Essentials for Ombuds

Establishing the Framework for Effective Ombuds Practice
• The importance of the Ombudsman role
• History of the Ombuds role and diversity of roles
• Guiding principles and mandatory attributes
– Independence
– Impartiality
– Accountability
– Confidentiality
• Administrative law framework (the foundation of Ombuds work)
• Practical application of Ombuds theory (this session will include case studies and small group work)

Faculty
Nora Farrell, Ombuds Practitioner, Ph.D., LL.M. (Osgoode)
Shirley R. Nakata, Ombudsperson for Students, University of British Columbia

Scope of the Ombuds Role
• Fundamental values: respect and fairness
– What is fairness?
– The Fairness Triangle: substantive, procedural, interpersonal
– Preventative Ombudsing: training, commenting on policy and bills (as appropriate)

• Collaborative Ombudsing and relationship building strategies
• Preparation of the case summary
– Importance of rigorous and scrupulous review and presentation of the facts determined and conclusions reached
– Framework of the summary (relevant issues, explanation of the investigation process, relevant evidence and credibility, standard to apply and assess fairness)
– Length of summary and level of detail required
• Intake
– Written and oral concerns
– Capturing the narrative and the essence of the issue(s)
– Determining the basic information needed
– Resolving concerns at intake
– Confidentiality
– Dealing with difficult complainants (e.g. unreasonable demands on time and resources, high level of entitlement, individuals with frightening behaviour)
• Early and ongoing resolution techniques
– Provision and/or clarification of information or explanation
– Negotiation
– Mediation
– Shuttle diplomacy
– Conflict coaching
– Preliminary fact finding
– Dealing with difficult complainants
• Trauma-informed communication and complaint-handling
– Putting mental health matters in perspective

Faculty
Fiona Crean, Crean Consulting
Dr. Nancy Poole, Director, Centre of Excellence for Women’s Health, Sessional Instructor, Justice Institute of British Columbia
Michelle Rossi, Executive Director, Patient Ombudsman
Rachel Warren, Executive Director, Intake and Investigation, Office of the British Columbia Ombudsperson

Inquiries and Investigations (Individual and Systemic)
• Information gathering and assessment
• Analyzing the concerns submitted
– Identifying the real issue(s)
– Identifying those with an interest, and those who may be affected by the issue

• Preparing the information gathering process:
– Refining the issues
– Preparing an investigation plan
– Identifying the questions that must be addressed
– Identifying those who may have relevant information
– Identifying other sources of information (e.g. documents, statistics, policies and procedures and the media)
– Preparing a potential interviewee list and determining the order of interviews
– Deciding if and how to visit locations, premises, taking photographs, etc.

• Concluding an Informational Interview
– Prior review of all available information
– Preparing questions
– Explaining the role and encouraging cooperation
– Asking appropriate questions
– Note taking and/or recording interviews; pros and cons, addressing confidentiality issues
– Testing the veracity of the information
– Dealing with inconsistent and incoherent information
– Dealing with unwillingness to be interviewed (e.g. strategies for those without subpoena power; cost benefit analysis on the use of subpoena for those who have that authority)

• Assessment of evidence
– Direct and circumstantial information
• Dealing with conflicting information
– Determining the appropriate standard and burden of proof
– Relevance, credibility and weight of evidence
– Determining if additional evidence is needed for assessing fairness or to confirm possible solutions
– Cooperative resolution techniques
– Open discussion and diplomacy
– Mediation
– Negotiation
• Recommendations
– Shaping credible and convincing recommendations
• Determining appropriate remedies
• The purpose of the remedy – specific solution to individual contentions and/or viable long term solution to a systemic problem(s)
• Exercise: drafting and critiquing case summaries for use as reporting letters and for inclusion in reports

Faculty
Chad Bouman, Manager of Investigations, Alberta Ombudsman
Jay Chalke, Ombudsperson, Province of British Columbia
Barbara Finlay, Deputy Ombudsman, Province of Ontario

Trend Analysis/Challenges and Opportunities for Ombuds
• The “Capture” concept and how it applies to the Ombuds role
• Trend Analysis
• Discussion of the importance of having systems in place as it relates to the following:
i) collecting statistics for the purpose of trend analysis
ii) using statistics correctly
iii) identifying potential systemic and system-wide issues
iv) process used by each Office for making decisions about how best to address
• Exercise: doing a trend analysis
• Keynote: “Speaking Truth to Power” from the indigenous point of view
• Indigenous approaches to complaints and ombuds work

Roundtable Panel Discussion:
“Speaking Truth to Power”
The day concludes with a roundtable discussion with ombuds who have had extensive experience with issuing reports in controversial and/or difficult circumstances. There will be ample opportunity for questions and discussion.

Faculty
Kwame Addo, Ombudsman, City of Toronto
Ian Darling, Chair, Condominium Tribunal for Ontario, Former Ombudsperson for Tarion Warranty Corporation and Former Ombudsperson for Fanshawe College
Patricia DeGuire, Chief Commissioner, Ontario Human Rights Commission
Lynn Lavallée, Strategic Lead, Indigenous Resurgence, Faculty of Community Services and Professor, School of Social Work, Toronto Metropolitan University
Sophie Petrillo, Ombudsman, Hydro One
Craig Thompson, Patient Ombudsman (Ontario)

• Effective writing for professionals
• Workplace mental health and building resilience

A take home assignment will be distributed at the end of Day 5. Participants must attend all 5 days and successfully complete the assignment to receive the Osgoode/FCO Certificate.

Faculty
Jane Griesdorf, The Writing Consultants
Dr. Katy Kamkar, Clinical Psychologist, Mental Health Program / Work, Stress and Health Program, Centre for Addiction and Mental Health (CAMH)