SPP 904: University Ombudsperson Committee Guidelines

To improve the quality of the university’s working life as it is experienced by faculty, academic and service professionals, classified and administrative staff, students, and members of the public by working in both a proactive and responsive manner to facilitate the resolution of problems

University Ombudsperson Committee

Classified, service professional, and administrative employees

Individual committee members, serving as ombudspersons, shall use skills to facilitate problem resolution between disputing parties as appropriate. Certain proposed personnel actions, such as proposed suspension without pay, demotions, or involuntary terminations, may be mediated prior to the required hearing that precedes the action. However, if a hearing before a university hearing officer has occurred and the proposed decision has been sustained, it is then a management prerogative to proceed with the employee action.

Ombudspersons are not empowered to change a decision, but through their efforts to clarify matters information may emerge to assist in the resolution of the dispute. All information given to an ombudsperson is confidential.

The University Ombudsperson Committee is composed of individuals representing the academic and student affairs vice presidential areas, academic and service professionals, faculty, and classified staff and administrative employees. The president of the Academic Senate, the president of the Classified Staff Council, and the president of Associated Students of ASU (ASASU) also serve as ex officio members of the committee.

Selection/Appointment of Members

Except for ex officio members, members of the committee are nominated by the campus units represented and appointed by the president.

Chair

The committee chair is appointed by a presidential appointee.

Committee members provide information and, if needed, an informal means of problem resolution to individual employees, students, and members of the public who have problems working with the university or who are involved in disputes. Ombudspersons may use mediation or other problem-solving techniques to facilitate communication or problem resolution between disputing parties.

Ombudspersons and their telephone numbers are listed in the ASU Directory, in the current ASU Roster of Boards, Committees, and Councils, and in the Schedule of Classes. In addition, University Ombudsperson Committee posters are placed strategically throughout the campus.

Mediation may be requested by any individual requiring informal assistance in the resolution of a complaint at the department or college level. The ombudsperson will mediate, conciliate, and coordinate communication activities between the disputing parties and others related to the complaint, if the parties agree voluntarily to the ombudsperson’s involvement. The purpose of this process is to air the complaint and resolve it to the satisfaction of both parties without resorting to formal hearings.

If the complaint alleges illegal discrimination, including sexual harassment, the ombudsperson will immediately refer the complainant to the Office of Diversity, Human Resources, for appropriate action. (The EO/AA policies now reside in the Academic Affairs Policies and Procedures Manual. For information about complaints of discrimination, see ACD 403, “Procedures for Resolving Complaints of Unlawful Discrimination” and ACD 404, “Board on Equal Opportunity.”)

Employees seeking mediation should first refer to other appropriate policies to determine the time frame within which one may seek redress through a formal grievance process. To determine the time frame for filing a grievance, see the applicable grievance policy, SPP 901, “Grievance Process,” or ACD 403, “Procedures for Resolving Complaints of Unlawful Discrimination.”

If an individual elects to use the mediation services of an ombudsperson, he or she shall file a request for mediation services with the ombudsperson within 30 days of the occurrence prompting the complaint. The request for mediation services must include the following information:

1. the names, addresses, and telephone numbers of the disputing parties
2. the date the dispute arose
3. the department, college, or unit involved
4. a brief statement setting forth the issues in dispute

   and

5. the remedy desired.

The ombudsperson shall forward copies of the complaint and this policy to the disputing parties within seven days after receiving the request.

The respondent(s) shall have 15 days to submit a written response to the ombudsperson. Before responding, respondent(s) who are unfamiliar with the mediation process are encouraged to contact the referring ombudsperson for information about mediation, within the 15-day time frame.

The respondent’s response must contain:

1. the name, address, and telephone number of the respondent

   and

2. a brief statement of the respondent’s position.

The ombudsperson will coordinate meetings and/or the exchange of correspondence between the disputing parties. The ombudsperson shall establish the time, date, and place of each meeting, giving at least 48-hours’ notice. The ombudsperson also may meet with each party individually.

All mediation meetings shall be held in closed session and shall be confidential.

After receiving written statements from the disputing parties, the ombudsperson shall have 30 days in which to assist in resolving the conflict to the mutual satisfaction of the parties involved.

If a mutually satisfactory resolution results from the mediation, the process ends.

If the ombudsperson:

1. has received the complaint and the response

   and

2. has met each party at least once

   but

3. believes that the matter cannot be mediated

the ombudsperson may terminate mediation. The complainant may then follow the applicable grievance procedure if he or she wants to pursue the grievance. (See SPP 901, “Grievance Process.”)

If mediation has been completed and the grievant disagrees with the ombudsperson’s determination, the grievant may initiate the formal grievance procedure within 30 days of receipt of an ombudsperson’s report, if the matter is grievable. (See SPP 901, “Grievance Process.”)

If the matter proceeds to a formal hearing, the ombudsperson shall not disclose any matter discussed during mediation proceedings. All information received by the ombudsperson during the mediation process will be confidential and records created or received will not be released by the ombudsperson. Ombudspersons shall not testify or provide statements about cases in which they were involved to grievance or other committees or hearing boards.

Whether or not mediation is successful, the mediation process culminates in a written report prepared by the ombudsperson and sent to the parties within 10 days after the mediation process has ended. The report shall contain the following:

1. the names of the disputing parties
2. the length of time mediation was attempted
3. the outcome of the mediation process
4. notice that the complainant, if dissatisfied with the result of the completed mediation process after receiving the ombudsperson’s report, has a right to file a formal grievance within the time period specified by the appropriate policy

   and

5. the names and office addresses of the individuals with whom a formal grievance should be filed, if the issue is subject to grievance under university policy and if the complainant chooses to file a grievance.

For related information, see SPP 901, “Grievance Process.”

For additional information, see the Academic Affairs Policies and Procedures Manual—

1. ACD 401, “Equal Opportunity/Affirmative Action”
2. ACD 403, “Procedures for Resolving Complaints of Unlawful Discrimination”

   and

3. ACD 404, “Board on Equal Opportunity.”

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