[Congressional Record Volume 147, Number 74 (Friday, May 25, 2001)]
[Senate]
[Pages S5686-S5687]
From the Congressional Record Online through the Government Publishing Office [www.gpo.gov]




          ROLE OF THE FEDERAL OMBUDSMEN IN DISPUTE RESOLUTION

  Mr. AKAKA. Mr. President, last week the General Accounting Office, 
GAO, released a report I requested entitled ``Human Capital: The Role 
of Ombudsmen in Dispute Resolution.'' The report studies the use of 
Federal ombudsman offices as an informal alternative to existing and 
more conventional processes to deal with personnel conflicts inside 
Federal agencies.
  I know that traditional formal dispute resolution processes have long 
been criticized. To address these concerns, the Federal Government 
promotes and encourages alternative methods including the use of 
ombudsmen. This has resulted in the greater use of alternative dispute 
resolution, ADR, practices, both because of legislation, specifically 
the Administrative Dispute Resolution Act of 1990, ADRA, and because of 
a desire to resolve workplaces conflicts quickly to the mutual benefit 
of both the employee and the agency. I wish to point out that ombudsmen 
are not themselves an alternative means of dispute resolution, but 
rather a neutral practitioner of dispute resolution practices, 
including ADR techniques, to handle complaints.
  I support strong workplace protections to protect Federal employees 
from arbitrary agency actions and prohibited personnel practices. 
Ombudsmen provide another way to ensure a more rapid conclusion to 
workplace problems. These offices may also provide another tool in 
assisting agencies in attracting, retaining, and motivating their 
workforces. In fact, this report concludes that ``ombudsman offices can 
offer a useful option for agencies to consider in developing their 
overall human capital management policies and practices.'' Another plus 
is that these offices focus on identifying systemic issues and 
developing conflict prevention strategies.
  The GAO identified 22 workplace ombudsman offices in 10 agencies. 
Their ``best practices'' report focuses for illustrative purposes on 
offices within three agencies: The National Institutes of Health, NIH, 
the International Broadcasting Bureau, IBB, and the U.S. Secret 
Service.
  NIH has one of the most developed ombudsman offices, which was 
established in 1997, and now has four full time ombudsman. The IBB 
office began as a part-time position in 1988, and now has two full-time 
officials. The Secret Service's office, started in 1987, employs one 
full-time staff member and nine collateral-duty people serving the 
Secret Service's field offices.
  These ombudsmen are high-level managers with broad authority to deal 
with almost any workplace issue, including answering questions about 
agency policies, cutting through ``red tape,'' counseling employees and 
coaching them on how to manage situations, handling accusations about 
employment discrimination, and workplace safety issues. Ombudsmen are a 
resource for Federal workers with workplace issues; an office which 
they can consult that is independent, neutral, and provides 
confidentiality.
  The 1990 ADRA authorizes the use of ombudsman offices but does not 
define or set standards for an ombudsman. The Act, as amended in 1996, 
established the Interagency ADR Working Group. There is also a 
Coalition of Federal Ombudsmen. The NIH, IBB, and Secret Service 
ombudsmen who participated in the GAO report are involved with both 
these and outside organizations. Some of the non-Federal Government 
organizations have published or drafted standards of practice for 
ombudsmen. These standards focus on the core principals of 
independence, neutrality, and confidentiality, which requires a 
commitment from the highest levels within an agency. This commitment is 
the guiding force in the success of the three offices studied by the 
GAO.
  In addition to support from senior management, an ombudsman office 
must work closely with unions representing Federal workers. The General 
Counsel of the Federal Labor Relations Authority has issued guidance 
concerning the establishment of ADR

[[Page S5687]]

programs and the Federal Service Labor-Management Relations Statute. It 
is essential that ombudsmen do not come in conflict with the role of 
unions in protecting worker rights. From the case studies examined by 
the GAO, there appeared to be good relations between ombudsmen and 
unions in the agencies where employees are represented by unions. As 
agencies consider this and other alternatives to traditional dispute 
resolution, there must be assurances that employees' rights are 
maintained throughout the process of implementing these practices.
  I recommend this General Accounting Office report to my colleagues, 
and I commend Anthony P. Lofaro of the GAO for his contribution to this 
report, along with Stephen Altman and Katherine Brentzel. It provides 
excellent background and a best practices blueprint for Federal 
agencies as they consider employing ombudsman to assist their 
employees.

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