About Faculty Ombuds

The original word "ombudsman" has Scandinavian origins and was first used as a public office in Sweden. According to Doyle and O'Brien (2020), the term refers to "a person who has an ear to the people." In United States colleges and universities, this person is often referred to as an "agent for justice" within the complex institutional systems of higher education.

The faculty ombuds have no formal authority. However, they can carry out informal, early stage mediation and informally negotiate settlements in disputes. Some benefits of this informal facilitation include:

• Parties choosing their own solution to a problem
• Parties seeking common interests rather than bringing or defending against a charge of wrongdoing or policy violation
• Parties having the flexibility to reach creative solutions that a more formal proceeding may not allow

Ombuds may also identify systemic conflict, bringing to the administration's attention those practices, policies and aspects of university culture that appear to exacerbate tensions or create problems for faculty.

All faculty employed at the University of Nebraska-Lincoln have access to ombuds services. This includes faculty who are tenure-track, tenured, research, professors of practice, extension, lecturers, lecturer-Ts, postdocs and senior research associates. It does not include graduate teaching assistants or research assistants.

No. Using the services of the faculty ombuds is voluntary.

Appointments can be arranged by phone or email. Do not include confidential information in any messages.

No. Without the opportunity to discuss the situation or concern with the faculty member, understand essential details of the concern, and the potential outcomes the faculty member seeks, the ombuds cannot respond with suggestions, options, or strategies for potential action or resolution. The ethical principle of confidentiality for the ombuds and each visitor protects identity.

• Membership in the International Ombuds Association with continuous training in this practice
• Knowledge of university policies and procedures
• Extensive cross-campus experience
• Strong communication skills
• Ability to be objective and impartial

You should expect the ombuds to:

• Remain neutral
• Lay out options for resolving disputes
• Suggest efficient ways to communicate
• Assist you in being aware of policies and better understanding them

Only with your permission and only when doing so will help you resolve the concern.

You should not expect the ombuds to:

• Serve as an advocate for you or any individual
• Tell you what you must do
• File formal complaints
• Initiate formal enquiries
• Give legal advice

In a typical case, faculty members contact the ombuds to explains the problem from their own perspective. Sometimes the ombuds simply counsel faculty members, helping them to better understand the situation and to develop a strategy for dealing with it independently (i.e., without direct involvement of the ombuds).

If counseling alone is not sufficient, faculty members may authorize the ombuds to contact the other party or parties involved in order to get their perspectives on the matter and to see what possibilities there may be for a mutually acceptable resolution. In this way, the ombuds may practice 'shuttle diplomacy' to encourage them to consider various options. This can also be described as 'negotiation.'

When appropriate, and with the agreement of all parties, the ombuds may set up an in-person facilitation, in which the parties come together face-to-face and propose specific ways to deal with the problems that have been identified. The ombuds facilitate this process and take note of areas of agreement. Ideally, the parties work out a mutually agreeable solution at this phase of the process.

If the parties cannot reach a mutually satisfactory agreement, then the dissatisfied party or parties may file a formal grievance according to university policy. If this happens, the ombuds are no longer involved and the case moves forward through formal channels.

Upon review of the Ombuds Annual Reports of several universities similar in size and scope to the University of Nebraska-Lincoln, the faculty ombuds found the following complaints are the most commonly named, with interpersonal relations at the top for all institutions. The other categories are frequently identified, but not always in the same order.

• Interpersonal relations with colleagues, university staff, administrators
• Conflicts with colleagues, chair, associate dean, dean
• Salaries (including specific salary levels and equity issues)
• Tenure and promotion timing and procedures (not qualifications) and post-tenure review
• Workload
• Career development issues
• Scholarly misconduct questions and consultation

Generally, a faculty member works with one of the ombuds to support confidentiality and to keep the problem solving process moving forward smoothly. Exceptions can be made in individual cases. If a faculty member has worked with one and wishes to meet with the other, it is expected that the faculty member will discuss this with whom they are currently working. At times, the ombuds may work together or in sequence as a means to maintain momentum or to access skills that one believes the other has. In these cases, the faculty member will be consulted prior to such interactions taking place.

No.

No.

The ombuds are independent of all other offices on campus when they are serving in their role. Although the ombuds are university employees whose roles reside within the offices of the Executive Vice Chancellor and the IANR Vice Chancellor, their position description allows them to remain free from university interference when working to resolve your concern. They do not report information gained from individual faculty members to any administrator or faculty group, though they do discuss trends they observe on campus while being careful to protect confidentiality. The ombuds are neutral and do not represent your interests or the university's interests; their job is to help everyone involved find a fair resolution.

Employee Relations and Human Resources professionals assist managers and employees of the organization in establishing, following and applying Human Resources-related policies and procedures. They may conduct formal investigations, recommend modifying policies, accept formal notice of a claim on behalf of the organization, strategize regarding organizational options for engaging workplace problems, and ensure institutional compliance with legal requirements affecting employment. ER/HR professionals generally extend confidentiality to employees who come forward with issues with limited exceptions. Where confidentiality cannot be granted, the ER/HR professional will explain that to the employee. ER/HR professionals are not entirely neutral because they are part of the management structure and charged with the responsibility of representing and protecting the interests of the organization.

Ombuds provide informal assistance in surfacing and resolving issues. While they can recommend that an organization consider establishing or revising policy, ombuds play no formal role in enforcing or deciding to implement policy. Ombuds do not conduct formal investigations. However, they do assist in identifying or creating options for resolution, including referrals to formal channels with investigatory powers. Because they are not part of the management structure of the organization, ombuds do not accept notice for the organization and can extend near absolute confidentiality (except in the instance of imminent threat of serious harm, as jointly defined by the organization and the ombuds, at the discretion of the ombuds). Ombuds act as a neutral party and do not advocate for the individual, groups or the organization. The only advocacy role is for fairness and equity.

The roles of ombuds and ER/HR professionals are not competing roles; they are complementary. When the two functions work together in an effective partnership, they can yield tremendous benefit to an organization by maintaining an environment that encourages the use of multiple options to surface and resolve issues and to improve systemic policies and procedures.

The International Ombuds Association Standards of Practice and Code of Ethics is available on the IOA website.

Ombuds do not provide legal advice.

No. Ombuds work to manage conflict within an organization, whereas mediation is a specific process used for conflict resolution, often brought about through a formal mechanism in the university. Many ombuds are trained in and use mediation techniques as an approach to problem-solving and conflict management. Some ombuds write up a summary after parties have reached an agreement. However, faculty ombuds engage informally with faculty and will not retain written records for confidentiality reasons. If a written agreement is developed, others in the organization, such as the Human Resources department or a university administrator, may retain that document in a file for future reference by all parties involved.

No, but you can encourage that person to reach out to the ombuds.

Yes, the ombuds can attend faculty meetings to explain the services they offer.

You are not precluded from pursuing formal remedies and the ombuds are equipped to refer you to formal options if that is your wish.