Assessing the Possibility of Establishing a State-level Ombudsman in Vermont

1. Assessing the Possibility of Establishing a State-level Ombudsman in Vermont Andrew Clay ChineduUdeh Lorelei Yang The contents of this report were developed under grant P116B100070 from the U.S. Department of Education. However, these contents do not necessarily represent the policy of the U.S. Department of Education, and you should not assume endorsement by the Federal Government.

2. Agenda • Understand function of Ombudsman • Assess Vermont Status Quo • Assess state-level ombudsmen in representative states • Costs and Benefits of a Vermont Ombudsman • Recommend best practices • Highlight next steps

3. What is an Ombudsman? • Origin of idea • Establishment in U.S.

4. Common Features • Function • Impartial agency that investigates complaints against state agencies • Housed in legislature • Serves oftentimes as a mediator • Has power to investigate, make reports and subpoena • Selection Process • Approved by legislature • Jurisdiction • Administrative functions of state agencies • Complaint Process • Receives complaints; ensure issue falls under jurisdiction; begins mediation or investigation process; writes a report if necessary; keep files for designated period • Complaint Load and Type • Corrections

5. Vermont Status Quo • Attorney General’s Office / Consumer Assistance Program (CAP) • Department of Corrections • Long Term Care Ombudsman • Other state agencies

6. State Analysis: Choosing states Table 1: State by State Comparisons

7. State Analysis: Alaska • Office structure • State Ombudsman and Anchorage municipality • 9 staff members • Budget • $1,097,000 a year • Jurisdiction • State agencies, National Guard, University of Alaska • Complaint Process • Complaint Load and Type • Outreach • Native Americans

8. State Analysis: Arizona • Office structure • Approval by governor • 7 staff members • Budget • $530,000 a year • Jurisdiction • Administrative acts of state agencies, public access • Complaint Process • Complaint load & type • 4,008 • Child Protective Services • Outreach • State agencies

9. State Analysis: Hawaii • Office structure • 9 staff members • Budget • $1,017,875 • Jurisdiction • Complaint Process • Complaint load & type • 4,686 cases • Outreach • Fairs, Corrections

10. State Analysis: Nebraska • Office structure • 11 staff members • Budget • $1.126 million biennially • Jurisdiction • State agencies, local and county jails • Complaint Process • Mediation focused • Complaint load & type • 2,346 cases • Outreach • Legislative offices & State agencies

11. State Analysis: Iowa • Office structure • 16 staff members • Selective case selection • Jurisdiction • State agencies; county and local government • Budget • $1.52 million • Complaint Process • Reports • Complaint load & type • 4,400 cases • 25% county cases • Outreach • TV commercial, state fairs

12. Costs and Benefits of an Ombudsman Office • Costs • Economic • Political • Benefits • Central Complaint Resolution • Credibility / Responsiveness • Ease of Process for Complainant • Removal of Legal Costs for Complainant and State • Alternative Dispute Resolution (ADR)

13. Summary • Office structure • 9 – 16 staff members • Jurisdiction • State agencies – local governments • Budget • $530,000 – $1.5 million • Complaint Process • Mediation to Formal Reporting • Complaint load & type • ~2,000 – 4,400 cases • Corrections • Outreach • Referral - commercials

14. Best Practices • House in Legislative Branch • Maintain relationships with legislative staff and state agencies • Targeted Outreach • United State Ombudsman Association • Nebraska Model vs. Iowa Model

15. Next Steps • Investigate complaint processes in other state agencies • Investigate Costs and Benefits of decentralized complaint processes • Consider Public-Private Partnership

16. QUESTIONS?