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Ombudsman Program
Thank you for your interest in the NE-ACR Ombudsman Program. Please feel free to contact a member of the program with any questions that you might have. The NE-ACR Ombudsman Committee - Charles Doran, Chair ombuds@neacr.org; Dina Beach Lynch; Ros Cresswell. Following is a description of the program.
I. Purposes and Definitions
A. Purposes. The purposes of the NE-ACR Ombudsman Program (“the Program”) are:
- To provide members of the New England Chapter of the Association for Conflict Resolution and non-member practitioners with a voluntary means for addressing issues raised by consumers who are dissatisfied with the services of an ADR practitioner in New England.
- To provide an accessible means for dissatisfied consumers of ADR services to resolve concerns.
B. Applicability. This process does not apply to ADR services that are conducted under the auspices or administration of a program, agency or court department that has established its own procedures for the resolution of complaints or grievances concerning ADR providers, unless specially requested by that program, agency or court department.
C. Definitions.
- “ADR” means any method or process of alternative dispute resolution, including, but not limited to, mediation, arbitration, facilitation, conciliation, case evaluation, and training.
- “Consumer” means a person who has participated in an ADR process.
- “Neutral” means a practitioner of ADR who is the subject of consumer dissatisfaction.
- “Ombudsman” (plural “Ombudsmen”) means an impartial, volunteer practitioner who will assist one or more consumers of ADR services in exploring possible means to address dissatisfaction with the Neutral who provided such services. An Ombudsman is an advocate for problem solving and not an advocate for consumers and/or Neutrals.
- “NE-ACR Ombudsman Program Committee” means a group of at least three NE-ACR Board Members and current NE-ACR members who will provide information about the Program and conduct intake with Consumers.
II. Description of the Ombuds Process
A. Intake.
- A dissatisfied Consumer who contacts NE-ACR will be referred to the NE-ACR Ombudsman Program Committee (“the Committee”). A member of the Committee will listen to the Consumer, discuss the Consumer's concerns, offer educational information about ADR if appropriate, and offer to make the Ombuds process available, if appropriate.
- If a dissatisfied Consumer raises issues about ADR services conducted under the auspices of or administered by a program or agency that has established its own procedures for the resolution of complaints or grievances, a member of the Committee will refer the Consumer to that program or agency and will not appoint an Ombudsman, unless the program director or agency representative so elects, and the Consumer and Neutral agree to participate.
- If a dissatisfied Consumer raises issues about a Neutral's performance while the ADR process is still in progress, a member of the Committee will inform the Consumer and the Neutral that use of an Ombuds process could affect the process and impair the Neutral's neutrality.
- If a Consumer is offered the opportunity to participate in the Program but does not elect to participate, a member of the Committee will ask the Consumer for his or her consent to advise the Neutral of the Consumer's contact with a member of the Committee, including the identity of the consumer and the nature of the Consumer's concerns; if the Consumer consents, a member of the Committee will so inform the Neutral.
B. Appointment of Ombudsman. If a Consumer raises issues about ADR services conducted by a NE-ACR member or non-member practitioner, and the Consumer chooses to participate in the Program, a member of the Committee will inform the Neutral of the issues raised. If the Neutral agrees to participate in the Program, the Chair of the Committee, or the chair's designee, in consultation with the Committee, will appoint an Ombudsman who is mutually acceptable to the Consumer and the Neutral to assist them in seeking to resolve the matter. The Chair of the Committee may appoint an Ombudsman from beyond the existing available pool of Ombudsmen appointed if deemed necessary and appropriate by the Chair, in consultation with the Committee.
C. Facilitation by Ombudsman.
- The Ombudsman will contact the Consumer, listen to issues and
concerns, and confirm, in writing, that the Consumer wishes to participate in the Ombuds process.
- If the Consumer wishes to participate in the Program, the Ombudsman will contact the Neutral, explain the nature of the issues raised, and offer to facilitate discussions between the Consumer and Neutral.
- If both the Consumer and Neutral agree to participate in the Program, the Ombudsman will sign a confidentiality agreement with the Consumer and Neutral.
- The Ombudsman will facilitate communication between the Consumer and Neutral, help them explain their interests relating to their respective points of view and understand the other's views, and assist them in setting up a mediation session if desired.
III. Selection of Ombudsmen
A. Pool of Ombudsmen. In conjunction with nominations for the Board of Directors each April, the Nominating Committee of NE-ACR will nominate three to five people to offer their services to NE-ACR as volunteer Ombudsmen for one year as the need arises. The Executive Committee of the Board of Directors will appoint the Ombudsmen. Ombudsmen must have completed at least 70-hours of mediation and/or ombudsman training and have at least 5 years experience as a mediator and/or ombudsman. Ombudsmen may be reappointed to serve for more than one year.
IV. Role of Ombudsman
A. Activities Permitted. The Ombudsman may listen to the Consumer's concerns, answer questions, and educate the Consumer about ADR, contact the Neutral and explain the nature of the dissatisfaction expressed, explore options for resolving the issues raised by the Consumer, and assist in setting up a meeting or mediation between the Consumer and the Neutral if mutually desired.
B. Activities Not Permitted. The Ombudsman may not provide the Consumer with evaluation of the Neutral's performance or serve as a paid mediator or facilitator between the Consumer and Neutral in the dispute in which the Neutral's performance is at issue.
V. Confidentiality of Process
A. Confidentiality Agreement. The Ombuds process cannot go forward without the Ombudsman receiving a confidentiality agreement in an original, facsimile or electronic form clearly indicating the parties’ agreement to the terms of the confidentiality agreement.
B. Scope. The confidentiality agreement must protect the following from disclosure to any person or entity not participating in the Ombuds program, except as provided in subsection V. C.:
- The fact that a complaint exists and the nature of the issues involved.
- Written, oral, electronic, or other communications by and between the Consumer, Committee Member, Neutral and Ombudsman regarding the Consumer's issues at any time during any stage of the Program including intake, whether or not an Ombuds process occurs or is completed.
- Information from any ADR process undertaken as part of, or as a consequence of, participation in the Ombuds program.
C. Exceptions. Exceptions must be in writing and may be made only if:
- The Consumer, Neutral and Ombudsman all agree to disclosure;
- Disclosure is necessary to prevent physical harm to a person, including a planned commission of a crime; or
- Disclosure is required by statute, court order or court rule.
D. Records. No written records will be kept by NE-ACR or the Ombudsmen about Consumer contacts to a member of the Committee, issues referred to the Ombuds program, the process, or any subsequent mediation of issues raised in an Ombuds process, except that (1) signed confidentiality agreements may be kept on file, and (2) statistical data about the number and types of complaints received by NE-ACR, the number and types of complaints referred to Ombudsmen and the disposition of cases may be reported to the NE-ACR Board of Directors.
VI. Code of Ethics
A. NE-ACR Ombudsmen will adhere to the Code of Ethics developed by The International Ombudsman Association (IOA) <http://www.ombudsassociation.org/>.
The New England Chapter of ACR thanks the Maine Association of Dispute Resolution Professionals and the Ombudsman Association for their generous contributions to NE-ACR’s Ombudsman Program.
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