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    The organizational ombudsman : origins, roles, and operations : a legal guide / Charles L. Howard.

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    • Title:The organizational ombudsman : origins, roles, and operations : a legal guide / Charles L. Howard.
    •    
    • Author/Creator:Howard, Charles L., 1950-
    • Published/Created:Chicago : American Bar Association, ©2010.

    • Holdings

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    • Library of Congress Subjects:Ombudspersons--United States.
    • Description:xxix, 642 p. ; 22 cm
    • Notes:Includes index.
      Includes bibliographical references and index.
    • ISBN:9781604427783
      1604427787
    • Contents:Machine generated contents note: ch. 1 What Is an Organizational Ombuds?
      pt. I Short History of the Ombudsman Role
      A. Origins in Sweden
      B. Expansion in Scandinavia
      C. Expansion Beyond Scandinavia
      1. Ombudsman Programs Transition to Universities
      2. Ombudsman Programs Transition to Corporations
      3. Impact of the Defense Industry Initiative
      4. Ombudsman Associations
      5. Ombudsman Programs in the Federal Government
      D. American Bar Association Resolutions
      pt. II Essential Characteristics of an Organizational Ombuds Program
      A. 1969 ABA Resolution and the Spread of Ombuds Programs
      B. Evolution of Codes of Ethics and Standards of Practice of Ombuds Associations
      C. 2001 American Bar Association Resolution
      D. 2004 American Bar Association Resolution
      E. Agreement and Disagreement on Key Principles of Organizational Ombuds Programs
      F. IOA Best Practices Recommendations
      pt. III What Does an Organizational Ombuds Do?
      ch. 2 Why Should Organizations Create Ombuds Programs?
      pt. I Forces of Change
      A. Demographics
      1. Immigration
      2. Diversity
      3. Impact on Educational Institutions
      4. Impact in Other Countries
      5. Increase in the Role of Women in the Workforce
      6. Other Demographic Trends: Generational Change and Talent Shortage
      7. Impact of Demographic Changes
      B. Technology and Globalization
      1. Growth of the Information Technology Sector
      2. Increased Need for Knowledge Workers
      3. Emergence of the Virtual Workspace
      4. Emergence of the Global Workforce
      5. Globalization of Universities
      C. Globalization and the Multinational Corporation
      1. Growth of Multinational Corporations
      2. Globalization of Multinational Corporations
      3. Need for a Global Corporate Ethics
      4. World Recession
      -Impact on Globalization
      5. Impact of the Forces of Change
      pt. II Legal and Regulatory Pressures on Organizations
      A. Criminal Liability
      1. Early Development of Criminal Liability for Organizations
      2. United States Sentencing Guidelines for Organizations
      3. Development of Ethics and Compliance Programs
      4. 2004 Revisions to the Organizational Sentencing Guidelines
      5. Criminal Liability Provisions of the Sarbanes-Oxley Act of 2002
      6. Prosecution Guidelines
      B. Corporate Governance and Government Regulation
      1. In re Caremark
      2. Federal Agency Reporting Incentives
      3. USA Patriot Act
      4. Sarbanes-Oxley Act of 2002
      5. SEC and Stock Exchange and Association Requirements
      6. Best Practices Recommended by Business Groups
      C. Employment Law
      1. Title VII Cases
      2. Title IX Cases
      3. Mandatory Discrimination and Harassment Training Programs
      4. Spread of Whistle-blower Laws
      pt. III Insufficiency of Current Best Practices
      A. Necessity of Current Best Practices
      B. Ethics Officers, HR, and Compliance Programs
      1. Limits on the Promise of Confidentiality
      2. Risks of Strict Enforcement
      C. Whistle-blower Laws and Policies
      1. Limitations on the Effectiveness of Whistle-blower Laws and Policies
      2. Data on the Effectiveness of Whistle-blower Laws
      3. Why Whistle-blower Policies Fail to Address the Concerns of an Individual
      4. American Recovery and Reinvestment Act of 2009
      D. Hotlines and Ethics Survey Data
      1. Reasons for Creating Hotlines
      2. Features of Hotline Services
      3. Limitations on Hotline Effectiveness
      pt. IV Ombuds Programs
      A. Ombuds Structure Is Important
      B. Organizational Ombuds Fills Gaps
      C. Reported Effectiveness of Ombuds Programs
      pt. V Conclusion: Why Create an Ombuds Program?
      ch. 3 How Can Ombuds' Confidentiality Be Protected?
      pt. I Imputed Notice
      A. Basic Principles of Imputed Notice
      B. General Principles of Agency Law
      C. Cases Relevant to Imputed Notice
      D. IOA and the 2004 ABA Resolution
      E. Imputed Notice
      -Conclusion
      pt. II Legal Bases for Ombuds Confidentiality
      A. Common-Law Privilege
      1. Background on Development of Federal Testimonial Privileges
      2. Development of the Ombuds Privilege
      3. Subsequent Cases Citing the Carman Decision
      4. Subsequent Cases Recognizing an Ombuds Privilege
      5. Ombuds Privilege Belongs to the Ombuds
      6. Observations on the Recognition of an Ombudsman Privilege
      B. Program Conditions of Use
      -Implied Contract of Confidentiality
      C. Other Bases for Confidentiality
      1. Garstang and the California Constitutional Right of Privacy
      2. State Statutes
      -Generally
      3. Uniform Mediation Act
      4. Administrative Dispute Resolution Act
      5. Federal Mediation Privilege
      6. Court's Inherent Authority to Regulate Discovery
      7. Arbitration
      pt. III Documentation
      A. Ombuds Charter
      B. Ombuds Contract
      C. Position Descriptions
      D. Documentation Publicizing the Ombuds Office
      1. Brochures and Web Sites
      2. Other Ombuds Office Publicity Information
      3. Organizational Information
      E. Documentation of Ombuds Operations
      1. Policies and Procedures
      2. Case Files
      -Preservation and Destruction
      F. Trend Reports
      G. Measures of Effectiveness
      pt. IV Protecting Confidentiality in Litigation
      A. What to Avoid Doing
      B. Independent Counsel for the Ombuds Office
      C. Motions
      ch. 4 What Else Would Be Helpful for an Organizational Ombuds to Know?
      pt. I Overview of Litigation Discovery Tools and Remedies, including the Fundamentals of Electronic Discovery
      A. Introduction to Discovery Rules in Civil Actions
      B. Discovery Methods
      1. Depositions
      2. Interrogatories
      3. Requests for Production and Inspection
      4. Requests for Admission
      C. Scope of Discovery
      1. In General
      2. Privileges
      D. Discovery Remedies
      1. Protective Orders
      2. Motion to Compel Discovery
      3. Sanctions for Failure to Comply with Discovery Order
      4. Assessment of Expenses for Failure to Admit
      E. Discovery of Electronically Stored Information
      1. Triggering the Duty to Preserve ESI
      2. Materials to Be Preserved (Scope of Discovery)
      3. How to Satisfy the Obligation to Preserve
      4. Consequences of Noncompliance
      F. Implications of Discovery Methods and e-Discovery for Ombuds' Practices
      pt. II Federal Arbitration Act, the Uniform Mediation Act, and the Mediation/Confidentiality Privilege
      A. Overview of ADR
      B. Arbitration Generally
      C. Federal Arbitration Act
      D. Mediation
      1. Mediation Process and Procedures Generally
      2. Mediation Privilege/Confidentiality
      E. Uniform Mediation Act
      1. Overview
      2. UMA Mediation Privilege
      F. Implications of the Mediation Privilege for Ombuds' Practices
      pt. III Imminent Threat of Serious Harm as an Exception to Confidentiality
      A. Background
      B. Tarasoff v. Regents of University of California
      C. Adoption of the Tarasoff Rule
      D. Implications for Ombuds
      pt. IV Ombuds Confidentiality in Criminal Cases
      A. Background
      B. Sixth Amendment Right to Confront and Cross-Examine
      C. Sixth Amendment and Privilege Claims
      D. Implications for Ombuds
      pt. V Federal Sentencing Guidelines for Organizations
      A. Background
      B. Basic Structure of the Sentencing Guidelines
      C. 2004 Amendments to the Sentencing Guidelines
      D. Implications for Ombuds
      pt. VI Clery Act
      A. Background
      B. Reporting Requirements
      C. Reporting Channels
      D. Implications for Ombuds
      pt. VII Public Sector Ombuds
      -Records Retention and Freedom of Information Acts
      A. Introduction
      B. Records Preservation, Retention, and Destruction
      C. Access to Public Records
      1. Freedom of Information Act
      2. Privacy Act
      D. Implications for Ombuds
      E. State FOIA Statutes
      pt. VIII European Union Data Protection Directive and Subsequent Developments
      A. Introduction
      B. Overview of the EU Data Protection Directive
      C. History of Data Protection Law in Europe
      D. Summary of the Directive and Key Provisions
      E. Subsequent Developments and Issues Related to European Data Protection Directive
      1. Safe Harbor Agreement
      2. Whistle-blower Provisions of the U.S. Sarbanes-Oxley Act
      F. Implications for Ombuds
      pt. IX Employment Laws and Cases
      A. Federal Employment Laws
      B. Selected Landmark Supreme Court Employment Law Cases
      C. Common Areas of State Employment Laws
      Appendixes
      Appendix 1 1969 ABA Resolution and Report
      Appendix 2 1971 ABA Resolution and Report
      Appendix 3 Ombudsman Association Code of Ethics and Standards of Practice (1995)
      Appendix 4 Ethical Principles for University and College Ombudsmen
      Appendix 5
      A. International Ombudsman Association Code of Ethics
      B. International Ombudsman Association Standards of Practice (effective prior to October 2009)
      C. International Ombudsman Association Standards of Practice (effective October 2009)
      Appendix 6 Standards for the Establishment and Operation of Ombuds Offices (ABA Policy Adopted August 2001)
      Appendix 7 Standards for the Establishment and Operation of Ombuds Offices (ABA Policy Adopted February 2004)
      Appendix 8 Ombudsman Association Standards of Practice, 1995
      Appendix 9 University and College Ombuds Association Standards of Practice, 2000
      Contents note continued: Appendix 10 International Ombudsman Association Guidance for Best Practices and Commentary on the American Bar Association Standards for the Establishment and Operation of Ombuds Offices (Revised February 2004)
      Appendix 11 IOA Best Practices
      -A Supplement to IOA's Standards of Practice (Version 3, October 13, 2009)
      Appendix 12 American Recovery and Reinvestment Act of 2009, Section 1553, Protecting State and Local Government and Contractor Whistleblowers
      Appendix 13 H.B. 3578, Introduced in Texas Legislature, 2007.
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