UNIVERSITY OF COLORADODENVEROMBUDS OFFICE

2009 ANNUAL REPORT

Acknowledgements

The Ombuds Office wishes to acknowledge and thank the University of Colorado Denver community for their continued support. The success of the Ombuds Office greatly relies on individuals who voluntarily participate in efforts to addressissues, resolve conflicts, and deal with change. Their trust in our office’s abilities to confidentially assist in the management of conflict reflects the integrity of the University and its commitment to fairness, equity, and diversity.

A Year in Review: Annual Report at-a-Glance

Maintaining confidentiality is a key component of the office and therefore, individual case studies are not presented. This report will summarize the types of issues presented to the Ombuds Office and the assistance provided.

Between July of 2008 and the end of June of 2009, the office directly assisted approximately 371 people. This number represents an increase from last fiscal year, when we assisted 283 people. Approximately 2230 individuals received training, education, and/or conflict resolution information via workshops, seminars, new employee, new student, and new faculty orientation programs, and various campus organizational events.

The last half of the 08/09 fiscal year, the Ombuds Office experienced a 12% increase in visitors compared to the same time period of fiscal year 07/08. Issues related to performance evaluations and disciplinary actions paired with the poor economy account for this increase. Visitors expressed fears over losing jobs but also felt compelled to document and substantiate experiences, behaviors, as well as validate their positions, when different from their supervisors’.

Ombuds Office Recommendations

(For further explanation, please see pages 17-19.)

  • The Ombuds Office recommends a concerted effort be made to encourage the training and development of all university groups, most importantly leaders, managers, and supervisors in conflict management. The Office will contribute to this effort by discussing the idea of collaborating with Human Resources to advertise the conflict management workshops offered by our Office.
  • The Ombuds Office recommends the University utilize surveys and other instruments to discover problem areas. Indicators such as high turnover or excessive use of sick leave can signify a potential problem in a department. Other assessments that could be helpful are climate surveys or 360 evaluations. These assessments not only allow those in less-powerful positions to voice legitimate concerns, but provide an opportunity for supervisors and leaders to learn of areas in which to improve skills and leadership abilities.
  • It is our recommendation that supervisors become trained in the varied policies and procedures for the employees that comprise their unit.

Ombuds Office Overview

Introduction

The Ombuds Office is pleased to share the visitor and outreach program data for the 2008-2009 fiscal year. It is our intent to provide relevant statistics in a clear manner that will be useful to members of the University of Colorado Denvercommunity. We welcome your feedback and any suggestions to improve this document.

A Brief Background

TheOmbuds Office was created to provide neutral, confidential, informal, and independentservices to the students, staff, and faculty of the University of Colorado Denver. The Ombuds Office was created on the Downtown campus in 1989 and in 1998 on the Anschutz Medical Campus. The following Ombudsstaff the office:

  • Director of the Ombuds Office – Melissa Connell, JD
  • Associate Director of the Ombuds Office – Mary Chavez Rudolph, Ph.D
  • Ombuds & Lead Workshop Coordinator – Lisa Neale, MSS

In July of 2004, the Ombuds Office became the first unit to consolidate within UCD and HSC. TwoOmbuds Offices now exist to serve both campuses of UCDenver.

Mission

The mission of the office is to assist the University in providing a fair and equitable work and learning environment at the University of Colorado Denver. The office is available to all members of the community, including students, staff, faculty, residents, and any person associated with the University of Colorado Denver community. This includes extended members of the Anschutz Medical community: The Children’s Hospital, UniversityHospital, RoseMedicalCenter, National Jewish, and University Physicians, etc. The primary function of the ombuds is to assist individuals by exploring situations and providing information, generating options for problem solving, facilitating conversations between pairs and groups, and providing conflict management coaching when assistance is requested. The Ombuds Office also provides conflict management training to the university community.

The Four Cornerstones of the Ombuds Office:

Confidentiality, Independence, Informality & Neutrality

The Ombuds Office adheres to the Code of Ethics and Standards of Practice of the International Ombudsman Association, which are available at

Confidentiality. As Ombuds, we will not reveal confidences and identities of the individuals who consult with the Ombuds Office. All communications with the Ombuds Office are considered privileged, and only the Office may waive this privilege. The only exception to this would be those circumstances where the Ombuds believes there is an imminent threat of serious harm.

Independence. The Ombuds Office is a separate and distinct department and does not accept notice of any kind. The Ombuds Office does not keep records on behalf of the institution and information reported is strictly demographic and statistical in nature. We submit an annual report to the Chancellor and to the Chief of Staff.

Informality. The Ombuds Office operates outside the formal review, appeal, or grievance process. An ombuds may not participate in a formal process or procedure, which may include, but is not limited to, testifying on behalf of someone, appearing as a witness, or being present at a meeting where sanctions may occur.However, if,after consultation, a visitor wishes to know more about a formal process, an ombuds may gather information from the proper entity regarding relevant policies and procedures.

Neutrality. Ombuds are impartial and do not take sides when hearing a problem or concern. The ombuds is not a decision-maker and will not adjudicate, testify, or participate in any formal process. Our true client is fair process.

Assistance Provided by the Ombuds Office

Our staff provides assistance to visitors by meeting with them individually or in groups, contacting various entities on campus for information, facilitating discussions between disputing parties, and conducting conflict resolution training sessions.

Individual consultations comprise most of our staff’s time. In each consultation, the visitor is advised of services the Ombuds Office can provide, as well as what our office is unable to do (i.e., provide legal advise, advocacy, testimony, adjudication). Visitors are free to divulge information pertinent to their concern. The ombuds will assist the visitor by exploring interests, options, and discuss communication and other conflict management strategies - from a neutral perspective.

Mediations and facilitated conversations are common when two or more individuals are willing to meet and discuss possibilities for a better working relationship. The ombuds assists by insuring both parties are given equal time to communicate concerns and ideas, while remaining neutral in the dispute.

Contactswith such entities as Human Resources, Legal Counsel, Financial Aid, and Payroll and Benefitsare an integral piece of assisting visitors with concerns. Often, visitors are reluctant to contact various University units themselves, as their confidentiality may not be protected. The Ombuds Office is able to assist visitors in this manner by contacting such entities to gather information regarding pertinent policies and procedures. In addition, this contact provides us the opportunity to interact with a variety of individuals from around the university to discuss issues and concerns and promote systems-change within the University in the form of policy clarification, promotion of due process, and transparency.

Group trainings are becoming a regularly requested service from the Ombuds Office. Conducted by Mary Chavez Rudolph and Lisa Neale, trainings have been conducted on both of the University of Colorado Denver campuses. After assessing the needs of the constituents of each unit, the ombuds constructs a suitable training session that fosters positive communication and increases conflict management skills. Our office offers the following sessions: “Using Our Conflict Styles Wisely,” “Utilizing Mediation Skills in the Workplace,” “Teams: Utilizing Conflict Constructively,” “Conflict Management for Supervisors,” and DiSC Personality Assessments. Each session is described in detail both in our new training brochure, as well as on the Ombuds’ website.

Ombuds Office Data

Cases by Campus

Each case is initiated by an issue or complaint brought by an individual to the Ombuds Office. The case may be comprised of one individual or several and may include other parties in the conflict, as well as other University entities.

Cases for the twelve-month period were distributed as follows amongst the three Ombuds Offices:

Anschutz Medical Campus – 69%

Downtown Campus – 30%

9th and Colorado – 1%

Our 9th and Colorado office closed in July of 2008, which provided limited opportunity within the fiscal year to see visitors who remained on the closing campus.

Schools, Colleges and Departments Visiting the Ombuds Office

During the time period of July 2008 to June of 2009, the School of Medicine and the Academic schools on the Downtown Campus comprised the largest number of visitors. In order to avoid revealing any identifying factors, the totals for the School of Public Health and the School of Pharmacy have been combined, as have the numbers for UniversityHospital, The Children’s Hospital, The Veterans’ Administration, and University Physicians. The category “Other” includes unknown constituent affiliations. The breakdown is as follows:

Academic & Student Affairs (DC)24%

Academic Areas - Schools and Colleges (17%)

Student Services (7%)

School of Medicine (AMC)35%

Unknown (DC & AMC)11%

College of Nursing(AMC)3%

School of Dental Medicine4%

School of Pharmacy School of Public Health (AMC)4%

University Hospital, VA, UPI, TCH (AMC)4%

Research & Facilities (AMC)5%

Administration & Finance10%

Issues Brought to the Ombuds Office by Campus

The greatest number of issues presented to the Ombuds Office on all campuses involved supervisory and performance issues – this category includes grade concerns brought forward by students. Sub-issues within this category include performance evaluations, work assignments, the discipline process,allegedbullying by supervisors, and the appeal/grievance process.

The breakdown for the Downtown Campus consisted of the following issues:

Workplace Performance/Supervision31%

Interpersonal/Group 24%

Financial, Legal & Compliance15%

Policies, Procedures & Ethics11%

Services & Administration9%

Compensation & Benefits4%

Safety/Health Environment3%

Organizational Issues3%

The breakdown for the Anschutz Medical Campus & 9th Avenue consisted of the following issues:

Workplace Performance/Supervision66%

Interpersonal/Group 15%

Financial, Legal & Compliance7%

Safety/Health Environment4%

Services & Administration3%

Compensation & Benefits2%

Organizational Issues2%

Policies, Procedures & Ethics1%

Groups and Individuals Visiting the Ombuds Office

Constituents. The group utilizing the Ombuds Office the most on all campuses was staff.

The breakdown for the Downtown Campus consisted of the following groups:

Staff37%

Students23%

Faculty21%

Other/Unknown14%

Parent/Relative4%

PRA/PostDoc1%

The breakdown for the Anschutz Medical Campus & 9th Avenue consisted of the following groups:

Staff44%

Faculty23%

Other/Unknown14%

PRA/Post Doc8%

Students6%

Residents & Fellows5%

Residents and Fellows remain our least-served population, and are consistent with last year’s data. We continue to annually speak to residents and fellows at Graduate Medical Education functions in hopes of increasing this number.

Gender. The breakdown of genderfor all cases is as follows:

Male31%

Female65%

Unknown4%

Ombuds Office Outreach

Presentations

Approximately 2230University of Colorado Denver constituents obtained information about the office. The Ombuds Office regularly participates in new employee, new student and parent, and new faculty orientations. New employees to the institution are introduced weekly to the services offered at University of Colorado Denver and the Ombuds Office regularly participates inthese employee orientations. In addition, the Ombuds Office participated in several informational fairs for the fiscal year of 2008-2009 on the Downtown Denver Campuses in order to inform the community about the services provided.

Trainings

In addition to receiving information about the Ombuds Office, approximately 200 individuals (of the 2230 reported) received training around conflict resolution skills, conflict styles, or personality profiles. Both Mary Chavez and Lisa Neale conducted these workshops, which seek to improve basic conflict resolution skills of the participants.

Website and Email

Our website and use of email continue to be an effective communication tool for marketing the Office. Last fall, we were officially migrated to the new UC Denver address and are in the process of adoption of the new university design for our website. We continue to work with both IT Services and the Communication Department to make this transition a success. We are currently located on the web at

Resource Library

Our resource library continues to grow and includes training videos and books related to conflict resolution and management techniques, which employees may borrow. Our current library hosts approximately 50books and video resources available at each Ombuds Office. We will continue to expand our library as our budget permits.

Marketing – The Ombuds Office continues to advertise its services to the University of Colorado Denver community. Referrals to our office have increased and are an effective marketing tool, in addition to our more traditional approaches, (i.e., brochures, New Employee Orientations).

Professional Activities and Accomplishments for 2008/2009

Participation in National Conferences

All members of the Ombuds Officehave participated in the coordination and development of our national conferences. These activities include the organization of events, conducting workshops, and assisting in the administration of the conference. In the past two years, our conferences have been held in Boston and Montreal. Unfortunately, due to budget constraints, staff members of the Ombuds Office were not able to attend April’s conference in Montreal. This April, our conference will be held in New Orleans.

Participation in the International Ombudsman Association

All members of our office are affiliated with the International Ombudsman Association (IOA). Our Associate Director, Mary Chavez Rudolph, continues to serve as a significant contributor to our organization with her involvement on various committees. Mary has been a member of the IOA committee to develop a National Certification Program for Ombuds that will be implemented in 2010.

Professional Development

On a quarterly basis, the ombuds from higher education and corporate sectors in Colorado gather to meet in order to discuss trends and concerns regarding the profession. Recent discussions with this group have focused on efforts to present legislation regarding a shield law for Coloradoombuds. The University of Colorado DenverOmbuds Office hosts this event on a semi-annual basis.

Workshops in Arizona

Mary Chavez was again invited in March to conduct a workshop for the University of Arizona at Tucson on “Conflict Coaching”and for NorthernArizonaUniversityon “Bullying in the Workplace.” The purpose of these interactive workshops was to provide ombuds, faculty and administrators additional tools for conflict management.

Addressing the Needs for a Faculty Ombuds

The Ombuds Office continues to collaborate with members of the Faculty Affairs Committee to determine the viability and appropriateness of procuring an Ombuds for issues exclusive to faculty members of the University of Colorado Denver community.

Conflict Resolution Day

This nationally recognized event encourages entities around the country to raise awareness of alternative methods of resolving conflict. Drawing upon funds from the Roberta J. Steinhardt Foundation, the office co-sponsored an event with the Colorado Council of Mediators featuring the Native American Peace Group on the Tivoli Campus.

National Conference in Monterrey, California

Mary Chavez and Lisa Neale were invited again to present individual sessions at the California Caucus of College and UniversityOmbuds outside of Monterrey, California in November. Lisa Neale created and presented a workshop about the DiSC personality profile, a measure to assess basic behavioral tendencies and assists in minimizing conflict. Mary Chavez co-created and presented with Tom Sebok of the University of Colorado, Boulder Ombuds Office two workshops on Conflict Coaching and Workplace Conflict.

Employment Rights Compliance & Investigation Officer Search Committee

Due to the collaborative relationship between the Ombuds Office and this particular position,during the Spring of 2009, Melissa Connell agreed to sit on this Search Committee. She reviewed applications and interviewed 90+ individuals interested in this University position (formally known as the Sexual Harassment Officer). The committee was comprised of colleagues from a variety of University entities. Recommendations were shared with the Assistant Vice Chancellor of Human Resources, Kevin Jacobs, who had final decision-making authority.

Publication in Newsletter for the International Ombudsman Association

In June of 2009, Lisa Neale co-authored an article with Tom Sebok, Ombuds from UCBoulder, in our professional organization’s monthly newsletter. The article addresses the option of mediation in the Ombuds Office for supervisors seeking to resolve conflict in their unit. In many cases, mediation may not be appropriate, given the conflict, the power differential, and what the supervisor has or has not done. This work outlines important coaching questions for supervisors, and appeared in the August 2009 newsletter.

Future Plans for Fiscal Year 09/10

Establishing Contacts with Various Groups and Individuals throughout University of ColoradoDenver

As part of our one-year strategic plan, it is our continued goal to increase the awareness of the Ombuds office to the University of Colorado Denver community of our services by way of faculty meetings, new student and employee orientations. In addition, we will be conducting annual meetings with deans, unit leaders, and key members of the University community to review our annual report, discuss trends and ways to collaborate.