Implementing an Ombudsperson Policy at USU

1. Implementing anOmbudsperson Policy at USU Office of the Provost Utah State University

2. 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

3. 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

4. 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

5. 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.

6. 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.

7. 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.

8. 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 committee’s business, then it is preferable to have the same ombudsperson.

9. Ombudsperson Guidelines • The ombudsperson will sign the promotion and tenure committee’s 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.

10. Ombudsperson Guidelines • The Provost’s Office will annually solicit and train a group of ombudspersons. The Provost’s 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.

11. 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.

12. 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.

13. 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.

14. 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.

15. 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.

16. 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”

17. 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 

18. And in the end, • Questions, answers, problems and solutions. • Contact information: • Larry Smith, Executive Senior Vice Provost Room 142, Old Main Building larry.smith@usu.edu telephone: 797-0718 • Thank you for the opportunity.