The UCLA Ombuds Office The UCLA Ombuds Office A Resource forA Resource for

Potential WhistleblowersPotential Whistleblowers

Ethics in Patient Oriented ResearchEthics in Patient Oriented ResearchNovember 17, 2010November 17, 2010

Tom KosakowskiTom Kosakowski

Ombudsperson for the UCLA Center for Ombudsperson for the UCLA Center for Health SciencesHealth Sciences

The Ombuds and the The Ombuds and the WhistleblowerWhistleblower

Management consultant Randall Craig says that blowing the Management consultant Randall Craig says that blowing the whistle could have serious ramifications for your own whistle could have serious ramifications for your own career, as well as those you implicate. Before doing career, as well as those you implicate. Before doing anything, he says, "make sure you've got your facts anything, he says, "make sure you've got your facts straight." Generally, there are three options available: straight." Generally, there are three options available: ignore it, confront the person, or report the behavior. If ignore it, confront the person, or report the behavior. If employees choose to become a whistle blower, Craig employees choose to become a whistle blower, Craig recommends they use confidential hotline or consult a recommends they use confidential hotline or consult a workplace ombuds. workplace ombuds. (Edmonton Journal, “Think before you blow the (Edmonton Journal, “Think before you blow the whistle,” Aug. 5, 2008) whistle,” Aug. 5, 2008)

According to the Government Accountability Project, a According to the Government Accountability Project, a whistleblower advocacy group, the Sarbanes-Oxley Act is whistleblower advocacy group, the Sarbanes-Oxley Act is failing to protecting corporate whistleblowers. According to failing to protecting corporate whistleblowers. According to data from the Department of Labor, it has ruled in favor of data from the Department of Labor, it has ruled in favor of whistleblowers in fewer than 2% of the complaints filed whistleblowers in fewer than 2% of the complaints filed since 2002. since 2002. (Joanna Chung, Financial Times of London, “US Law "Fails to (Joanna Chung, Financial Times of London, “US Law "Fails to Protect" Corporate Whistleblowers,” Sep. 9, 2008.)Protect" Corporate Whistleblowers,” Sep. 9, 2008.)

Short History of OmbudsShort History of Ombuds The first ombudsman was appointed by the The first ombudsman was appointed by the

king of Sweden in 1809 to voice citizen’s king of Sweden in 1809 to voice citizen’s concernsconcerns

The first university ombuds office was The first university ombuds office was established at Michigan State University in established at Michigan State University in 1967. UCLA was an early adopter and 1967. UCLA was an early adopter and followed in 1969.followed in 1969.

There are two primary kinds of ombuds: There are two primary kinds of ombuds: advocate (or classical) ombuds and advocate (or classical) ombuds and organizational ombuds. Universities organizational ombuds. Universities generally employ organizational variety; generally employ organizational variety; there are almost 300 at present.there are almost 300 at present.

Definition of anDefinition of anOrganizational OmbudsOrganizational Ombuds

““An organizational ombudsperson is An organizational ombudsperson is a confidential and informal a confidential and informal information resource, information resource, communications channel, complaint-communications channel, complaint-handler and dispute-resolver, and a handler and dispute-resolver, and a person who helps an organization person who helps an organization work for change.”work for change.”

Mary P. Rowe, “Options, Functions and Skills; What anMary P. Rowe, “Options, Functions and Skills; What an

organizational ombudsperson might want to know,” 1995.organizational ombudsperson might want to know,” 1995.

An Alternate DefinitionAn Alternate Definition ““This has to be one of the more ominous sounding job This has to be one of the more ominous sounding job

titles out there – possibly because it starts with the same titles out there – possibly because it starts with the same two letters as ‘ominous,’ but also because if you need an two letters as ‘ominous,’ but also because if you need an ombudsman, it probably means some dank, smelly ombudsman, it probably means some dank, smelly excrement has hit the fan. Whenever you’ve got a excrement has hit the fan. Whenever you’ve got a potentially explosive and litigious conflict between two potentially explosive and litigious conflict between two entities, these guys are called in to be the middlemen, entities, these guys are called in to be the middlemen, the mediators, and the last stop on the train to Lawsuit the mediators, and the last stop on the train to Lawsuit City. They attempt to resolve conflicts between private City. They attempt to resolve conflicts between private citizens and the government, disgruntled students and citizens and the government, disgruntled students and their university, or between an employee and his or her their university, or between an employee and his or her soul-sucking employer. Fired unfairly? Expelled without soul-sucking employer. Fired unfairly? Expelled without due process? Denied federal benefits? Tell it to the due process? Denied federal benefits? Tell it to the ombudsman. * * * We’ll put this on a list, along with ombudsman. * * * We’ll put this on a list, along with ‘airline counter employee’ and ‘DMV clerk,’ of Jobs for ‘airline counter employee’ and ‘DMV clerk,’ of Jobs for Masochists Only.”Masochists Only.”

Mental_Floss Magazine, 9/8/08Mental_Floss Magazine, 9/8/08

Mission Statement Mission Statement

The Office of Ombuds Services is a place The Office of Ombuds Services is a place where members of the UCLA community–where members of the UCLA community–students, faculty, staff and administrators–students, faculty, staff and administrators–can go for assistance in resolving conflicts, can go for assistance in resolving conflicts, disputes or complaints on an informal disputes or complaints on an informal basis. In order to afford visitors the basis. In order to afford visitors the greatest freedom in using its services, the greatest freedom in using its services, the Office is independent, neutral and Office is independent, neutral and confidential. confidential.

Conflict Resolution SpectrumConflict Resolution Spectrum

CharacteristicsCharacteristicsOmbuds Ombuds AssistanceAssistance

Facilitation/ Facilitation/ MediationMediation

Arbitration/ Arbitration/ GrievanceGrievance

LitigationLitigation

- Formality- Formality

- Focus- Focus

- Process Control- Process Control

- Outcome- Outcome

- Relationships- Relationships

- Cost/Duration- Cost/Duration

- Privacy- Privacy

Informal/Voluntary Informal/Voluntary

Identifying Options Identifying Options

VisitorVisitor

UnderstandingUnderstanding

Often preservedOften preserved

Free/QuickFree/Quick

ConfidentialConfidential

Informal/Voluntary Informal/Voluntary

Explore Interests Explore Interests

Mediator & partiesMediator & parties

Mutual agreementMutual agreement

Often preservedOften preserved

Free/QuickFree/Quick

Mostly confidentialMostly confidential

Formal/Mandatory Formal/Mandatory

Contested Issues Contested Issues

ArbitratorArbitrator

Binding decisionBinding decision

Rarely preservedRarely preserved

ModerateModerate

Limited disclosureLimited disclosure

Formal/Mandatory Formal/Mandatory

Legal Standards Legal Standards

JudgeJudge

JudgmentJudgment

Never preservedNever preserved

High/ProtractedHigh/Protracted

PublicPublic

Range of Ombuds’ ServicesRange of Ombuds’ Services

ListeningListening ClarifyingClarifying InformingInforming ReferringReferring CoachingCoaching FacilitatingFacilitating MediatingMediating

Outside the Ombuds’ ScopeOutside the Ombuds’ Scope

Receiving formal complaintsReceiving formal complaints Assigning blame or culpabilityAssigning blame or culpability Deciding outcome of disputeDeciding outcome of dispute Enforcing agreementsEnforcing agreements Providing legal or psychological Providing legal or psychological

adviceadvice

Ombuds Ethical TenetsOmbuds Ethical Tenets

International Ombudsman Association, International Ombudsman Association, Code of Ethics and Standards of PracticeCode of Ethics and Standards of Practice

Confidentiality

Neutrality Informality

Independence

ConfidentialityConfidentiality General Rule: The Ombuds Office does disclose any General Rule: The Ombuds Office does disclose any

information provided in confidence, except to address information provided in confidence, except to address an imminent risk of serious harm. an imminent risk of serious harm.

Visitor’s Consent: The Ombuds does not confirm Visitor’s Consent: The Ombuds does not confirm communicating with any party or parties, or disclose communicating with any party or parties, or disclose any confidential information without the party’s or any confidential information without the party’s or parties’ express permission provided in the course of parties’ express permission provided in the course of discussions with the Ombuds, and at the discretion of discussions with the Ombuds, and at the discretion of the Ombuds. the Ombuds.

Privilege: The Ombuds Office asserts that there is a Privilege: The Ombuds Office asserts that there is a privilege with respect to the identity of visitors and privilege with respect to the identity of visitors and their issues. The Ombuds Office will not willingly their issues. The Ombuds Office will not willingly provide testimony with respect to any confidential provide testimony with respect to any confidential communication, whether inside or outside the communication, whether inside or outside the University. University.

Notice: Communication to the Ombuds Offices shall Notice: Communication to the Ombuds Offices shall not constitute notice to the University.not constitute notice to the University.

Confidentiality & Confidentiality & Sexual HarassmentSexual Harassment

““Each location shall identify confidential resources with whom Each location shall identify confidential resources with whom members of the University community can consult for advice members of the University community can consult for advice and information regarding making a report of sexual and information regarding making a report of sexual harassment. These resources provide individuals who may be harassment. These resources provide individuals who may be interested in bringing a report of sexual harassment with a safe interested in bringing a report of sexual harassment with a safe place to discuss their concerns and learn about the procedures place to discuss their concerns and learn about the procedures and potential outcomes involved. These resources shall be and potential outcomes involved. These resources shall be posted on the location’s website and prominently displayed in posted on the location’s website and prominently displayed in common areas. Confidential resources include common areas. Confidential resources include campus campus ombudspersonsombudspersons and/or licensed counselors in employee and/or licensed counselors in employee assistance programs or student health services. Individuals assistance programs or student health services. Individuals who consult with confidential resources shall be advised that who consult with confidential resources shall be advised that their discussions in these settings are not considered reports of their discussions in these settings are not considered reports of sexual harassment and that without additional action by the sexual harassment and that without additional action by the individual, the discussions will not result in any action by the individual, the discussions will not result in any action by the University to resolve their concerns.”University to resolve their concerns.”

University of California Procedures for Responding to University of California Procedures for Responding to Reports of Sexual Harassment, Dec. 14, 2004Reports of Sexual Harassment, Dec. 14, 2004

Confidentiality and Confidentiality and WhistleblowingWhistleblowing

At UC Santa Barbara, the At UC Santa Barbara, the whistleblower policy specifically whistleblower policy specifically states that the Ombuds Office is states that the Ombuds Office is confidential and not subject to the confidential and not subject to the reporting requirements.reporting requirements.

UCSB Implementing Procedures for the UCSB Implementing Procedures for the

Whistleblower Policy, § II.F., 2008.Whistleblower Policy, § II.F., 2008.

IndependenceIndependence

To ensure objectivity, the Ombuds To ensure objectivity, the Ombuds Office operates independently of Office operates independently of usual administrative authorities, but usual administrative authorities, but within University policy.within University policy.

Independence is achieved primarily Independence is achieved primarily through organizational recognition, through organizational recognition, reporting structure, and neutrality. reporting structure, and neutrality.

NeutralityNeutrality

The Ombuds does not take sides in any The Ombuds does not take sides in any conflict, dispute or issue. conflict, dispute or issue.

The Ombuds considers the interests and The Ombuds considers the interests and concerns of all parties involved in a concerns of all parties involved in a situation impartially with the aim of situation impartially with the aim of facilitating communication and assisting facilitating communication and assisting the parties in reaching mutually the parties in reaching mutually acceptable agreements that are fair and acceptable agreements that are fair and equitable.equitable.

InformalityInformality

The Ombuds Office is a resource for The Ombuds Office is a resource for informal dispute resolution only and informal dispute resolution only and does not participate in any internal does not participate in any internal or external formal process.or external formal process.

The Ombuds does not investigate, The Ombuds does not investigate, arbitrate, or adjudicate.arbitrate, or adjudicate.

Range of Options Ombuds May Range of Options Ombuds May Offer in Cases of Suspected Offer in Cases of Suspected

Research MisconductResearch Misconduct Discussing sufficiency of evidenceDiscussing sufficiency of evidence Dealing with feelings about getting Dealing with feelings about getting

involvedinvolved• Getting emotional supportGetting emotional support• Organizing reasonsOrganizing reasons

Evaluating risks and benefitsEvaluating risks and benefits

Range of Options Range of Options (cont.)(cont.)

Obtaining additional informationObtaining additional information• Policies and proceduresPolicies and procedures• Relevant cultureRelevant culture• Additional resourcesAdditional resources

Developing a plan of actionDeveloping a plan of action Facilitating informal conversationFacilitating informal conversation Giving upward feedbackGiving upward feedback

Case StudyCase Study

A graduate student, Gina Singh, has been A graduate student, Gina Singh, has been working for the past two years in Professor working for the past two years in Professor Imhoff’s laboratory. Also working in the lab are Imhoff’s laboratory. Also working in the lab are other grad students, staff researchers and Gina other grad students, staff researchers and Gina Singh’s advisor, Fred Adiz.Singh’s advisor, Fred Adiz.

Last week, Fred returned Gina’s final draft of a Last week, Fred returned Gina’s final draft of a article on her research. Although the work had article on her research. Although the work had been done in the lab with assistance from others, been done in the lab with assistance from others, she felt she had conducted most of the she felt she had conducted most of the experiments and written more of the paper than experiments and written more of the paper than anyone else. anyone else.

Case Study Case Study (cont.)(cont.)

To Gina Singh’s surprise, a senior doctoral student in To Gina Singh’s surprise, a senior doctoral student in the lab, Steve Lopez, was listed as the second author the lab, Steve Lopez, was listed as the second author on the latest draft of the article. Gina had expected on the latest draft of the article. Gina had expected the second authorship because Steve had seemed to the second authorship because Steve had seemed to be preoccupied with conference presentations and his be preoccupied with conference presentations and his own thesis. own thesis.

Gina’s labmates told her that this is standard practice Gina’s labmates told her that this is standard practice and that she would see better acknowledgment in the and that she would see better acknowledgment in the future.future.

Gina personally dislikes Steve and is convinced that Gina personally dislikes Steve and is convinced that he has been using lab equipment and funds for he has been using lab equipment and funds for personal laptop and travel expenses in violation of personal laptop and travel expenses in violation of university policy and the federal grant.university policy and the federal grant.

Case Study Case Study (cont.)(cont.)

Seeking your advice, Gina admits she could Seeking your advice, Gina admits she could swallow her pride about the authorship issue but swallow her pride about the authorship issue but strongly believes that Steve should be punished for strongly believes that Steve should be punished for misusing funds. She confides that she has decided misusing funds. She confides that she has decided to leave grad school after this semester to work in to leave grad school after this semester to work in industry. She was counting on using this article to industry. She was counting on using this article to demonstrate her abilities to prospective demonstrate her abilities to prospective employers. employers.

Gina wonders whether she can use Steve’s Gina wonders whether she can use Steve’s misappropriation as leverage to become second misappropriation as leverage to become second author. Her long-time boyfriend is urging her to author. Her long-time boyfriend is urging her to hire an attorney if Fred Adiz (or Professor Imhoff) hire an attorney if Fred Adiz (or Professor Imhoff) refuses. Her mother says she should not make a refuses. Her mother says she should not make a fuss.fuss.

Case Study Case Study (cont.)(cont.)

Consultation with the OmbudsConsultation with the Ombuds- Complete debriefing by student- Complete debriefing by student

Student’s ethical concernsStudent’s ethical concernsWhat relationships are importantWhat relationships are importantPossible outcomesPossible outcomes

- Review of applicable rules/standards- Review of applicable rules/standardsGraduate Student Academic RightsGraduate Student Academic RightsWhistleblower policyWhistleblower policy

- Consideration of other resources- Consideration of other resources

Informal inquiry by OmbudsInformal inquiry by Ombuds- UC Whistleblower OfficeUC Whistleblower Office- Dean’s OfficeDean’s Office

Follow-up consultation with OmbudsFollow-up consultation with Ombuds- Identification of options by OmbudsIdentification of options by Ombuds- Reality testing of options by studentReality testing of options by student- Decision by studentDecision by student- Referral or intervention by OmbudsReferral or intervention by Ombuds

Upward feedback by OmbudsUpward feedback by Ombuds

Case Study (cont.)Case Study (cont.)

Potential Interactions You May Potential Interactions You May Have With Ombuds OfficeHave With Ombuds Office

Consulting the Ombuds directlyConsulting the Ombuds directly

Responding to informal inquiriesResponding to informal inquiries

Referring individuals with concernsReferring individuals with concerns

Additional ResourcesAdditional Resources Getting to Yes: Negotiating Agreement Without Getting to Yes: Negotiating Agreement Without

Giving InGiving In, Roger Fisher, et al. (1991), Roger Fisher, et al. (1991) Difficult Conversations: How to Discuss what Difficult Conversations: How to Discuss what

Matters MostMatters Most, Douglas Stone, et al. (2000), Douglas Stone, et al. (2000) Responding to Research Wrongdoing: A User-Responding to Research Wrongdoing: A User-

Friendly GuideFriendly Guide, Patricia Keith-Speigel, et al. , Patricia Keith-Speigel, et al. (2010)(2010)

The College Administrator's Survival GuideThe College Administrator's Survival Guide, C. K. , C. K. Gunsalus (2006)Gunsalus (2006)

Mending the Cracks in the Ivory Tower: Strategies Mending the Cracks in the Ivory Tower: Strategies for Conflict Management in Higher Educationfor Conflict Management in Higher Education, , Susan A. Holton (1998)Susan A. Holton (1998)

Managing Faculty DisputesManaging Faculty Disputes, Jane E. McCarthy , Jane E. McCarthy (1984)(1984)

How to Succeed in AcademicsHow to Succeed in Academics, Linda L. McCabe, , Linda L. McCabe, et al. (2000)et al. (2000)

Office LocationsOffice Locations

Main OfficeMain OfficeStrathmore BuildingStrathmore Building501 Westwood Plaza, Suite 105501 Westwood Plaza, Suite 105Phone: 310-825-7627Phone: 310-825-7627

CHS OfficeCHS Office52-025 Center for Health Sciences52-025 Center for Health SciencesPhone: 310-206-2427Phone: 310-206-2427

www.Ombuds.UCLA.eduwww.Ombuds.UCLA.edu