2014-2015 Report of the Office of the Ombudsman |
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October 20, 2015, Volume 62, No. 10 |
2014-2015 Report of the Office of the Ombudsman
Lynn Hollen Lees, University Ombudsman
The University of Pennsylvania has had an Office of the Ombudsman since 1971, after a Task Force on University Governance recommended that it be established. Organized to provide a place where members of the University community could bring complaints or concerns, it has functioned since that date to provide a confidential space for the discussion of problems and to explore options for their resolution. During the last 44 years, many new offices and services—such as the Penn Women’s Center, the Office of Student Conduct and the Office of Affirmative Action—have been organized in response to the needs of the students, faculty and staff. There are now multiple places where an individual can go with questions or complaints, and structures have been developed for the appeal of particular decisions. The Wharton School and the School of Veterinary Medicine have each appointed their own Ombudsman for matters within those schools. But the University’s Office of the Ombudsman remains the one central place where anyone in the Penn community can take grievances on any topic for an impartial discussion. Because we are independent from the organizational hierarchies of all of the schools and are overseen only by the President’s Office, we function as an autonomous unit, outside the normal administrative lines of responsibility. We remain neutral as we listen to the concerns of those who consult with us. We operate informally. Our office keeps neither the names of those who visit us nor written records of discussions because of our concerns about confidentiality.
The University Ombudsman has multiple roles. Our first responsibility is to listen and to work to understand the matters put before us. Although we do not conduct formal investigations, we are able to inquire throughout the University about issues raised. We can clarify University procedures and policies and help an individual explore a range of next steps. Only if given permission by those who consult us will we contact anyone against whom a complaint is made. With the consent of all the parties involved, we can arrange to mediate a conflict. The aim of our office is to settle disputes informally and to help individuals resolve problems that inhibit their ability to function effectively at Penn. While our office has no authority to impose resolutions on disputes, we can and do advocate for fairness and for consistency. Although we do not make or enforce policies, we are able to recommend to the administration the review of particular policies or procedures when we see a pattern of problems. Our office does not disclose any information shared with us without permission. The only exceptions to this commitment to confidentiality are: 1) if the information shared gives reasonable cause to believe that there is an imminent risk of serious harm to our visitor or someone else; or 2) we are required by law to disclose the information.
During the 2014-2015 academic year, our office served 137 visitors from all parts of the University; 43.1% were staff, 26.3% students, 22.6% faculty, 4.4% post-docs and 3.7% other. Although the problems raised by individuals are highly varied, as Table 1 outlines, over one-third of our discussions relate to conditions of employment. A range of individual concerns regarding promotion, pay, benefits and office climate are brought to our attention by individuals who either choose not to follow the traditional hierarchical structure, or who are dissatisfied with or reluctant to rely on it. Disputes between manager and employee or among the members of a work unit sometimes benefit from discussions with an outsider. University procedures are another area of concern common to both faculty and staff. University policies are not always communicated clearly or understood completely, and no policy always fits comfortably with the wide range of individual circumstances which it must cover. The timing, tone and style of a message can be as troubling as its content.
Another large cluster of issues brought to us concerns academic matters. Disputes over status in a program, treatment within a class or a lab, or research ownership are sometimes brought to our office. It can be difficult for students and post-docs in vulnerable positions to raise their concerns effectively with their direct supervisors. The Office of the Ombudsman offers a place where such issues can be explored in a confidential fashion.
Over the past 20 years, there have been changes in the issues presented to the Ombudsman for resolution. Since the classification system used by the office has changed little since the early 1990s, it is possible to compare the distribution of clients and of cases for the years 1992-1995, with those from the past three years, 2012-2015. While the proportion of cases brought by staff members has remained constant over time (42.9% and 42.7%), more faculty on average consult our office now (18.7%) than during the 1990s (8.6%). Because of overall growth in faculty size, this does not however represent an increased propensity among all faculty to consult with the Ombudsman. In contrast, undergraduates make up a smaller share of our visitors now (9.7%) than 20 years ago (16.8%). This is not surprising because of the wide range of administrative units whose work is geared to student concerns, such as the Office of Student Conduct, the various offices overseen by the Vice Provost for University Life, the Graduate Student Center and the Sexual Violence Investigative Officer. Appeals venues in the College now handle many of the procedural complaints that previously might have been brought to our office.
When the concerns brought to our office during the last three years are compared to those of the early 1990s, several changes can be identified. Most striking is the large increase in complaints about the inappropriate behavior of others. Protests about bullying or other forms of abusive treatment in the workplace have been brought by employees who feel aggrieved, and who either are unwilling to raise these issues with a supervisor or feel that their complaints have not been heard. Angry comments can tear apart the web of human relationships that supports the functioning of academic departments, business units, classes and research projects. Although conflict is inevitable in human relationships, it is escalated when the expectation of civility is violated. In contrast, the proportion of cases relating to University procedures, as well as their absolute number, has decreased, as have cases concerning promotion and pay. The existence of appeals procedures in the various schools and the Human Resources Division should help to explain the decline in this set of complaints. We hope that these changes reflect improved administrative practices.
Very few cases of alleged discrimination or sexual harassment have been brought to our office in the last several years. This can be explained in several ways, and one possible hypothesis is that the University over the years has created or expanded alternative services that promise a greater degree of confidentiality to those who feel victimized. Our office continues to explore ways to expand the blanket of confidentiality we can offer those involved in these episodes, including the alleged victim, the accused, bystanders, friends and anyone else who may be affected, either directly or indirectly, by the events.
During the past year, we have worked to broaden awareness of the Office of the Ombudsman through presentations to University committees and administrative units, as well as conversations with the Faculty Senate Tri-chairs and Senate Committees. Our availability to help individuals settle problems should be more widely known. We plan to continue these consultations across campus during the upcoming year. We wish to encourage Penn faculty, staff and students to raise concerns with us before they escalate to a level at which they become much more difficult to resolve.
The Office of the Ombudsman is located in 113 Duhring Wing, adjoining the Fisher Fine Arts Library in the center of the Penn campus, and it can be reached via phone at (215) 898-8261. Our website (www.upenn.edu/ombudsman/) gives additional information on the office and its activities. We reply to inquiries and schedule appointments promptly. Anyone requesting a consultation need not disclose his or her identity and may remain anonymous. To protect the privacy of individuals, walk-in visitors and electronic communications detailing issues or concerns are strongly discouraged. The University Ombudsman has traditionally been a faculty member, who works part-time for a term of two or three years. Continuity in the office is provided by a full-time Associate Ombudsman. Marcia Martinez-Helfman (who holds both JD and MSW degrees) joined our staff in 2011. Her expertise in mediation and in the area of staff relations has been invaluable to the office. Active in the International Ombudsman Association, she has helped our office align its procedures with best practices in the profession. Participation in the conferences and workshops sponsored by the International Ombudsman Association keeps our office in touch with our peers across the country and around the globe.
Provost Vincent Price recently launched a Campaign for Community, whose goal is to foster “constructive conversations about difficult issues.” We share this commitment and encourage all members of the University community to reexamine how we interact with one another.
Table 1
July 1, 2014-June 30, 2015 |
Total Number of Visitors: |
137 |
Visitors by Categories of Issues Raised: |
Academic, General |
10 |
|
|
Academic Integrity |
6 |
|
|
Academic Procedures |
23 |
|
|
Academic Research |
3 |
|
|
Employment, General |
49 |
|
|
Employment, Promotion |
6 |
|
|
Employment, Compensation |
1 |
|
|
Employment, Benefits |
1 |
|
|
Employment, Procedures |
7 |
|
|
Procedures, General |
8 |
|
|
Miscellaneous; Personal |
4 |
|
|
Financial Matters; Collections |
1 |
|
|
Student Services |
1 |
|
|
Abrasive/Abusive/Inappropriate Behavior |
17 |
|
|
Visitors by Categories of Status: |
Staff |
59 |
Monthly Paid |
|
48 |
|
Weekly Paid |
|
11 |
|
Faculty |
31 |
Arts & Sciences |
|
8 |
|
Dental Medicine |
|
3 |
|
Design |
|
2 |
|
Education |
|
1 |
|
Engineering & Applied Science |
|
3 |
|
Medicine |
|
9 |
|
Nursing |
|
3 |
|
Veterinary Medicine |
|
2 |
|
Post-Doctorates |
6 |
Students |
36 |
Undergraduate |
|
16 |
|
Arts & Sciences |
|
11 |
|
Engineering & Applied Science |
|
2 |
|
Nursing |
|
1 |
|
Not available |
|
2 |
|
Graduate and Professional |
|
20 |
|
Arts & Sciences |
|
7 |
|
Dental Medicine |
|
2 |
|
Design |
|
1 |
|
Education |
|
2 |
|
Engineering & Applied Science |
|
1 |
|
Law |
|
1 |
|
Medicine |
|
3 |
|
Wharton |
|
2 |
|
Veterinary Medicine |
|
1 |
|
Other |
5 |
Table 2
|
Avg. #
Cases 1992-1995 |
Avg. #
Cases 2012-2015 |
Avg. % of Cases 1992-1995 |
Avg. % of Cases 2012-2015 |
ISSUE |
|
|
|
|
Academic, General |
8.67 |
3% |
8.33 |
6% |
Academic Integrity |
4.67 |
2% |
5.33 |
4% |
Academic Procedures |
53.67 |
20% |
25.33 |
18% |
Academic Research |
0.00 |
0% |
1.00 |
1% |
Employment, General |
94.00 |
35% |
34.00 |
25% |
Employment,
Promotion/
Compensation |
5.67 |
2% |
6.33 |
5% |
Employment, Benefits |
2.00 |
1% |
2.33 |
2% |
Employment, Behavior |
0.00 |
0% |
15.33 |
11% |
Employment,
Procedures |
0.00 |
0% |
11.33 |
8% |
Procedures, General |
51.00 |
19% |
5.67 |
4% |
Miscellaneous;
Personal |
28.33 |
11% |
6.00 |
4% |
Financial Matters |
2.00 |
1% |
5.67 |
4% |
Student Services |
3.67 |
1% |
1.33 |
1% |
Discrimination |
0.00 |
0% |
2.00 |
1% |
Sexual Harassment |
8.33 |
3% |
0.00 |
0% |
Behavior |
0.00 |
0% |
7.33 |
5% |
Other |
4.00 |
2% |
0.00 |
0% |
TOTAL |
266.00 |
100% |
137.33 |
100% |
|
|
|
|
|
STATUS |
|
|
|
|
Faculty |
24.00 |
9% |
25.67 |
19% |
Staff |
Monthly Paid |
55.67 |
21% |
41.33 |
30% |
Weekly Paid |
59.00 |
22% |
17.00 |
12% |
Students–Graduate/Professional |
60.67 |
23% |
27.33 |
20% |
Students–
Undergraduate |
45.00 |
17% |
13.33 |
10% |
Post-Doctorates |
|
|
6.00 |
4% |
Residents |
|
|
0.67 |
0% |
Other (alumni, parents, former employees) |
21.67 |
8% |
6.00 |
4% |
TOTAL |
266.00 |
100% |
137.33 |
100% |
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