The Chancellor, with the advice and consent of the Faculty Senate Executive Committee, shall select a faculty ombudsperson. It is expected that the ombudsperson will be experienced in both alternative dispute resolution and university faculty affairs (including tenure, promotion, evaluation, dispute resolution, and governance), and he or she shall be responsible for facilitating informal conflict resolution at the request of faculty members. Specifically, the ombudsperson serves as a consultant for faculty members needing advice to resolve problems and may serve as an informal mediator if the faculty member has not started a formal appeal (i.e., general appeal or special appeal).

The faculty ombudsperson is not an advocate for either the faculty or UTC, but rather a supporter of fair practices and mutual respect, fostering probity and timeliness in the administration of campus policies and practices. Subject to the provisions of this Handbook, University policy, and the law, the ombudsperson will be guided by the International Ombudsman Association Code of Ethics. The ombudsperson’s responsibilities as set forth in this Handbook do not include grievances initiated by administrators, students, or staff. The ombudsperson is appointed under UTC’s human resources policies and procedures and is compensated as described in his or her appointment letter. The Chancellor, with the advice and consent of the Faculty Senate Executive Committee, shall renew the term of the ombudsperson.

5.2.1. Consultant Role

As a consultant, the ombudsperson acts as a resource for information on University policies, the faculty member’s rights and responsibilities, and procedures of appeal and due process. The ombudsperson helps faculty members decide how best to solve problems early and generally at the lowest levels. If the faculty member has initiated a formal appeal through a formal appeal process, he or she may continue to consult the ombudsperson for a neutral opinion and advice, but the ombudsperson is not permitted to participate actively in formal appeals. Except as required by law or University policy, consultations with the ombudsperson shall not be communicated to a third party unless the faculty member gives his or her permission or the faculty member brings an administrative complaint or legal action against the University or another University employee. For purposes of this Section 5.2.1. and Section 5.2.2. below, the term “administrative complaint” refers to a complaint filed with an administrative agency outside of the University such as the Equal Employment Opportunity Commission, the Tennessee Human Rights Commission, and the Office for Civil Rights within the Department of Education.

5.2.2. Mediator Role

As an informal mediator, the ombudsperson serves as a communication channel and dispute resolution facilitator. As used in this context, informal mediation is a flexible concept that may involve investigation by the ombudsperson and direct participation in the conflict resolution as well as the more traditional role of facilitating communication and conflict resolution. The ombudsperson’s mediation services do not supersede or replace appeals through the formal appeal processes, but they may be used before those processes are initiated. The ombudsperson is independent of both the faculty member and the administration. If a faculty member requests informal mediation by the ombudsperson, the ombudsperson has sole discretion as to whether a complaint warrants mediation and as to the manner in which any investigation and mediation is to be conducted. Mediation by the ombudsperson should involve only those employees or others with a need to be involved in either providing information or reaching a resolution. Except as required by law, the ombudsperson will not communicate with individuals not involved in the mediation process unless the faculty member gives his or her permission or the faculty member brings an administrative complaint or legal action against the University or another University employee.

The ombudsperson is not permitted to:

1. address matters subject to a special appeal procedure described in Section 5.4. below;
2. provide legal advice;
3. assist in problems that are unrelated to the University; or
4. represent a faculty member in a formal appeal procedure or hearing.

The ombudsperson does not make binding decisions for the University or overrule administrative decisions. Rather, the ombudsperson makes recommendations based upon his or her understanding of the situation, University policies and procedures, experience, and sense of fairness.

5.2.3. Relationship with the Faculty Senate

The Faculty Senate shall provide ongoing advice and assistance for the ombudsperson on the rules and policies applicable to University faculty. The ombudsperson shall issue a report to the Faculty Senate once each year on (a) the number of faculty members served; (b) the types of matters handled; (c) any recommended change to University or faculty rules or policies and the basis for the recommended change; and (d) any other matters that the ombudsperson or the Faculty Senate shall deem necessary or advisable in connection with their respective roles in faculty support and governance. The annual report of the ombudsperson shall not disclose any information that the ombudsperson is required to keep confidential in accordance with this section or ombudsperson best practices.