Implementing an Ombudsperson Policy at USU

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Implementing anOmbudsperson Policy at USU

• Office of the Provost
• Utah State University

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The purpose of this presentation

• Introduce the ombudsperson policy
• Review a set of guidelines for your service as
  ombudsperson
• Responsibilities of an ombudsperson
• Project where do we go from here

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In the beginning . . . . .

• Define ombudsperson.
• Etymology Swedish, literally, representative,
  from Old Norse umbothsmathr, from umboth
  commission mathr man
• 1 a government official (as in Sweden or New
  Zealand) appointed to receive and investigate
  complaints made by individuals against abuses or
  capricious acts of public officials
• 2 one that investigates reported complaints (as
  from students or consumers), reports findings,
  and helps to achieve equitable settlements

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And we continue . . . . .

• See Policy 405.6.5 (at WebCT site)
• Expect familiarity with P/T process and Policy
  405
• Who will utilize ombudspersons?
• Every College
• Library
• Extension

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Ombudsperson Guidelines

• The ombudsperson is not part of the P/T committee
  he/she does not have a vested interested in the
  outcome of the P/T meeting aside from the
  process. 
• The ombudsperson will verify that due process has
  been followed at the meeting.
• The ombudsperson does not vote during the
  decision process.

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Ombudsperson Guidelines

• The ombudsperson is required to have earned
  promotion with tenure, but does not have to be of
  rank equal to or greater than the candidate.
• For example, a tenured Associate Professor can
  serve as an ombudsperson on committees for
  faculty seeking promotion from Associate to Full
  Professor.
• The ombudsperson will serve primarily on college
  committees.
• An ombudsperson may not serve on a department
  committee.
• The ombudsperson may be asked to serve beyond
  his/her college but only in specific
  circumstances.

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Ombudsperson Guidelines

• The ombudsperson will be invited to the meeting
  in advance but does not have to review the file.
  
• He/she is present to guide the implementation of
  process, as outlined in policy 405.
• It is the responsibility of the promotion and
  tenure committee chair to contact the
  ombudsperson in advance to schedule his/her
  participation.

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Ombudsperson Guidelines

• The ombudsperson is not permanently assigned to a
  promotion and tenure committee. The ombudsperson
  will serve as much as his/her schedule will
  allow.
• However, if a second meeting is required to
  complete the committees business, then it is
  preferable to have the same ombudsperson.

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Ombudsperson Guidelines

• The ombudsperson will sign the promotion and
  tenure committees letter indicating that due
  process was followed at the meeting.
• If the ombudsperson cannot sign a statement
  indicating due process was followed at the
  meeting, then he/she will report in a memo
  irregularities to the department head or
  supervisor and the dean or other administrator.

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Ombudsperson Guidelines

• The Provosts Office will annually solicit and
  train a group of ombudspersons. The Provosts
  Office will maintain the list of university
  ombudspersons for use on promotion and tenure
  committees.
• Whereas policy 405.6.5 does not indicate a term
  or limit to a term of service, the ombudsperson
  will be contacted each year to determine his/her
  willingness to serve.
• A college may establish a term limit policy to
  optimize the rotation of service as
  ombudspersons.

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Responsibilities of the Ombudsperson

• At the beginning of a meeting, the ombudsperson
  should ask if everyone has review the file if
  not, dismiss the meeting. (The ombudsperson does
  not have to review the file.)
• Ascertain that there is a current role statement,
  signed by the candidate, department head or
  supervisor and dean or unit administrator.
• The ombudsperson is not to comment on the
  contents of the candidate's file.

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Responsibilities of the Ombudsperson

• The ombudsperson is responsible for making sure
  that the rights of the candidate and the
  University are protected and that due process is
  followed.
• Questions of a personal nature are inappropriate.
  
• Assure that the interests of the candidate as
  well as the University are fairly represented.

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Responsibilities of the Ombudsperson

• The ombudsperson may question any procedures that
  are out of the ordinary. In general, a typical
  procedure for the committee is
• (a) to meet first without the candidate to
  discuss procedure and any concerns,
• (b) to ask the candidate in to make a statement
  about progress toward tenure and/or promotion
  and answer questions,
• (c) to discuss without the candidate present what
  the evaluation will be for this annual review,
  and
• (d) to ask the candidate to return for a
  summation to share that evaluation with her/him.

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Responsibilities of the Ombudsperson

• The level of documentation required for
  ombudspersons may be no more than "I certify that
  due process was followed."
• The primary duty of the ombudsperson is to listen
  and to take notes about any concerns.
• Any irregularities are to be described in a memo.
  The ombudsperson will report any irregularities
  to the department head and the dean.

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Responsibilities of the Ombudsperson

• Discussion should include the candidate's role
  statement and how he/she has been meeting role
  statement assignments during the past year.
• The committee is to focus on the substance of the
  file.
• The ombudsperson is to focus on process.

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Responsibilities of the Ombudsperson

• Use the Check List
• A template of what to look/listen for
• Record who, when, and where
• Sign the annual letter as the ombudsperson with a
  statement such as
• I certify due process was followed in this
  review meeting
• - or -
• I certify that the above meeting was held in
  accordance with University procedures

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Project where we go from here

• Overall, we look for an improved process
• less unhappiness candidate, committees,
  administration
• Annually update and refine the process for
  soliciting and training qualified ombudsperson 
• Track the service provided frequency of service
  and nature of interaction / impact 

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And in the end,

• Questions, answers, problems and solutions.
• Contact information
• Larry Smith, Vice Provost
• Room 142, Old Main Building
• larry.smith_at_usu.edu telephone [phone]
• Thank you for the opportunity.