AC76 Faculty Rights and Responsibilities (Formerly HR76)

POLICY'S INITIAL DATE: September 1, 1973

THIS VERSION EFFECTIVE: August 30, 2024

PURPOSE:

A. This policy defines the procedures to be followed when issues involving faculty rights and responsibilities have not been successfully resolved through the usual channels of administrative procedure by providing a mechanism by which a faculty member might petition the Committee on Faculty Rights and Responsibilities with respect to those issues. The scope of this right to petition, and the procedures to be used, are set out in this policy.

B. Disputes are best addressed through direct discussions among the parties to achieve a resolution. When such direct discussions fail to resolve the dispute, the parties should avail themselves of the ombuds (ombudsperson) process. All Penn State faculty members and administrators are strongly urged to make use of the Unit or University Ombuds as appropriate. Only when matters cannot be resolved through that process should the formal procedures described in this policy be used.

SCOPE:

A. This policy applies to decisions, actions, or inactions concerning a faculty member's conditions of employment that are believed to violate University policy or are otherwise manifestly unfair. The procedures apply to decisions, actions, or inactions, including those involving the application of a written or unwritten policy or standard practice, affecting a specific petitioner or petitioners. 

B. This policy also applies whenever an administrator seeks a committee judgment as to appropriate action toward a faculty member who, in their view, may be failing to meet their responsibilities.

C. The Committee on Faculty Rights and Responsibilities will consider only petitions which involve, as a direct party, full-time faculty members for issues related to their role as faculty members. 

D. When a faculty member is also an administrator, the Committee will only review conflicts arising from their role as faculty and will not review conflicts that arise from the administrative role. Requests for exceptions should be directed to the Senior Vice Provost.

E. Cases of substantive dispute involving the termination of tenured appointment for cause or for reasons of financial exigency or program elimination or revision, or the release of a faculty member during the provisional appointment period with less advance notice than that specified in University policy, shall be considered at a hearing by the Standing Joint Committee on Tenure under the "Committee Procedural Rules" described in Policy AC70 Dismissal of Tenured or Tenure-Eligible Faculty Members. 

F. Cases involving questions of ethics related to research and other scholarly activities will be referred to the Senior Vice President for Research (See Policy RP02).

G. Cases involving a claim of discrimination or sexual harassment will be referred to the Office of Equal Opportunity and Access.

H. Should a multipart petition be filed that includes claims of discrimination or harassment but also includes a grievance for which the Committee on Faculty Rights and Responsibilities is responsible, each reviewing body will conduct an independent investigation on those claim within its area of competence. 

I. If the Committee on Faculty Rights and Responsibilities determines that the Executive Vice President and Provost is the subject of the complaint, the role of the Executive Vice President and Provost will be assumed by the Senior Vice Provost. In such cases, all references in this policy to the Executive Vice President and Provost will be understood to refer instead to the Senior Vice Provost. 

J. All employees of the University are expected to cooperate fully with the Committee

CONCILIATION, UNIVERSITY RESOURCE SUPPORT MECHANISM, AND OMBUDS:

A. Ombuds are neutral University resources. Their fundamental objectives are to enhance stakeholder contributions to the University, respect rules and fair play by all, and where possible, help resolve matters informally. Where possible, and at the request of faculty or administrators, Ombuds work to enhance effective communication, avoid misunderstandings, and clarify issues and language in interactions between unit stakeholders, usually faculty and administrative interactions, before they evolve into disputes requiring recourse to the procedures set out in this policy. At the request of faculty or administrators, Ombuds are available to advise faculty and administrators respecting the range of potential courses of action, refine issues, and contribute to the positive operation of academic units under University rules, policies, and operating practices.

B. All full-time faculty members shall have access to the services of an Ombuds.

C. Without consultation with the University Faculty Ombuds, faculty members of each college and campus shall elect up to three people to serve as their Unit Ombuds.

1. Units seeking to elect more than one Ombuds shall put forward sound reasons to justify this request to the University Faculty Ombuds, who, in consultation with the Senior Vice Provost, may approve, deny, or modify the request.
2. Whether units have a single or multiple Ombuds, each must have an elected Alternate Unit Ombuds.
3. The terms of office for Unit Ombuds and Alternate Unit Ombuds shall be two years.
4. Exceptions to two-year terms will be considered by the University Faculty Ombuds in consultation with the Senior Vice Provost.
5. All full-time faculty members are eligible to be nominated and elected as Unit Ombuds and Alternate Unit Ombuds.
6. Procedures for the nominations and elections of Unit Ombuds will be determined by the units and set out in their Unit Constitutions and consistent with the provisions below. 

D. Duties of the University Faculty Ombuds:

1. Shall conduct duties as fully defined by Senate Standing Rules.
2. Shall coordinate the training of all college and campus Ombuds, and in consultation and coordination with the Senior Vice Provost, may arrange for training for administrative personnel.
3. Shall provide for the appropriate dissemination of information among the various college and campus Ombuds, in consultation with the Senior Vice Provost and members of University administration. 
4. Shall be the University-level contact for the various college and campus Ombuds.
5. May, in appropriate cases, serve as an Alternate Unit Ombuds.

E. Duties of the Unit Ombuds:

1. Clarify misunderstandings.
2. Advise faculty members and administrators as to available courses of action.
3. Assist in the informal resolution of issues.
4. Assure that appropriate department, college, and/or campus procedures are exhausted before referring the case to higher levels.
5. Consult with the University Faculty Ombuds.
6. Prepare a report of annual activities to be delivered to the University Ombuds and used to prepare the Annual Ombuds Report to the University Faculty Senate.

F. Duties of the Alternate Unit Ombuds:

1. Serve in the place of the primary Unit Ombuds when they are not available.
2. Serve in the place of the primary Unit Ombuds when they have a conflict of interest.
3. Assume the role of primary Unite Ombuds if they are unable to continue in that position.

G. Ombuds will not:

1. Hold hearings.
2. Exceed the role of neutral conciliator and advisor.
3. Substitute their judgment for that of appropriate administrative and/or faculty bodies.
4. Serve as counsel for either party to a complaint.

H. For those faculty not associated with an academic unit, or in cases where the appropriate Ombuds may be in doubt, the Unit Ombuds shall consult with the University Faculty Ombuds. Generally, an Ombuds from the academic unit to which the employee is most closely associated may be used, but subject to an assessment of an individual matter by the University Faculty Ombuds.

I. In cases where the Ombuds is in doubt as to their jurisdiction, they shall consult with the University Faculty Ombuds. The University Faculty Ombuds shall consult, as appropriate, with the Senior Vice Provost where there is doubt as to interpretation or other clarification is necessary. Such consultations are encouraged to ensure coordination of rule interpretation.

J. The University Faculty Ombuds or Ombuds-Elect may not serve on the Standing Joint Committee on Tenure, the Committee on Faculty Rights and Responsibilities, or the University Promotion and Tenure Review Committee.

COMMITTEE ON FACULTY RIGHTS AND RESPONSIBILITIES:

A. Establishment of the Committee:

1. The membership of the Committee on Faculty Rights and Responsibilities shall be twelve members elected by the Senate, consisting of eight faculty members and four members of the Academic Leadership Council who have signatory authority (through the college level) for promotion and tenure.
2. The faculty member group will consist of:
   1. A minimum of three employed on non-tenure-line contracts
   2. A minimum of three employed on tenure-line contracts
   3. A minimum of three from academic voting units at University Park
   4. A minimum of three from academic voting units other than University Park of which at least one will be employed on a non-tenure-line contract and at least two will be employed on tenure-line contracts.
3. Alternate members will be chosen as per the procedure described in the University Faculty Senate Standing Rules.
4. All members and alternates will have either earned or been hired with at least one level of promotion.

B. Operation of the Committee:

1. The Committee Chair shall be elected by the Committee from among its elected faculty members. The term of office will be for one year from July 1 through June 30.
2. The complaining party must first consult with an Ombuds and exhaust other available avenues of informal resolution before sending a complaint to the Committee on Faculty Rights and Responsibilities. 
3. The petitioner will have the obligation to introduce sufficient evidence, not otherwise refuted through the other party's evidence, to justify a decision in their favor.
4. The Committee shall not consider the substantive academic judgment aspects of such matters as promotion, tenure, compensation, and evaluation of performance.
5. The Committee on Faculty Rights and Responsibilities should attend to address petitioner concerns brought to it as quickly as possible without sacrificing fairness to all parties. Only in extraordinary circumstances should there be a time span longer than 90 days between the first meeting of the Committee about the petition and the final recommendations of the Committee to the Executive Vice President and Provost.
6. Members of the Committee partcipate with the understanding that all matters relating to their petition reviews and deliberations are confidential. Confidentiality is to be respected forever, not just during a particular year of review. 

C. The Initial Review Process:

1. For the Initial Review Process, petitioners will submit to the Committee a concise summary account of the problem using a submission process developed and maintained by the University Faculty Senate Office. (Please see Administrative Guidelines for instructions and a word limit for the summary.)
2. Upon receiving a petition, the Committee will meet as soon as practicable to conduct an Initial Review to determine whether the person has sufficient merit to warrant a Secondary Review.
3. The Committee will reserve the right to not take up a complaint that during the Initial Review Process it judges to be unsubstantial or without merit or where it appears that other remedies should be sought before coming to the Committee. The Committee shall consult with the Ombuds listed in the petition to determine whether an attempt has been made to resolve the issue.
4. To supply adequate time for members to thoroughly review the materials, the Senate Office must receive petitions at least fourteen days in advance of any scheduled Committee meeting to be considered at that meeting. When there are petitions to be reviewed, the Committee will meet at least monthly. Committee meeting dates will be published at the beginning of each academic year.

D. The Secondary Review Process:

1. If the committee decides a petition has sufficient merit to warrant further review, it will establish a Secondary Review Subcommittee with no fewer than two faculty members and one member of the Academic Leadership Council. It will elect one faculty member as subcommittee chair.
2. The petitioner, the Office of the Executive Vice President and Provost, the dean and/or chancellor, and the college or campus Ombuds shall be notified immediately after the Committee decides to accept the petition for Secondary Review.
3. Petitioners shall be given the opportunity to have an interview with the subcommittee.
4. Individuals responsible for actions identified by petitioners shall be given the opportunity to interview with the subcommittee.
5. As needed, the subcommittee may interview or question other parties to find the facts relating to the petition.
6. Interviews may be conducted in person or by telephone, video conference, hearing, or other method appropriate to the circumstances. The subcommittee will not make video or audio recordings of the interviews.
7. The subcommittee can address pertinent questions to all relevant parties by email or other appropriate methods.
8. All University employees must cooperate fully with the Secondary Review Subcommittee in a timely manner. 

E. The Final Committee Review Process:

1. In a Final Committee Review, the Committee shall meet to determine its conclusions and recommendations by a majority vote of those present and voting.
2. A quorum of the Committee will be a majority of those remaining after recusals, subjectg to a minimum of 50% of the Committee members. Members are expected to recuse themselves from a case only in the event of a potential conflict of interest or lack of impartiality. 
3. The voting group must consist of a majority of faculty members and at least one member from the Academic Leadership Council.
4. Upon completion of the review process, the Committee chair will send the Committee's recommendations to the Senior Vice Provost.

F. Decision of the Executive Vice President and Provost:

1. Upon receipt of the Committee's recommendation, the Senior Vice Provost will communicate it to the Executive Vice President and Provost for decision. 
2. If the Executive Vice President and Provost's decision is not in accord with the conclusions of the Committee, the reasons for that decision shall be specified to the Chair of the Committee on Faculty Rights and Responsibilities, who will inform the Committee and the parties directly involved. 

G. Notification of the Executive Vice President and Provost's Decision:

1. After receiving the conclusions and recommendations on a case, the Senior Vice Provost in consultation with the Executive Vice President and Provost of the University shall notify the parties directly involved, appropriate University administrative officers, and the Chair of the Committee on Faculty Rights and Responsibilities as to their decision. The Chair shall be responsible for informing the Committee on Faculty Rights and Responsibilities.

H. Report to the Senate:

1. At the first regular Senate meeting of each academic year, the Chair of the Committee on Faculty Rights and Responsibilities will present a general report of the Committee's activities.

I. AC76 Administrative Guidelines:

1. Administrative Guidelines for AC76, retained by the Senior Vice Provost, will be provided for this policy.

​UPDATES:

8/30/24 - Substantial edits per University Faculty Senate Advisory and Consultative Report, "Amendments to Policy AC76 Faculty Rights and Responsibilities."

2/28/24 - Changed "Office of Affirmative Action" to "Office of Equal Opportunity and Access".

12/2/21 - Made revisions to "Establishment of the Committee" section.

6/8/20 - Revised definitions of faculty due to revisions to AC21. Revised to use gender-neutral language. Added language for alternate ombudsperson. Added language to specify procedures for situations involving the Executive Vice President and Provost. 

9/19/19 - Changed Vice President for Research to Senior Vice President for Research

6/10/10 - Minor editorial adjustment to Operation of the Committee section.

10/20/09 - The Senate Committee on Committees and Rules voted to change the term of ombudsman to ombudsperson.