The American Physical Society Ombuds Program Charter

I. Introduction

The Ombuds was reimagined in the fall 2024 to address harassment and discrimination concerns exclusively with the aim of bolstering support for members. In keeping with practice norms, those who utilize the Ombuds Program are referred to as “visitors.” When a visitor seeks support, the Ombuds can:

• Listen, serve as a strategic thought partner
• Explore or recommend options to resolve conflict
• Surface issues, provide information about policies and procedures
• Assist with informal conflict resolution and problem solving

In every case, the Ombuds provides support that is independent, confidential, impartial, and informal. This Charter defines the terms, conditions, and principles on which the Ombuds Program has been established and describes the privileges, responsibilities, and authority of the APS Ombuds Program (“Ombuds” or “Program”) and the APS Ethics Department. Throughout this document, the term Ombuds refers to the APS Ombuds and any Associate or Assistant Ombuds.

II. Purpose, Mission, and Scope of Services

The purpose and mission of the Program is to enhance an ethical, supportive, and responsive culture for members of the American Physical Society (“APS” or “Society”) community by providing confidential, impartial, informal, and independent conflict resolution services and problem-solving support.

The Ombuds also elevates systemic trends or concerns to the attention of APS Ethics Department leadership to effect improvement. The Ombuds fulfills this purpose and mission by confidentially receiving inquiries, concerns, or questions from visitors about ethical conduct concerns and offers informal resolutions based on the needs of each situation. As appropriate, the Ombuds will listen, clarify issues, gather additional information, provide referrals, offer information on available resources, identify available options to address or raise concerns and facilitate one-on-one and/or group conversations. The independent structure of the Ombuds Program reinforces APS’ core values of acting honestly and ethically while championing a culture of mutual respect, inclusion, access and belonging.

III. Standards of Practice

The Ombuds Program adheres to and has adopted the International Ombuds Association (“IOA”) Standards of Practice and the Code of Ethics, and this Charter adopts and incorporates by reference the IOA Standards of Practice, Code of Ethics and Best Practices for Organizational Ombudspersons. As an Organizational Ombuds Program, the Ombuds functions independently from Society administration.

The Ombuds operates confidentially and impartially and limits the scope of its services to informal means of dispute resolution and problem-solving support. The Ombuds will be members of IOA and publicize the key principles on which the program is based. The Ombuds will communicate its practices for upholding confidentiality, impartiality, informality, and independence to visitors, including the four key Program principles:

1. Confidentiality: The Ombuds will hold all communications in strict confidence and will not reveal the identity of visitors to the Office. The Ombuds will not reveal any information disclosed to them in confidence except in accordance with the IOA Standards of Practice, including not disclosing such information without a visitor’s express permission and then only at the discretion of the Ombuds, or as required by law.¹ The Ombuds Program is a voluntary resource to members and those who use the services of the Ombuds agree to the terms, conditions, and principles upon which the Program was established, including an agreement not to call on the Ombuds to testify or produce documents relating to confidential communications in any legal, administrative, or other proceeding. The Ombuds will resist any attempts by visitors or third parties to compel disclosure of confidential communications, documents, or information. The Ombuds will not keep written records or notes with identifying information and does not maintain records on behalf of APS. The Ombuds will maintain any case-related information (e.g., notes, phone messages, appointment calendars) in a secure location and manner, protected from inspection by others. The Ombuds will prepare any data or reports to be shared with the Society or otherwise made public in a manner that protects visitor confidentiality. The Ombuds and APS will cooperate with each other to implement policies and practices to protect the confidentiality of visitor identities and the Ombuds’ confidential communications.
2. Informality: The Ombuds will be an off-the-record resource for informal dispute resolution and problem-solving services only. The Ombuds does not replace investigations, or other formal processes provided through the Society. The Ombuds will not participate in formal investigative or adjudicative processes. The Ombuds will endeavor to provide visitors with information about relevant formal complaint processes to help educate them about their options.
3. Impartiality: The Ombuds serves as a neutral third party and strives for impartiality and fairness in consideration of all visitors. The Ombuds will facilitate communication and problem-solving in a way that does not take sides, favor a particular outcome or advocate on behalf of any party or entity. The Ombuds will avoid involvement in any matter in which their private interests, real or perceived, may conflict with their ability to be impartial and independent in their role.
4. Independence: The Ombuds is independent and will operate without influence from others within the Society. The Ombuds will have sole discretion over whether or how to engage regarding individual, group, or systemic concerns, including whether to bring concerns to the attention of appropriate Society individuals. The Ombuds reports directly to the Head of Ethics. The Head of Ethics is responsible for informing the Ethics Chairperson.

¹ The Ombuds may disclose otherwise confidential information if they believe there may be an imminent risk of serious physical harm or in cases of suspected abuse, neglect, or exploitation of a child or a disabled or elder adult.

IV. Authority and Limits of the Ombuds Role

The authority of the Ombuds derives from the establishment of the Program by the endorsement of the APS Board of Directors, Society administration and the enactment of this Charter.

1. Ombuds Authority: The Society recognizes that the Ombuds has the independent authority to engage in the following actions as integral part of their role:
   1. Discussions with visitors and others: Discuss concerns, available informal and formal pathways for resolution, options for next steps, relevant information, and resources
   2. Initiate Informal Inquiries: Inquire informally about any issue concerning a visitor
   3. Access Information: Request access to Society information related to visitors’ concerns and will respect and preserve the confidentiality of that information
   4. Decline/Withdraw from Participation in a Concern: Withdraw from or decline to participate in a concern if they believe their involvement would be inappropriate for any reason
2. Limitations on the Authority of the Ombuds:
   1. Not Authorized to Receive Notice of Complaints on behalf of the Society: Communication to the Ombuds does not constitute notice to the Society.
   2. No Participation in Formal Processes and Investigations: The Ombuds has no authority to conduct or participate in formal investigations of any kind.
   3. No Organizational Record Keeping: The Ombuds has no authority to keep records on behalf of the Society; temporary notes and materials may be maintained and will be destroyed once matter concludes.
   4. No Advocacy for Individual Parties or Entities: No authority to serve as an advocate, lawyer, representative, or counselor for any party in a dispute – only advocates for fair processes
   5. No Business and Policy Decisions: No authority to make business or policy decisions, impose remedies or sanctions, or to enforce or change Society policies or rules

V. Reporting

The Ombuds will issue annual reports to the Ethics Chairperson and the Head of Ethics. These reports will include broad, de-identified information about the program and usage, and descriptions of outreach and educational activities in a manner that protects confidential information and consistent with generally accepted organizational Ombuds practices.

VI. Accountability and Evaluation

The work of the Ombuds will be evaluated annually by the Chief Executive Officer and the Head of Ethics. The evaluation may include a self-assessment and data collected in anonymous visitor experience surveys. Complaints about the Ombuds Office should be directed to the Chief Executive Officer and/or Chief Human Resources Officer. The Chief Executive Officer may remove the Ombuds from office for failure to perform the duties of the office or violation of the standards of professional conduct outlined in this Charter.

VII. Retaliation for Using the Ombuds Office

All visitors to the Ombuds have the right to consult with the Ombuds without retaliation. The Society takes all complaints of retaliation seriously.

VIII. Amendment and Revocation

This Charter may be amended only at the agreement of the Ombuds, Chief Executive Officer and the Head of Ethics. The Charter remains in effect unless revoked by the Society’s Board of Directors, after providing reasonable notice and engaging in consultation with the Ethics Chairperson and the Head of Ethics.