, nor have theappearance of reporting to, any compliance office or function or the organization.
The Charter or Terms of Reference for the Ombudsman Office should state specifically that the
Ombudsman does not serve as an agent of notice for the organization.
2.4 The Ombudsman serves in no additional role within the organization which would
compromise the Ombudsman’s neutrality. The Ombudsman should not be aligned with any
formal or informal associations within the organization in a way that might create actual or
perceived conflicts of interest for the Ombudsman. The Ombudsman should have no personal
interest or stake in, and incur no gain or loss from, the outcome of an issue.
See Sections 1.2, 4.4, and 4.5.
Except in the administrative capacity as manager of the Ombudsman Office, the Ombudsman
should not participate in formal management functions or serve in any other role that poses anactual conflict of interest or creates the perception of one. For example, an Ombudsman ought
not conduct formal investigations; serve in a position or role that is designated by theorganization as a place to receive notice on behalf of the organization; serve as a voting member
on a search committee (other than for Ombudsman staff); handle formal appeals of management
actions; keep case records on behalf of the organization; or be charged in any way to make,change, enforce or set aside a law, rule or management decision.
If possible, the Ombudsman should hold only one position in the organization.
If the Ombudsman does hold another role within the organization, the different roles should be
structured so that they are as separate and distinct as possible. The Ombudsman should notprovide Ombudsman services to people whom the Ombudsman -- in the other role -- serves,manages, reports to, teaches, advises, or evaluates, in order to avoid partiality or perceptions ofconflict of interest. The Ombudsman should provide Ombudsman services in a location that isdifferent from the location in which the Ombudsman, in the other role, works, teaches, counsels,etc., to clarify the distinctions between roles, and to assure confidentiality and off-the-record
4informality of the Ombudsman communications. The Ombudsman’s support staff (people whotake messages or receive visitors, for example) for the Ombudsman role should be separate anddistinct from the support staff in any other role. The Ombudsman should continually callattention to the role in which he or she is acting at any given time, and repeatedly educate
members of the organization about the principles in the Ombudsman Office’s Charter. The
Ombudsman should attempt to provide alternatives for people and situations in which the
Ombudsman cannot serve as Ombudsman due to actual or perceived conflicts of interest.
2.5 The Ombudsman has a responsibility to consider the legitimate concerns and interests of all
individuals affected by the matter under consideration.

2.6 The Ombudsman helps develop a range of responsible options to resolve problems andfacilitate discussion to identify the best options.
An Ombudsman should help the visitor explore and assess an appropriate range of options, fromthe very informal to the most formal. Formal options may include ways to put management on
notice of an issue, referrals to rights-based elements of the organization’s conflict resolution
system, or the provision of information about the possibility of seeking external resources orassistance. The Ombudsman should never provide legal advice.
When the Ombudsman works with the visitor to address issues that may involve formal
alternatives (under laws, policies, rules, or regulations), the Ombudsman should make clear tothe visitor that an informal approach does not automatically exclude the visitor’s laterparticipation in more formal options, but that the visitor should keep in mind possible time limits
and their potential impact on the visitor’s formal options. See Section 4.4.
The impartiality of the Ombudsman Office may be supported by consultation with variousorganizational constituencies regarding the Ombudsman Office’s effectiveness.
CONFIDENTIALITY
3.1 The Ombudsman holds all communications with those seeking assistance in strict confidence
and takes all reasonable steps to safeguard confidentiality, including the following:
The Ombudsman does not reveal, and must not be required to reveal, the identity of any
individual contacting the Ombudsman Office, nor does the Ombudsman reveal information
provided in confidence that could lead to the identification of any individual contacting the
Ombudsman Office, without that individual’s express permission, given in the course of informal
discussions with the Ombudsman; the Ombudsman takes specific action related to anindividual’s issue only with the individual’s express permission and only to the extent permitted,
and even then at the sole discretion of the Ombudsman, unless such action can be taken in a waythat safeguards the identity of the individual contacting the Ombudsman Office. The only
exception to this privilege of confidentiality is where there appears to be imminent risk of serious
harm, and where there is no other reasonable option. Whether this risk exists is a determination
to be made by the Ombudsman.

5The Ombudsman publicizes the confidential nature of Ombudsman work.
The Ombudsman Office should be situated in an appropriate location to protect the privacyof visitors to the office.
When an individual gives the Ombudsman permission to reveal his or her identity, disclose
information, or act on his or her concerns, such permission must be given at the time that the
Ombudsman is engaged in the informal conflict resolution process, not as part of a formal
process.
The Ombudsman Office Charter for each organization should specify what types of events rise to
the level of “imminent risk of serious harm.” The Ombudsman may negotiate with theorganization to be exempt, based on Ombudsman confidentiality, from some mandates that
require reporting by other employees. Best practice is to interpret “imminent risk of seriousharm” as narrowly as possible – for example, imminent risk to human life.
3.2 Communications between the Ombudsman and others (made while the Ombudsman isserving in that capacity) are considered privileged. The privilege belongs to the Ombudsman andthe Ombudsman Office, rather than to any party to an issue. Others cannot waive this privilege.
The confidentiality privilege is critical to making the Ombudsman Office a place where people
can raise any issue, including an alleged violation of statute, regulation, rule, policy, or ethicalstandard.
IOA asserts that communications made to the Ombudsman do not constitute “notice” to theorganization. No one, including the employing entity, should consider the Ombudsman Office tobe agent of notice (that is, an office that receives formal notice on behalf of the organization) andno one, including the entity, should seek information about communications to the Ombudsman
Office.
The nature and role of confidentiality should be explained to the visitor, who should understandthat the Ombudsman claims the privilege for the office and that it is not the visitor’s privilege towaive. Whenever possible, this information should be communicated prior to discussing theconcerns brought by the visitor.
Visitors should understand that as a condition for accepting and benefiting from the Ombudsman
Office services, they have the obligation to support the Ombudsman claim of privilege and not toattempt to breach this claim.
The Ombudsman should emphasize in office materials and with the management of theorganization:that the ability to have confidential communications that do not constitute “notice” to theorganization is essential to the effective functioning of an Ombudsman Office anddistinguishes the Ombudsman from formal reporting channels;

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that it is the “off-the-record” aspects of the office that lead people who use theOmbudsman to do so before taking any official or formal action;that the Ombudsman Office enables people to come forward with an issue when theymight otherwise be afraid to do so or when they fear retaliation from managers or peers;that only by offering the security of confidentiality can the Ombudsman facilitateorganizational responsibility and accountability, which are at the heart of provisions
contained in the U.S. Sentencing Guidelines and the Sarbanes-Oxley Act that call formechanisms of confidential reporting and/or guidance;that where issues cannot be confidentially raised, they may not be raised at all, thereby
depriving the organization of an opportunity to address issues and rectify misconduct thathas not yet surfaced through other channels.

3.3 The Ombudsman does not testify in any formal process inside the organization and resists
testifying in any formal process outside of the organization regarding a visitor’s contact with orconfidential information communicated to the Ombudsman, even if given permission orrequested to do so. The Ombudsman may, however, provide general, non-confidential
information about the Ombudsman Office or the Ombudsman profession.
The IOA Board has asked the IOA Standing Committee on Professional Ethics, Standards, andBest Practices to review the language and interpretation of 3.3. Please look for updates in thenear future.
See Section 4 on informality.
3.4 If the Ombudsman pursues an issue systemically (e.g., provides feedback on trends, issues,policies and practices) the Ombudsman does so in a way that safeguards the identity of
individuals.
Ombudsman materials should state that any Ombudsman reporting of trends, or communicationof recommendations for systemic change, is done in a manner that protects the identity of
individuals.
3.5 The Ombudsman keeps no records containing identifying information on behalf of theorganization.
3.6 The Ombudsman maintains information (e.g., notes, phone messages, appointment calendars)
in a secure location and manner, protected from inspection by others (including management),and has a consistent and standard practice for the destruction of such information.
The Ombudsman record-keeping systems and/or database should be independent of theorganization’s technology system, with access allowed only to Ombudsman Office personnel.
The Ombudsman Office should also be secure to protect private information and records. The
office should develop and implement processes and procedures to regularly purge informationthat could identify individual visitors to the office. Records such as phone bills, which may
indicate with whom the office has communicated, should be made available only to the7Ombudsman Office staff. The Ombudsman should take all reasonable steps to protect theconfidentiality of any temporary notes or documents, such as locking file drawers and offices,and exercising extreme vigilance if any notes are carried from one place to another.
3.7 The Ombudsman prepares any data and/or reports in a manner that protects confidentiality.
3.8 Communications made to the Ombudsman are not notice to the organization. The
Ombudsman neither acts as agent for, nor accepts notice on behalf of, the organization and shallnot serve in a position or role that is designated by the organization as a place to receive noticeon behalf of the organization. However, the Ombudsman may refer individuals to the appropriate
place where formal notice can be made.
Except in the administrative capacity as manager of the Ombudsman Office, the Ombudsman isnever an agent of notice (that is, an officer who receives notice for the organization), andcommunications to the Ombudsman Office never constitute notice to the organization.
If a visitor wishes to make a record, or put the organization “on notice,” the Ombudsman can
provide information about how to do so.
Best practice is for the organization to receive allegations of wrongdoing directly from acomplainant or witness, and not indirectly through the Ombudsman.
If the visitor is reluctant to make a formal report to the organization, the Ombudsman can workwith the visitor to address the reasons the visitor resists reporting, or to work with theorganization to make formal reporting channels more accessible.
If the visitor gives the Ombudsman permission to discuss a concern with a manager, and if theconcern may involve some allegation of wrongdoing, the Ombudsman should pass on
information only in general terms (without specifying names, dates, or events). If the
Ombudsman does pass on allegations of wrongdoing, the Ombudsman should emphasize the heor she has not confirmed the accuracy of the allegations. It is not appropriate for theorganization to take any adverse action on the basis of information reported informally throughthe Ombudsman. The Ombudsman may coach the manager on how to make reporting channels
more accessible or how to gather information himself or herself.
An ombudsman may place the organization on “notice” when the ombudsman evaluates thecircumstances and specifically elects to place the organization on notice by identifying anappropriate point of contact within the organization and communicating to that point of contact
specific information which the ombudsman expressly intends to share for the purpose of placing
the organization on notice of a specific concern or specific situation. If an ombudsman makes
such an intentional notice communication, confidentiality is waived only with regard to thespecific communication made with the point of contact for purposes of the noticecommunication. It is the conversation between the ombudsman and the appropriate point ofcontact within the organization that constitutes notice and not the conversation between theombudsman and the visitor. Thus, under no circumstances, is the original communication to theombudsman part of the notice communication.
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All ombudsman offices should have a well-defined and generally available procedure detailingthe limited circumstances and the processes under which the ombudsman may provide notice.
If the ombudsman elects to place the organization on notice under the conditions above, theombudsman should follow the protocol of the particular ombudsman office regarding thisunusual action. The protocols should include specific steps so that is clear that the ombudsman
made an intentional decision to make a notice disclosure.
INFORMALITY AND OTHER STANDARDS
4.1 The Ombudsman functions on an informal basis by such means as: listening, providing andreceiving information, identifying and reframing issues, developing a range of responsible
options, and – with permission and at Ombudsman discretion – engaging in informal third-party
intervention. When possible, the Ombudsman helps people develop new ways to solve problems
themselves.
The Ombudsman should work with the organization to encourage it to provide its constituentswith a variety of effective formal (rights-based) and informal (confidential and interest-based)
options for surfacing and resolving concerns. All options should be well established and clearly
and regularly communicated to the entire organization.
As the visitor may wish to consult with additional resources and services, such as the employee
assistance program, human resources, or the benefits office, the Ombudsman should describe
resources that might be appropriate to the visitor’s presenting circumstances. See Section 2.6
The Ombudsman may consider issues, perceptions, interpretations, information, and concerns
about inappropriate acts, omissions, or improprieties presented by individuals or groups.
Ombudsman functions include informal third-party intervention, such as shuttle diplomacy,
facilitating communication, and informal mediation, which is voluntary and may or may not
produce a written agreement.
Any documents or written agreements resulting from informal processes should not be
maintained by or within the Ombudsman Office.
The Ombudsman uses a flexible approach with regard to concerns brought to the Ombudsman
Office; options are tailored to individual circumstances.
4.2 The Ombudsman as an informal and off-the-record resource pursues resolution of concerns
and looks into procedural irregularities and/or broader systemic problems when appropriate.
4.3 The Ombudsman does not make binding decisions, mandate policies, or formally adjudicate
issues for the organization.
The Ombudsman should not participate in formal management functions. See Section 2.4.

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4.4 The Ombudsman supplements, but does not replace, any formal channels. Use of the
Ombudsman Office is voluntary, and is not a required step in any grievance process ororganizational policy.
For most entities, it is the combination of informal services and formal grievance procedures,
embodied in a conflict management system, that provides the appropriate range of options toallow for early identification and resolution of potential legal issues or concerns. The
Ombudsman should give visitors information about the entity’s formal procedures and remedies
whenever appropriate. While a visitor may choose to explore informal options for a wide varietyof reasons, the Ombudsman should remind the visitor to keep in mind possible time limits andtheir potential impact on the visitor’s formal options. See Section 2.6.
The Ombudsman Charter or Terms of Reference should define the role, if any, of the
Ombudsman in relation to employees and issues covered by collective bargaining agreements(CBAs). This role definition should also, where possible, be incorporated in CBAs, and should
include a statement that although the CBA permits the Ombudsman to function in these definedways, the Ombudsman nevertheless retains the authority to decline to be involved. (See Section
1.3.) The union and management may also enter into an ad hoc agreement permitting an
Ombudsman to handle an issue.
4.5 The Ombudsman does not participate in any formal investigative or adjudicative procedures.
Formal investigations should be conducted by others. When a formal investigation is requested,
the Ombudsman refers individuals to the appropriate offices or individual
The Ombudsman may be requested or required to speak with public officials, in a private or
public setting, about the functions of the Ombudsman Office, or about trends published in a
written report. If so, the Ombudsman should still observe the confidentiality standards as statedin 3.1 and 3.3.
4.6 The Ombudsman identifies trends, issues and concerns about policies and procedures,
including potential future issues and concerns, without breaching confidentiality or anonymity,
and provides recommendations for responsibly addressing them.
The Ombudsman should be particularly careful to maintain neutrality when making
recommendations for system change.
4.7 The Ombudsman acts in accordance with the IOA Code of Ethics and Standards of Practice,keeps professionally current by pursuing continuing education, and provides opportunities forstaff to pursue professional training.
4.8 The Ombudsman endeavors to be worthy of the trust placed in the Ombudsman Office.
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See www.ombudsassociation.org/standards-of-practice-code-of-ethics
October 13, 200910