Policy and Procedures Regarding Faculty Ombuds Position

I. Introduction

In the daily operation of a large organization, such as a university, disputes and conflicts among members unfortunately cannot be avoided. The Grievance Hearing Board provides a formal channel for faculty to present their cases in a lawful and standard procedure. However, many disputes and complaints can be resolved much more effectively if the matter can be handled in an informal and friendly manner through a neutral person, such as an ombuds. Such a neutral person typically will not write any formal reports and will not give any testimony in a formal grievance process. Therefore, an ombuds can be better trusted by both parties during the entire investigation and mediating process. The assistance of an ombuds is designed to offer an alternative to more adversarial procedures, such as the filing of a formal grievance.

The objectives of this proposal are:

  • To clarify the functions and mode of operation of an ombuds at the University of Michigan-Dearborn.

Mission: The office of the University of Michigan-Dearborn Faculty ombuds provides a neutral, independent, informal, and confidential resource to facilitate fair, equitable, and expeditious resolutions of concerns and conflicts expressed by faculty at the Dearborn campus of the University of Michigan.

 

II. Purpose and Scope of Services

The Office will provide an informal, neutral, and confidential environment for resolution of disputes to University of Michigan-Dearborn faculty with concerns related to their faculty roles. The Office will be a place where members of the University faculty[1] can seek information and guidance regarding concerns, conflicts, or disputes at no cost and at any stage in the resolution process to the extent possible based on laws and the policies governing the Office. The scope of the Office is limited to addressing matters directly involving University faculty.

The Office will confidentially receive complaints, concerns, or questions about alleged acts, omissions, improprieties, and/or broader problems. The response of the Office is tailored to the dynamics of the situation and the visitor’s[2] concerns. The ombuds will listen, make informal inquiries to facilitate resolution, or otherwise review matters received, offer options for resolution, make referrals, and mediate disputes independently and impartially. The ombuds will not function as a fact-finder or arbitrator; where the ombuds thinks an investigation is appropriate, the ombuds may request that the Provost’s Office or another office as appropriate conduct an investigation. Services of the Office supplement, but do not replace, other processes (formal and informal) available to the University community. In addition, the ombuds will serve as an information and communication resource, consultant, mediator, dispute resolution practitioner, and source of recommendations for institutional change for the University. The ombuds will provide feedback to the University administration when trends, patterns, policies, or procedures of the University generate concerns or conflicts.

 

III. Standards of Practice

To the extent possible, the Office will practice in a manner consistent with the International Ombuds Association (IOA) Standards of Practice and Code of Ethics. As described below, the Office shall exercise its functions independently, be confidential and impartial, and limit the scope of services to informal means of dispute resolution. The Office will strive to operate, using best practices, in a way that serves the interests of the University community. The Office will publicize the confidential, independent, neutral, and informal nature of its services through a campus website and promotional materials, and will explain the ethical standards referenced above to each visitor to the Office.

 

A. Independence

The Office shall be, and will appear to be, free from interference in the performance of its duties. This independence is effected primarily through University recognition of the Office, its reporting structure, and its neutrality. The Office shall operate independently, outside of the ordinary line and staff structures of the University. Consistent with the role of the ombuds described in this document, the ombuds shall exercise sole discretion regarding whether to become involved in a matter and what steps to undertake as ombuds regarding individual matters or systemic concerns.

To fulfill its functions, the Office shall have adequate and secure space and administrative support. The budget for the ombuds will be sponsored by the Office of the Provost and managed by the Faculty Senate.

B. Confidentiality

Unless required by law or court order, the Office will not confirm communicating with any visitor to the Office or disclose any confidential information without the visitor’s explicit permission and, even with that permission, any communication will be at the sole discretion of the ombuds. The Office will, however, disclose confidential information if and when there is, as judged by the ombuds, an imminent risk or physical harm to any person.

The Office will not participate in any formal process inside or outside the University (such as a grievance procedure or an action in a court of law), even if given permission by a visitor who has initiated a formal process, unless compelled to do so by law or court order.

C. Neutrality

The Office will be neutral in its activities and will not take sides in any conflict, dispute, or issue. The ombuds will impartially consider the interests and concerns of all parties involved in a situation, with the aim of facilitating communication and assisting the parties in reaching mutually acceptable agreements that are fair, equitable, and consistent with University policies and the law.

The Office will avoid involvement in matters where there may be a conflict of interest. When a conflict of interest exists, or appears to exist, the ombuds will disclose the conflict to the visitor and to any other members of the University community who are involved in the matter (e.g., a department chair or dean). The ombuds will take all steps necessary to manage or avoid the conflict and if the conflict cannot be managed or avoided, the ombuds will notify the visitor and any other involved parties that the ombuds cannot assist in the particular matter. When a conflict of interest does occur, the Faculty Senate may appoint a substitute ombuds to assist with the particular issue that constitutes a conflict.

D. Informality

The Office shall be a resource for informal dispute resolution only. The Office will not formally investigate, arbitrate, adjudicate, or any other way participate in any internal or external formal process or action. The Office does not give legal advice. Use of the Office is voluntary and not a required step in any grievance process or University policy. No one is required to meet with the ombuds. The Office is not an office of notice to the University.

 

IV. Authority and Limits of the Office of the University Faculty Ombuds

A. Authority of the Office

  1. Initiating Informal Inquiries

    The ombuds is entitled to inquire informally about any issue concerning the University that directly affects a University faculty member. The ombuds may initiate informal inquiries into matters that come to its attention without having received a specific complaint from an affected member of the University faculty. If a more serious investigation is necessary, the ombuds may ask the Provost’s Office or other appropriate office (e.g., ECRT or Human Resources) to undertake a review or  investigation.

    The services of the ombuds are not available to faculty who are represented by a union. The faculty ombuds will direct LEO members to the LEO Dearborn Campus Grievance Officer, HR Office, or other appropriate LEO officer. 

  2. Access to Information

    The ombuds may request access to information related to a visitor’s concerns from files and offices of the University. The purpose of the access is to provide a contact for understanding the concerns raised by the faculty member. Consistent with applicable policies and within applicable constraints, University personnel contacted by the Office with requests for information should respond with reasonable promptness to the requests for information. The Office will have access, as appropriate, to the highest levels of the University. The Office will not breach confidentiality nor will it request a department or individual to breach confidentiality. The Office may share such information with the visitor only if the University personnel who provided the information specifically authorizes such disclosure.

  3. Ending Involvement in Matters

    The ombuds may discontinue providing service and disassociate from a matter at any time. In such a case, the ombuds will provide notice to the visitor and all others involved in the matter.

  4. Discussions with Visitor and Others

    The ombuds has the authority to discuss a range of options available to a visitor, including both informal and formal processes. The Office may make any recommendations it deems appropriate with regard to resolving problems or improving policies, rules or procedures. However, the Office has no authority to impose remedies or sanctions or to enforce or change any policy, rule, or procedure.

     

B. Limitations on the Authority of the Office

  1. Receiving Notice for the University

    Communication to the Office will not constitute notice to the University about existence of a problem including, but not limited to, alleged violations of laws, regulation, or policies such as sexual harassment, issues covered by whistleblower laws, or policy or incidents subject to reporting under the Clery Act. Although the Office may receive such allegations, the Office is not a “security authority” as defined by the Clery Act, nor is the Office required to report these allegations to the University.

  2. Putting the University on Notice

    If a visitor discloses allegations that would constitute notice to the University and expresses a desire to make a formal report, the Office shall refer the visitor to the appropriate office(s) for formal administrative or grievance processes, or the Office will assist the visitor to disclose the allegation to the appropriate office(s).

  3. Formal process and Investigations

    The Office shall not conduct formal investigations of any kind. It will not participate in the substance of any internal or external formal dispute processes, outside agency complaints or lawsuits, either on behalf of a visitor to the Office or on behalf of the University, unless compelled to do so by law or court order.

  4. Record Keeping

    The Office will not keep records for the University and will not create or maintain documents or records for the University about individual matters. Notes and any other material related to a matter will be maintained in a secure location and manner and will be destroyed when the ombuds deems it appropriate to do so, unless legally required to retain the documents (e.g., pending a FOIA request or litigation hold).

  5. Advocacy for Parties

    The Office will remain neutral and impartial. The ombuds shall not act as an advocate for any party in a dispute; the ombuds will not represent administration, management or visitors to the Office.

  6. Adjudication of Issues

    The ombuds does not have the Authority to adjudicate, to impose remedies or sanctions, to compel others to impose remedies, or to enforce or change University policies or rules.

  7. Reporting

    Information provided by the ombuds to the Faculty Senate and the Provost will consist of a tally of approximate numbers of visits to the Office and reporting of the general nature of issues brought to the ombuds. Confidentiality of visitors will be scrupulously maintained, and no information that might lead to identification of any person, or any department, school or college will be made available in this report.

     

V. Retaliation for Using the Office of the Ombuds

The University and its agents will not retaliate against any individual for consulting with the Office. The ombuds will not be disciplined or removed from office, nor will the Office budget be reduced, for performing the duties of the Office in good faith.

 

VI. Appointment and Compensation of the Ombuds

The ombuds will be recommended by the Faculty Senate and appointed by the provost for a term of three years, which will be renewable. The search for a new ombuds will be handled by the Faculty Senate. 

The ombuds position is a volunteer service position. The Office of the Provost will provide $1500.00 per year in professional development funds. 

 

VII. Removal from Office

The ombuds may be removed from the ombuds position before the end of the term of office at the discretion of the Provost and Faculty Senate Chair with cause and will be informed in a timely way. If removal is made under this paragraph, the Faculty Senate will work to provide a timely replacement.

 

VIII. Relationship of the Ombud to the Grievance Procedure and to Campus Administrators

The ultimate goal of the ombuds is to resolve conflicts informally, so that complainants will not need to resort to filing a formal grievance. In order to protect the rights of the complainant and to encourage the use of informal conflict resolution, any time limitation on the filing of a grievance may, at the discretion of the complainant(s), be suspended so long as the ombuds is dealing with the matter. (For example, if a complainant has chosen to use the ombuds after 10 days from the time the event occurred and the time limit for filing a formal grievance is 90 days, they will still have 80 days to file a grievance after the ombuds has ceased to be involved.)

The terms of appointment of an ombuds should support as strongly as possible their independence and neutrality.

The ombuds shall work closely with the Office of Equity, Civil Rights, and Title IX (ECRT) when a case may involve any elements falling under the jurisdiction of the ECRT  Office. The ombuds may also work with the Office of Human Resources (HR), as appropriate.


 

[1] For purposes of this document, “the University faculty” includes instructors, assistant professors, associate professors, professors, and emeriti faculty of research, clinical, or tenure track, as well as librarians, archivists, and curators on the Dearborn campus.Cf. IV.A.1 below. The services of the ombuds are not available to faculty who are represented by a union. The faculty ombuds will direct LEO members to the LEO Dearborn Campus Grievance Officer, HR Office, or other appropriate LEO officer. 

 

[2] A visitor is any person who seeks the services of the ombuds.