The Ombudsman’s Office Code of Ethics
Informality
The Office of the Ombudsman is an informal resource; no record will be maintained, and we will not participate in any formal or adjudicative process. This allows us to focus on finding mutual, non-coerced agreement between the parties, rather than determining who is right and who is wrong.
There exist a variety of formal resolution systems available to assist scientists and staff who wish to go on record about their concerns and who seek institutional resolution of issues involving possible harassment, discrimination, and/or misapplication of rules and policies. These systems include, among others, the Administrative Grievance Process, the Peer Resolution Process, and the EEO complaint system. In each system, there is an opportunity to seek early, informal resolution of the complaint or grievance through Alternative Dispute Resolution (ADR). ADR refers to a variety of informal, non-adversarial processes including mediation, facilitation, peer review panels, and shuttle diplomacy. ADR emphasizes collaborative problem-solving rather than win-lose approaches.
Administrative Grievance Process
The Administrative Grievance Process applies to all NIH civil service employees who are not part of a bargaining unit regardless of grade or tenure. Employees and supervisors can request ADR to help resolve grievances. In this process, NIH ombudsmen can serve as mediators who assist parties in an attempt to achieve early, informal resolution of disputes in a mutually satisfactory fashion. This is an informal process, although it may result in a written agreement signed by the complainant and management officials. ADR is a confidential process, and ombudsmen serve as neutral third parties who do not have any decisionmaking authority.
For more information, please go to http://www.hhs.gov/ohr/manual/771-1.pdf
The Peer Review Process at NIH is a pilot grievance process available to employees of the Clinical Center; National Heart, Lung and Blood Institute; National Institute on Aging; National Institute of Allergy and Infectious Disease; National Institute of Neurological Disorders and Stroke; and the Office of the Director. In the PRP, NIH ombudsmen serve as mediators who assist the grievant, and the first- and second-line supervisors attempt to reach a mutually agreeable resolution to the grievance. This is an informal process, although it may result in a written agreement signed by the complainant and management officials. If agreement is not reached, the grievant has the option of bringing the complaint to a panel consisting of two managers and three peers, who hear the complaint and make final and binding decisions. Employees choose the panelists randomly from a pool of volunteers who have been trained in the peer panel process.
A person who files an EEO pre-complaint can select to pursue "traditional" EEO counseling through the Office of Equal Employment Opportunity and Diversity Management (OEODM) or the Alternative Dispute Resolution (ADR) method. Participation in ADR is strictly voluntary for the person bringing the complaint. When a person indicates a willingness to participate in ADR, the Office of the Ombudsman retains the authority to determine if the matter is appropriate for ADR. In the EEO ADR process, NIH ombudsmen serve as mediators who assist parties in an attempt to achieve early, informal resolution of disputes in a mutually satisfactory fashion. EEO mediation is a confidential process, and ombudsmen serve as neutral third parties who do not have any decisionmaking authority. This is an informal process, although it may result in a written agreement signed by the complainant and management officials. The ADR method is not only used for issues of concern related to employment discrimination (Title VII Civil Rights Act, the Age Discrimination Act, and the Rehabilitation Act), but also issues of non-employment discrimination.
For more on this process, please visit:
http://oeodm.od.nih.gov/complaints/counseling_adr/alternative/index.aspx
Some of the resources on this page are provided in the Portable Document Format (PDF), and require the use of the free Adobe Acrobat Reader
