11. Faculty Rights, Duties, And Responsibilities

11.1 Academic Freedom

The University is committed to the principle of academic freedom. This principle acknowledges the right of a teacher to explore fully within the field of assignment and to give in the classroom and elsewhere such exposition of the subject as the teacher believes to represent the truth. This principle also includes the right of a member of the academic staff of the University to exercise in speaking, writing, and action outside the University the ordinary rights of a citizen, but it does not decrease the responsibility which the member of the academic staff bears to the University, the State, and the Nation. When a member of the academic staff is not officially designated to represent the University, the staff member must indicate clearly that they are speaking as an individual citizen.

Among the many implicit responsibilities which must be assumed by those enjoying the privileges of academic freedom shall be that of refraining from insisting upon the adoption by students or others of any particular point of view as authoritative in controversial issues

[Board of Supervisors of Louisiana State University and Agricultural and Mechanical College. (10/4/18). Bylaws (Article X, Section 2). https://www.lsu.edu/bos/docs/bylaws-adopted-2018-10-04.pdf]

Allegations that the academic freedom or other rights of a faculty member have been violated are to be settled according to the procedures outlined in Section 11.12 on the Faculty Appeals Process in this Handbook.

[LSUHSC-S]

11.2 The Statement of Professional Ethics

The “Statement on Professional Ethics” promulgated by the American Association of University Professors is a reminder of the variety of obligations assumed by all members of the academic profession. This Statement, which has been adopted as the Statement of Ethics for the Health Sciences Center, is as follows:

1. Professors, guided by a deep conviction of the worth and dignity of the advancement of knowledge, recognize the special responsibilities placed upon them. Their primary responsibility to their subject is to seek and to state the truth as they see it. To this end, professors devote their energies to developing and improving their scholarly competence. They accept the obligation to exercise critical self-discipline and judgment in using, extending, and transmitting knowledge. They practice intellectual honesty. Although professors may follow subsidiary interests, these interests must never seriously hamper or compromise their freedom of inquiry.
2. As teachers, professors encourage the free pursuit of learning in their students. They hold before them the best scholarly and ethical standards of their discipline. Professors demonstrate respect for students as individuals and adhere to their proper roles as intellectual guides and counselors. Professors make every reasonable effort to foster honest academic conduct and to ensure that their evaluations of students reflect each student’s true merit. They respect the confidential nature of the relationship between professor and student. They avoid any exploitation, harassment, or discriminatory treatment of students. They acknowledge significant academic or scholarly assistance from them. They protect their academic freedom.
3. As colleagues, professors have obligations that derive from common membership in the community of scholars. Professors do not discriminate against or harass colleagues. They respect and defend the free inquiry of associates, even when it leads to findings and conclusions that differ from their own. Professors acknowledge academic debt and strive to be objective in their professional judgment of colleagues. Professors accept their share of faculty responsibilities for the governance of their institution.
4. As members of an academic institution, professors seek above all to be effective teachers and scholars. Although professors observe the stated regulations of the institution, provided the regulations do not contravene academic freedom, they maintain their right to criticize and seek revision. Professors give due regard to their paramount responsibilities within their institution in determining the amount and character of work done outside it. When considering the interruption or termination of their service, professors recognize the effect of their decision upon the program of the institution and give due notice of their intentions.
5. As members of their community, professors have the rights and obligations of other citizens. Professors measure the urgency of these obligations in the light of their responsibilities to their subject, to their students, to their profession, and to their institution. When they speak or act as private persons, they avoid creating the impression of speaking or acting for their college or university. As citizens engaged in a profession that depends upon freedom for its health and integrity, professors have a particular obligation to promote conditions of free inquiry and to further public understanding of academic freedom.

[American Association of University Professors Statement on Professional Ethics (2009). https://www.aaup.org/report/statement-professional-ethics]

Health Sciences Center faculty members are also expected to adhere to other professional codes of ethics related to their disciplines.

[LSUHSC-S]

11.3 LSUHSC-S Code of Conduct

The LSUHSC-S Code of Conduct provides the guiding standards for the decisions and actions of employees and affiliates. Although this Code can neither cover every situation in the daily conduct of the many varied activities nor substitute for common sense, individual judgment or personal integrity, it is the duty of each employee and affiliate of LSU Health Shreveport to adhere, without exception, to the principles set forth herein, and comply with the terms of this Code of Conduct.

All employees and affiliated professionals of LSUHSC-S shall conduct all activities in a manner that will promote integrity and compliance while practicing sound, ethical, and professional judgment.

All employees and affiliated professionals of LSUHSC-S shall abide by regulations set forth by the state and federal healthcare programs and their appointed agents in conjunction with the policies and procedures established by the institution.

All employees and affiliated professionals shall prepare complete and accurate medical records, financial information, and bills.

All employees and affiliated professionals shall report suspected non-compliant behavior that violates any statute, regulation, or guideline applicable to a state or federal healthcare program or HSC policies. All reports are confidential.

All employees have the right to remain anonymous. LSUHSC-S will not retaliate upon any employee that reports suspect behaviors in any form or fashion.

All employees shall attend and/or complete the mandated annual training requirements. All employees shall participate in reviews, investigations, or audits whether conducted by an internal or external agency.

All employees shall refuse any type of illegal offers, remuneration, or payments to induce referrals or preferential treatment from a third party.

All employees shall disclose to the Compliance Officer any information received from the state or federal healthcare programs or their agents.

All employees shall adhere to the Code of Conduct as a condition of employment at LSUHSC-S. All employees and affiliated professionals can be suspended, terminated, or barred from further employment or affiliation with the HSC as a result of non-compliant behavior.

[LSUHSC-S. Code of Conduct. https://resources.finalsite.net/images/v1560889236/lsuhscshreveportedu/jdfftravejugbsy5ojqb/CodeofConductExtranet2 019.pdf]

For more information, visit the LSU Ethics, Integrity, and Misconduct Helpline at the following URL: https://secure.ethicspoint.com/domain/media/en/gui/40897/index.html

11.4 Compact Between Teachers And Learners of Medicine

Preparation for a career in medicine demands the acquisition of a large fund of knowledge and a host of special skills. It also demands the strengthening of those virtues that undergird the doctor/patient relationship and that sustain the profession of medicine as a moral enterprise. This Compact serves both as a pledge and as a reminder to teachers and learners that their conduct in fulfilling their mutual obligations is the medium through which the profession inculcates its ethical values.

GUIDING PRINCIPLES

DUTY: Medical educators have a duty, not only to convey the knowledge and skills required for delivering the profession’s contemporary standard of care, but also to inculcate the values and attitudes required for preserving the medical profession’s social contract across generations.

INTEGRITY: The learning environments conducive to conveying professional values must be suffused with integrity. Students learn enduring lessons of professionalism by observing and emulating role models who epitomize authentic professional values and attitudes.

RESPECT: Fundamental to the ethic of medicine is respect for every individual. Mutual respect between learners, as novice members of the medical profession, and their teachers, as experienced and esteemed professionals, is essential for nurturing that ethic. Given the inherently hierarchical nature of the teacher/learner relationship, teachers have a special obligation to ensure that students are always treated respectfully.

COMMITMENTS OF FACULTY

• We pledge our utmost effort to ensure that all components of the educational program for medical students are of high quality.
• As mentors for our students, we maintain high professional standards in all of our interactions with patients, colleagues, and staff.
• We respect all students as individuals, without regard to gender, race, national origin, religion, or sexual orientation; we will not tolerate anyone who manifests disrespect or who expresses biased attitudes towards any student.
• We pledge that students will have sufficient time to fulfill personal and family obligations, to enjoy recreational activities, and to obtain adequate rest; we monitor and, when necessary, reduce the time required to fulfill educational objectives, including time required for “call” on clinical rotations, to ensure students’ well being.
• In nurturing both the intellectual and the personal development of students, we celebrate expressions of professional attitudes and behaviors, as well as achievement of academic excellence.
• We do not tolerate any abuse or exploitation of students.
• We encourage any student who experiences mistreatment or who witnesses unprofessional behavior to report the facts immediately to appropriate faculty or staff; we treat all such reports as confidential and do not tolerate reprisals or retaliations of any kind.

COMMITMENTS OF STUDENTS

• We pledge our utmost effort to acquire the knowledge, skills, attitudes, and behaviors required to fulfill all educational objectives established by the faculty.
• We cherish the professional virtues of honesty, compassion, integrity, fidelity, and dependability.
• We pledge to respect all faculty members, all students, residents and staff as individuals, without regard to gender, race, national origin, religion, or sexual orientation.
• As physicians in training, we embrace the highest standards of the medical profession and pledge to conduct ourselves accordingly in all of our interactions with patients, colleagues, and staff.
• In fulfilling our own obligations as professionals, we pledge to assist our fellow students in meeting their professional obligations, as well.

11.5 Statement on Professionalism

Approved: 07-16-2021

1. Statement - Professionalism is the basis of medicine’s contract with society. It demands placing the interests of patients above those of the physician, setting and maintaining standards of competence and integrity, and providing expert advice to society on matters of health. [ABIM Foundation, Medical Professionalism in the New Millennium: A The Physician Charter, 2005, https://abimfoundation.org/what-we-do/physician-charter]
   
   Professionalism is a core value of the Louisiana State University Health Sciences Center at Shreveport (LSUHSC-S) and is instilled in all institutional activities. It is a principal competency in medical education, validated by the Liaison Committee on Medical Education (LCME) and the Accreditation Council for Graduate Medical Education (ACGME). The LSUHSC-S School of Medicine’s Education Program Objectives are aligned with LCME Standards and ACGME Competencies and integrate various aspects of professionalism accordingly.
   
   Professionalism involves relationships and interactions between all those involved in medical education and the delivery of patient care including learners, faculty, and staff at all locations. It also pertains to research endeavors and collaborations with for-profit companies, not-for-profit organizations, governmental agencies, and other outside entities. Professional behavior is transferable to all facets of an individual’s life, including behavior during curricular and extracurricular activities.
   
   Medical students are expected to develop and exhibit the following humanistic qualities that are essential to the practice of medicine:
   • ​Accountability: Demonstrate personal responsibility and self-awareness (e.g., accepting a commitment to service; accepting consequences of one’s behavior; admitting mistakes and learning from them)
   • Compassion: Display empathy; listen attentively and respond humanely to the needs of patients
   • Conscientiousness: Demonstrate a high degree of dependability by taking initiative, meeting commitments, approaching work carefully, completing tasks thoroughly, asking for help when needed, and accepting responsibility for mistakes
   • Duty: Complete assigned duties; set and achieve realistic goals; follow policies; respond promptly when called; accept inconvenience in meeting the needs of patients; advocate the best possible care regardless of ability to pay; volunteer one’s skills and expertise for the welfare of the community; seek active roles in teaching and professional organizations
   • Excellence: Aspire to exceed expectations by setting high standards, establishing goals for personal improvement, and striving to continuously learn and share products of that learning with others
   • Integrity: Demonstrate the highest standards of integrity, ethical behavior, and exemplary moral character (e.g., trustworthiness, academic honesty, discretion/confidentiality, personal conduct, appropriate dress, and organizational citizenship)
   • Life-long Learning: Commit to providing the highest quality of health care through lifelong learning, education, and reflection
   • Respect: Treat patients, their families, and other professional colleagues with dignity; show respect for patient privacy and autonomy; value diverse perspectives and talents; display sensitivity and responsiveness to a diverse society
   • Social Responsibility: Demonstrate unselfish regard for others (altruism); advocate for quality in the care of patients; recognize and address the social determinants of health as applies to patients and communities; advocate for reducing disparities in health care
   • Teamwork: Collaborate with others to achieve a common goal; show concern for and provide assistance and support to others; interact dutifully; respect authority
2. Purpose - The purpose of this statement is to define explicit and appropriate professional behaviors.
3. Scope - This statement applies to medical students, faculty, residents/fellows, and staff at all locations.
4. Implementation -
   
   Admissions
   Teaching students about important attributes of professional behavior begins with the admissions process. In the technical standards for admission to the School of Medicine (which all students must acknowledge receipt before matriculation), expectations for professional behavior are declared as follows:
   
   “Candidates must possess the emotional health required for full use of their intellectual abilities, the exercise of good judgment, the prompt completion of all responsibilities attendant to the diagnosis and care of patients, and the development of mature, sensitive and effective relationships with patients. […] Compassion, integrity, concern for others, interpersonal skills, interest, and motivation are all personal qualities that shall be assessed during the admissions and education processes.”
   
   Orientation
   Orientation includes multiple events that reinforce professionalism. A session on the School of Medicine’s Student
   Code of Conduct outlines the standards of conduct expected of students; students acknowledge receipt of the Student Code of Conduct, which is placed in their permanent file. Additionally, the Office of Student Affairs gives talks on professionalism, the learning environment, and reporting concerns or violations of professionalism.
   
   White Coat Ceremony
   During the White Coat Ceremony, students take an oath to uphold professional standards founded on highest standards of integrity, ethical behavior, and exemplary moral character as they advance toward full participation in the profession of medicine.
   
   Coursework
   The School of Medicine provides formal instruction on and assesses expected aspects of professional behavior as students progress through the entire curriculum.
   
   Gold Humanism Honor Society
   LSUHSC-S School of Medicine has a chapter of the Gold Humanism Honor Society for which students are nominated by their peers for exemplary professionalism. This recognition occurs in a ceremony, is announced in a school-wide communication, and appears in the graduation program.
    
5. Assessment - Assessment of professional behaviors in students occurs regularly throughout the four-year curriculum. The pre-clerkship curriculum provides many opportunities to observe and evaluate professional behavior (e.g., classroom, OSCEs, laboratories, small group, exams, etc.). In all the clerkships, objectives for professional behavior are explicitly expressed, and a significant element in each clerkship evaluation form addresses professionalism.

11.6 Student-Teacher Consensual Relationship Policy

The integrity of the teacher-student relationship is the foundation of the LSU Health Sciences Center- Shreveport’s educational mission. This relationship vests considerable trust in the teacher, who, in turn, bears authority and accountability as a mentor, educator, and evaluator. The unequal institutional power inherently vested in the faculty heightens the vulnerability of the student and the potential for coercion. The pedagogical relationship between teacher and student must be protected from influences or activities that can interfere with learning and personal development or create a perception of impropriety. Sexual or amorous relationships between teacher and student create the potential for coercion, jeopardize the integrity of the educational process by creating a conflict of interest and may impair the learning environment for other students. Further, such situations may expose the School of Medicine and the teacher to liability for violation of laws against sexual harassment and sex discrimination.

Students are particularly vulnerable to the unequal institutional power inherent in the teacher-student relationship and the potential for coercion, because of their age and position in a high-stakes, highly competitive educational setting. Therefore, no teacher who has any type of faculty appointment shall have a sexual or amorous relationship with any student. Likewise, no graduate student, postdoctoral fellow, or physician in a residency or fellowship training programs shall have a sexual or amorous relationship with any student they are currently teaching or supervising. In the case in which a teacher has a relationship that predates the entry of the other partner into LSU Health Sciences Center Shreveport schools or residency/post graduate training, the partner who has the role of teacher must not directly supervise, grade or evaluate the partner who has the role of student throughout the period of his/her matriculation. Teachers or students with questions about this policy are advised to consult with the department chair, the Associate Dean for Student Affairs, or one of his designees. If an alleged violation of this policy cannot be resolved satisfactorily at the departmental level, a student may lodge a complaint with the Associate Dean for Academic Affairs of the School of Medicine or his designee. Violations of the above policies by a teacher will normally lead to disciplinary action.

The faculty member’s right of defense and due process shall be as stated in the faculty handbook section 10.3.2. This section covers all rights including those of appeal to the Dean and Chancellor.

For purposes of this policy, “direct supervision” includes the following activities (on or off campus): course teaching, examining, grading, advising for a formal project such as a thesis or research, supervising required research or other academic activities, serving in such a capacity as course or clerkship director, Department Chairperson or Dean, and recommending in an institutional capacity for admissions, employment, fellowships or awards. “Teachers” includes, but is not limited to, all tenured and non-tenured faculty of the University. It also includes graduate students and postdoctoral fellows, and physicians in residency and fellowship training programs, with respect to the students they are currently teaching or supervising. “Students” refers to those enrolled in the curriculum of the School of Medicine, School of Graduate Studies, and School of Allied Health. Additionally, this policy applies to members of the LSU Health Shreveport community who are not teachers as defined above, but have authority over or mentoring relationships with students, including supervisors of student employees, advisors and directors of student organizations, as well as others who advise, mentor, or evaluate students.

11.7 Violation of Statements, Codes, and Policies of Ethics and Conduct

In the event that a faculty member is accused of violating the Statement of Professional Ethics (Handbook Section 11.2), the Code of Conduct (Handbook Section 11.3), the Compact between Teachers and Learners of Medicine (Handbook Section 11.4), or the Student-Teacher Consensual Relationship Policy (Handbook Section 11.5), the following process will occur:

1. The faculty member will receive a written statement of the charges, including a list of the names of all witnesses, delivered by certified U.S. mail.
2. The faculty member charged will have the opportunity to obtain copies of all documentary and other available evidence.
3. The faculty member, if he desires, will have an opportunity to prepare and to present a defense to the charges in a hearing before an impartial ad hoc committee appointed by the Dean of the School. The intent to present a defense must be submitted to the Dean in writing within ten (10) working days of receipt of the written statement of charges.
4. The ad hoc advisory committee will consist of three tenured faculty members and shall be advisory to the Dean. This committee shall establish a procedure for the investigation. After hearing all evidence, the committee shall make a determination to the Dean as to whether the charges are substantiated by the evidence. Legal counsel is not permitted at the hearing. Committee findings and all documentation shall be forwarded to the Dean. In the event that the faculty member is found to have violated the Statement, the committee will also forward to the Dean recommendations for sanctions.
5. If the Dean, upon review of the matter and taking into account the ad hoc committee recommendation(s), finds that the faculty member has violated the Statement, the Dean shall inform the faculty member of such a decision in a letter sent by certified U.S. mail. Included in the letter will be sanctions to be imposed, if  any.
6. In the letter, the faculty member will also be informed that he may initiate an appeal based on the Faculty Appeals Policy found in Handbook Section 11.11. The faculty member, if terminated, may initiate an Appeal of Termination for Cause (Handbook Section 10.3.2) only on the grounds of violation of due process.
7. The faculty member may accept the decision of the Dean or may elect to appeal. The faculty member’s decision to appeal must be submitted in writing within ten (10) working days after receipt of the Dean’s letter.
8. The appeal, if allowed, will follow the process of the Faculty Appeals Policy found in Handbook Section 11.11.

[LSUHSC-S]

11.8 Duties and Responsibilities of the Faculty

Each member of the academic staff is expected to be devoted to the accomplishment of the purposes for which the University exists: instruction, research, and public service. Those members of the academic staff who comprise the faculty of the University are charged to determine the educational policy of the University through deliberative action in their respective units and divisions.

[Board of Supervisors of Louisiana State University and Agricultural and Mechanical College. (10/4/18). Bylaws (Article X, Section 1). https://www.lsu.edu/bos/docs/bylaws-adopted-2018-10-04.pdf]

The faculty or Faculty Council (the terms “faculty” and “Faculty Council” are used interchangeably in this Section) shall establish curricula, fix standards of instruction, determine requirements for degrees, and generally determine educational policy, subject to the authority of the Board. Except as otherwise provided, each faculty shall establish its own educational policies. It shall, within the framework of the educational policy of the University, have legislative power over all matters pertaining to its own meetings and may delegate its own authority to an elected Senate and/or to standing committees, whose authority shall be limited to matters which are proper to the faculty and which have been specifically delegated by the faculty. It shall make recommendations for the granting of degrees through its respective colleges or schools not within a college.

[Board of Supervisors of Louisiana State University and Agricultural and Mechanical College. (10/4/18). Regulations (Article I, Section 2.B). https://www.lsu.edu/bos/docs/regulations-changes-for-2018.pdf]

11.8.1 Responsibilities of the Faculty

It is a basic principle that every member of the academic staff of whatever rank shall at all times be held responsible for competent and effective performance of appropriate duties. No principle of tenure shall be permitted to protect any person from removal from a position after full and careful investigation, according to procedures of due process, has revealed that the person has not met and does not give promise of meeting the responsibilities of the position.

[Board of Supervisors of Louisiana State University and Agricultural and Mechanical College. (10/4/18). Bylaws (Article X, Section 5). https://www.lsu.edu/bos/docs/bylaws-adopted-2018-10-04.pdf]

11.8.2 Principal Occupation

Each full-time faculty member is expected to foster the mission of the Health Sciences Center as his principal occupation. Faculty members owe their professional activities to the Health Sciences Center in proportion to their appointment obligation.

Employment activities outside the Health Sciences Center are governed by LSU Permanent Memorandum 11 (https://www.lsu.edu/administration/policies/pmfiles/pm-11.pdf) and Handbook Section 13.

[LSUHSC-S]

11.8.3 Course Offerings and Content

Course offerings and curricula are established by the faculties of the Schools of the Health Sciences Center. Individual faculty members are responsible for following the curriculum and for providing course content that will appropriately meet the needs of the students.

Planning and presentation of course material is the responsibility of the course director. Course directors are responsible for ordering textbooks and other course materials. Course plans and evaluation procedures should be presented to students in writing at the outset of each course. Faculty members should teach material that is appropriate to the assigned level of each course.

Faculty members are responsible for evaluating students and for assigning grades. Faculty members shall report the results of student evaluations within a reasonable time after the students’ work is submitted for assessment. Course directors shall provide the Registrar and other appropriate individuals with grades and evaluations of students based on their academic and professional performance.

Each faculty member is responsible for meeting deadlines established by the office of Academic Affairs, course directors, Department Heads, the Registrar, the Health Sciences Center Bookstore, and other appropriate administrative offices.

[LSUHSC-S]

11.8.4 Class-Related Responsibilities

Faculty members are responsible for conducting instructional activities as scheduled. If a faculty member is unable to meet a regularly scheduled class, appropriate alternate instruction must be arranged and approved by the course director or Department Head.

Faculty members shall be reasonably accessible to students and shall inform students about their availability for consultation about course work.

[LSUHSC-S]

11.8.5 Student Advising

Since a fundamental objective of the Health Sciences Center is assisting students to develop their personal and professional potential, the Health Sciences Center emphasizes the role of its faculty in advising students. Appropriate advising must be founded on a sustained concern for the academic growth of students as well as for their personal well-being. Responsibilities for advising students may be allocated to individual faculty members by the administration of the School.

The Faculty member’s role as a student’s advisor includes advising the student on academic program and career goals and recognizing a student’s need for professional help in solving personal or academic problems and directing the student to the appropriate resource.

[LSUHSC-S]

11.8.6 Service

SERVICE TO THE HEALTH SCIENCES CENTER

Each faculty member shares responsibility for the administration and governance of the Health Sciences Center and is expected to participate regularly in faculty meetings and in such committee work as he assumes. Each faculty member should be available on a regular basis to assist the Department Head as needed in departmental affairs and to consult with colleagues.

As members of the larger LSUHSC-S community, faculty members are expected to make every effort to work cooperatively with members of all Departments and Schools.

SERVICE TO THE COMMUNITY

Faculty members are encouraged to participate in community service related to their particular disciplines. When a faculty member engages in community service related to his discipline, his role as a representative of the University should be considered carefully and made clear to others in his service group. Service activities in the general community, unrelated to a faculty member’s discipline, include participation in civic programs and social endeavors. These service activities are generally encouraged by the Administration of the University.

[LSUHSC-S]

11.9 Legal and Ethical Considerations and Constraints

11.9.1 Use of Copyrighted Material

United States copyright law governs the legally enforceable rights of creative and artistic works. The power to enact copyright law is granted in the U.S. Constitution, Article I, Section 8, Clause 8, (also known as the Copyright Clause), which states:

The Congress shall have Power…To promote the Progress of Science and useful Arts, by securing for limited Times to Authors and Inventors the exclusive Right to their respective Writings and Discoveries.

This clause forms the basis for U.S. copyright law and patent law and includes the limited terms allowed for copyrights and patents as well as the items they may protect. https://constitutioncenter.org/interactive-constitution/article/article-i

Administrative aspects of copyright are the responsibility of the U. S. Copyright Office.

Faculty members are responsible for knowing and observing the laws about the use of copyrighted material. U.S. copyright law and policy is set forth at the U.S. Copyright Office’s website: https://www.copyright.gov/​

Circular #1, Copyright Basics, is also available on the following website: https://www.copyright.gov/circs/​

[LSUHSC-S]

11.9.2 Reporting Misconduct in Research

LSUHSC-S seeks excellence in discovery and dissemination of knowledge while maintaining high standards and ethical practices in research conduct. Dishonesty, fraud, and misconduct in research erode the reputations and credibility of investigators, institutions, and the scientific community at large and are not tolerated at LSUHSC-S.

All allegations of misconduct in research are evaluated promptly with due regard for the reputation and rights of all individuals involved. Complainants acting in good faith who make allegations of research misconduct will be protected from retaliation in accordance with federal and University requirements.

LSUHSC-S Policy and Procedures for Dealing with Allegations of Research Fraud follow the U.S. Department of Health and Human Services Public Health Service (PHS) Policies on Research Misconduct. Research misconduct is defined as fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results.

• Fabrication is making up data or results and recording or reporting them.
• Falsification is manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record.
• Plagiarism is the appropriation of another person’s ideas, processes, results, or words without giving appropriate credit.

Research misconduct does not include honest errors and ambiguities of interpretation.

When the institution receives an allegation of research misconduct, an initial inquiry is conducted to determine if the evidence of misconduct is sufficient to proceed with a full investigation. If there is sufficient evidence of misconduct, a full investigation is initiated to evaluate evidence. The Investigation Committee assesses whether misconduct has occurred and determines responsibility. In conducting the inquiry and investigation, the institution makes every effort to ensure that: (1) persons involved in the evaluation of the allegations and evidence have appropriate expertise; (2) no person involved in the procedures is biased against the accused person(s) or has a conflict of interest; and (3) affected individuals receive confidential treatment to the maximum extent possible.

If misconduct in research is determined to have occurred, the institution will provide research sponsors relevant information of the findings and penalties. In addition, journal editors will be notified, if necessary. In misconduct cases involving PHS-funded research, LSUHSC-S is obligated to keep the U.S. Office of Research Integrity appropriately informed and to protect federal funds.

For more information regarding research misconduct, visit the U.S. Office of Research Integrity website at the following address: https://ori.hhs.gov/

[LSUHSC-S]

11.9.3 Drug Free Workplace/Workforce

Purpose

To state the University’s commitment to providing a drug free workplace and workforce pursuant to the provisions of the federal Drug Free Workplace Act of 1988 and interim Department of Defense rules for a program to achieve and maintain a drug free workforce.

Definitions

“Drug free workplace” means a site for the performance of work at which employees are prohibited from engaging in the unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance in accordance with the requirements of the federal Drug Free Workplace Act of 1988.

“Drug free workforce” means employees engaged in the performance of Department of Defense contracts who have been granted access to classified information; or employees in other positions that the contractor determines involve National Security, health or safety, or functions other than the foregoing requiring a high degree of trust and confidence.

“Controlled substance” means a controlled substance in schedules I through V of section 202 of the Controlled Substances Act (21 U.S.C. 812).

“Criminal drug statute” means a criminal statute involving manufacture, distribution, dispensation, use, or possession of any controlled substance.

“Conviction” means a finding of guilt (including a plea of nolo contendere) or imposition of sentences, or both, by any judicial body charged with the responsibility to determine violations of the federal or state criminal drug statutes.

General Policy

Louisiana State University Health Sciences Center is committed to providing a drug free workplace and seeks to make its employees aware of the dangers of drug abuse in the workplace as well as the availability of drug counseling, rehabilitation and employee assistance through various communications media. In accordance with the Drug Free Workplace Act of 1988 and pursuant to applicable law, the unlawful manufacture, distribution, dispensation, possession or use of a controlled substance in the workplace is prohibited. Workplace shall include any location on University property in addition to any location from which an individual conducts University business while such business in being conducted. Without reference to any sanctions, which may be assessed through criminal justice processes, violators of this policy will be subject to University disciplinary action up to and including termination of employment.

OPERATING PROCEDURES

Violations of law regarding controlled substances (illegal drugs) that occur in the workplace are to be reported to the LSUHSC Campus Police. Action by LSUHSC upon conviction of any employed for violation of the law as provided herein may include but is not limited to written disciplinary action, suspension without pay, demotion, and/or mandatory participation in a drug abuse assistance or rehabilitation program at the employee’s expense, or termination of employment.

Specific provisions regarding a drug free workplace apply to employees directly engaged in the performance of work pursuant to the provisions of a federal grant or contract.

The federal Drug Free Workplace Act of 1988 contains specific requirements relating to University employees who are engaged in the performance of a federal grant or contract as follows:

Each such employee must receive a copy of the University policy providing a drug free workplace, which shall be provided through the official promulgation of this Policy Statement and such other means as may be appropriate, and each such employee:

1. Agree as a condition of employment to abide by the terms of the drug free workplace policy.
2. Must notify the LSUHSC-Shreveport Human Resource Management Department of any criminal drug statute conviction for a violation occurring in the workplace no late than 5 days after such conviction.

The University is required to:

1. Notify the granting agency; within 10 days after receiving notice of conviction as above, or otherwise receiving notice of such conviction, the Director of Human Resource Management must notify the Grants Office so that they may comply with the federal requirements for notifying the federal funding agency within 10 days.
2. Within 30 days after receiving such notice, impose a sanction on, up to and including termination of employment, or require satisfactory participation in a drug abuse assistance or drug rehabilitation program approved for such purposes by a federal, state, or local health, law enforcement, or other appropriate agency at the employee’s expense by any employee so convicted with such sanction or required participation to be coordinated by the Office of Human Resource Management through normal LSUHSC administrative processes
3. Make a good faith effort to continue to maintain a drug free workplace through implementation of the requirements of this Act.

Further specific provisions regarding a drug free workforce apply to employees directly engaged in the performance of work pursuant to Department of Defense contracts who have been granted access to classified information: or employees in other positions that the contractor determines involve National Security, health or safety, or functions other than the foregoing requiring a high degree of trust and confidence.

In addition to requirements of the Drug Free Workplace Act of 1988 which apply to all employees engaged in the performance of a federal grant or contract, the Department of Defense has issued regulations which specifically apply to employees engaged in the performance of a Department of Defense contract which are provided below.

Covered employees include those employees engaged in the performance of Department of Defense contracts as follows:

1. All Department of Defense contracts, involving access to classified information.
2. Any other Department of Defense contract when the contracting officer determines such application to be necessary for reasons of national security or for the purposes of protecting the health or safety of those using or affected by the product of or the performance of the contract (except for commercial or commercial-type products).
3. Excepted are any contracts or parts of contracts to be performed outside of the United States, its territories, and possessions, except as otherwise determined by the contracting officer.

For those Department of Defense contracts to which these regulations apply, the following specific conditions or appropriate alternatives apply:

“(1) Employee assistance programs emphasizing high level direction, education, counseling, rehabilitation, and coordination with available community resources (which shall be as provided through any LSUHSC Employee Assistance Program);

“(2) Supervisory training to assist in identifying and addressing illegal drug use by Contractor employees (which shall be as provided through the Office of Human Resource Management);

“(3) Provision for self-referrals as well as supervisory referrals to treatment with maximum respect for individual confidentiality consistent with safety and security issues (which shall be as provided through the provisions of any LSUHSC Employee Assistance Program and this Policy Statement);

“(4) Provision for identifying illegal drug users, including testing on a controlled and carefully monitored basis. Employee drug testing programs shall be established taking account of the following:

“(c) Contractor programs shall include the following, or appropriate alternative.

“(ii) In addition, the Contractor may establish a program for employee drug testing–

“(A) When there is a reasonable suspicion that an employee uses illegal drugs; or

“(B) When a employee has been involved in an accident or unsafe practice;

“(C) As a part of or as a follow-up to counseling or rehabilitation for illegal drug use;

“(D) As a part of a voluntary employee drug testing program.

“(iii) The Contractor may establish a program to test applicants for employment for illegal drug use.

“(iv) For the purpose of administering this clause, testing for illegal drugs may be limited to those substances for which testing is prescribed by section 2.1 of Subpart B of the Mandatory Guidelines for Federal Workplace Drug Testing Program,” (53 FR 11980 (April 11, 1988) issued by the Department of Health and Human Services.

“(d) Contractors shall adopt appropriate personnel procedures to deal with employees who are found to be using drugs illegally. Contractors shall not allow any employee to remain on duty or perform in a sensitive position who is found to use illegal drugs until such time as the contractor, in accordance with procedures established by the contractor, determines that the employee may perform in such a position.

“(e) The provisions of this clause pertaining to drug testing programs shall not apply to the extent they are inconsistent with state or local law, or with an existing collective bargaining agreement; provided that with respect to the latter, the Contractor agrees that those issues that are in conflict will be a subject of negotiation at the next collective bargaining session.”

Listed below are substance abuse programs offered by professional organizations or societies for specific groups.

Employee Assistance Program

An Employee Assistance Program is being established at LSU Health Sciences Center to assist employees who may be suffering from substance abuse or addiction to controlled substances. Services to be provided are described below:

INFORMATION AND REFERRAL: A counselor who will provide patient information on professional agencies and individuals in the community who are qualified to assist the patient in the resolution of his/her problem.

ASSESSMENT/PROBLEM CLARIFICATION: The E.A.P. counselor during an initial assessment will clarify problem areas and identify clinical needs by psychosocial histories and individual/family interviews. Identification of problems and/or clinical issues will be made with recommendations that can resolve the problem when possible. If resolution is not possible referral to an appropriate resource that will assist the patient in the resolution of their problem will be made.

SHORT TERM COUNSELING: The counselor will provide short-term counseling of a problem clarifying/solving nature to assist patients with problems which can adequately be resolved and/or addressed in 1 to 5 counseling sessions.

EXCEPTIONS: Exceptions to the foregoing will be made when it is deemed in the patient’s interest to be referred upon initial contact and/or assessment.

MEDICAL INSURANCE: Employees should check their hospitalization insurance to determine their policy’s coverage for mental health counseling. This might be of some limited assistance if there is a need for long-term counseling.

PATIENT ADVOCACY: The counselor will serve in the capacity as advocate for the patient in obtaining services as appropriate to his/her needs, serve as a liaison for the patient on an as needed basis and additionally provide follow-up on the referral. To facilitate expeditious and appropriate referrals to community services, a current file of all potential service providers will be maintained.

SUPERVISORY AND DRUG SCREEN REFERRALS: The counselor operating under the guidelines governing confidentiality will provide a clinical assessment and referral to the patient and provide to LSUHSC only information regarding the patient’s level of cooperation and participation in the E.A.P. services and recommended referral only after a release of information has been obtained from the patient. After obtaining a release of information, monthly followup reports may be provided to management.

Confidentiality

Patient records will be handled in accordance with the confidentiality requirements of PL93-282 and the Federal regulations of 42 CFR Part 21 (section 2.11n) and P193-579 (Privacy Act) Treatment records will never become part of an employee’s personnel and medical files, but will remain available only to the E.A.P. staff. Records will be stored securely, and professional standards of content, legibility and timeliness will be maintained.

[LSUHSC-S. (6/1/01). Chancellor’s Memorandum 7 (CM-7). Drug Free Workplace and Workforce. https://inside.lsuhs.edu/Departments/Administration/Documents/Chancellor%27s%20Memoranda/CM%207%20Drug%20Free%20Workplace%20and%20Workforce.pdf]

11.10 Return to Work

Purpose

Louisiana State University Health Sciences Center (LSUHSC-S) provides workers’ compensation benefits to its faculty and staff in accordance withes Tate law. This coverage includes the University’s modified duty program designed to encourage employees, who have been released to perform work with limitations to return to work.

Policy

To return an employee to the workplace, LSUHSC-S will make reasonable efforts to place the returning employee into a meaningful assignment, which he/she can perform while on modified duty on a temporary basis. LSUHSC-S cannot guarantee placement and is under no obligation to offer, create, or encumber any specific position for purposes of offering placement. All final decisions regarding placement shall be made by the human resource management office.

This policy is not intended to instruct the procedure applicable to employees who are eligible for reasonable accommodation under the Americans with Disabilities Act (ADA) or leave benefits under the Family and Medical Leave Act (FMLA). Inquiries about eligibility under the ADA or FMLA should be directed to the human resource management office. A Human Resource Management representative will serve as the Return to Work Coordinator.

Applicability

This policy only applies to permanent employees of LSUHSC-S who are on leave as a result of work related injuries or illnesses and who are receiving worker’s compensation benefits.

In the event an employee refuses an accommodation or reassignment of duties (outside the employee’s FMLA benefit eligibility period) which are within the employee’s restrictions and ability to perform, LSUHSC-S is not obligated to provide alternatives. In such a case, LSUHSC-S will notify the State Office of Risk Management which may result in termination of the employee’s workers’ compensation benefits.

Modified Work Requirements

For work to be considered suitable modified employment, the following conditions must be met:

• the employee must meet the required qualifications for the modified job assignment which the employee will be required to perform,
• the work must be a meaningful and productive part of the department’s operations,
• the work must conform to the medical restrictions set by the medical care provider, and
• the modified job assignment and/or modified work schedule cannot exceed six months.

GUIDELINES FOR PLACING EMPLOYEES IN TEMPORARY MODIFIED EMPLOYMENT

When determining if proposed modified work is suitable, the team comprised of representatives from Human Resource Management, Office of Safety Services, and departmental management representation of the department in question, will consult with the injured employee, a Physical Therapy representative, and Occupational Health. Other individuals may participate on the team as needed.

The evaluation will be based on, but not limited to, a list of essential duties (based on the job description for which the employee was hired) along with the completed job analysis form for completion by the employee’s physician.

The return-to-work team shall identify job functions and physical requirements that can be considered “transitional” duties in the work environment. Every effort will be made to place the employee in his/her original work unit, however, if this is not possible, the team may recommend an alternative work assignment as long as the conditions for return to work outlined above are met. The appropriate administrator of the work unit in which the “transitional” duty assignment is identified must approve the proposed placement prior to further action being taken.

Upon return to work, the return-to-work team will review the “transitional” assignment every 30 days to determine if the employee is still in transition based on the physician’s recommendation. An employee who refuses to return to “transitional” duty for which he or she was medically cleared will be reported to the Office of Risk Management for appropriate action.

Civil Service rules, as appropriate and outlined below, shall govern personnel actions for classified employees accepting “transitional” duty assignments:

• Employees may be detailed to special duty, with Civil Service approval, for a period not to exceed six months (usual time required for an employee to remain on Workers’ Compensation). No extension of this type of detail shall be authorized.
• The detail to special duty may be lateral or downward. Details to a higher position may also be approved on a case-by case basis, when justified.
• A position may be double encumbered, if necessary.
• The employee’s base pay cannot be reduced during the detail to special duty.

E. Return to Permanent Employment Once the injured worker has been released to return to work, the employer must make a Bona Fide offer of Employment (legitimate job offer) in writing.

[LSUHSC-S. (6/29/16). Administrative Directive 2.5.2. Return to Work Policy for Employees on Worker’s Compensation. https://inside.lsuhs.edu/Departments/Administration/Documents/Administrative%20Directives/AD%20Records%20System%20%202.5.2.pdf]

11.11 Sexual Harassment/Gender Discrimination

Policy

LSU Health Sciences Center at Shreveport (LSUHSC-S) is committed to providing a professional work environment that maintains equality, dignity, and respect for all members of its community. In keeping with this commitment, LSUHSC-S prohibits discriminatory practices, including sexual harassment. Any sexual harassment, whether verbal, physical, or environmental, is unacceptable and will not be tolerated. The purpose of this policy is to define sexual harassment and to establish a procedure whereby alleged sexually harassed employees, staff, and students may lodge a complaint immediately.

Definition

Sexual harassment is illegal under federal (Section 703 of Title VII of the Civil Rights Act of 1964) http://www.eeoc.gov/laws/statutes/titlevii.cfm state, and local law. It is defined as any unwelcome sexual advance, request for sexual favors, or other verbal or physical conduct of a sexual nature when:

1. Submission to the conduct is made either explicitly or implicitly a term or condition of an individual’s employment;
2. Submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting the individual; or
3. The conduct has the purpose or effect of unreasonably interfering with the individual’s performance, or of creating an intimidating, hostile or offensive working environment.

Types of behavior that constitute sexual harassment may include, but are not limited to:

• Unwelcome sexual flirtations, advances or propositions;
• Derogatory, vulgar, or graphic written or oral statements regarding one’s sexuality, gender or sexual experience;
• Unnecessary touching, patting, pinching or attention to an individual’s body;
• Physical assault;
• Unwanted sexual compliments, innuendo, suggestions or jokes; or the display of sexually suggestive pictures or objects.

Procedures.

Any member of the LSUHSC-S community, who has a sexual harassment complaint against a supervisor, co-worker, visitor, faculty member, or other person, has the right and obligation to bring the problem to the Health Sciences Center’s attention. Any supervisor who witnesses such conduct or receives a complaint must report the incident to Human Resource Management (HRM), an appropriate administrator, or the Dean of the respective school. It is the responsibility of all LSUHSC-S employees in a supervisory capacity to ensure that the work/academic environment is free from sexual harassment

A staff member, who believes he or she has been sexually harassed, should immediately report the incident to the Assistant Director of Employee Relations, Human Resource Management (318/675-5611), the Director of Human Resource Management (318/675-5610), or to an appropriate administrator or the Dean of the respective school. In addition, staff members may report the incident to any supervisor. Any recipient of such a complaint shall notify Human Resource Management.

The Department of Human Resource Management will be responsible for investigating complaints of sexual harassment occurring between staff members; complaints made by staff against students; and complaints made by staff against other third parties. HRM will either investigate or assist those responsible for investigating complaints made by or against faculty members, students, or house staff officers.

Actions taken to investigate and resolve sexual harassment complaints shall be conducted confidentially to the extent practicable and appropriate in order to protect the privacy of persons involved. An investigation may include interviews with the parties involved in the incident, and if necessary, with individuals who may have observed the incident or conduct or who have other relevant knowledge. The individuals involved in the complaint will be notified of the results of the investigation.

The Health Sciences Center will not tolerate discrimination or retaliation against any individual who makes a good faith sexual harassment complaint, even if the investigation produces insufficient evidence to support the complaint, or any other individual who participates in the investigation of a sexual harassment complaint. If the investigation substantiates the complaint, appropriate corrective measures and/or disciplinary action, up to and including termination, will be taken swiftly.

LSUHSC-S will make every reasonable effort to ensure that all members of the LSUHSC-S community are familiar with this policy. You are encouraged to address questions or concerns regarding this policy with the Assistant Director for Employee Relations, Human Resource Management.

[LSUHSC-S. (6/1/99). Administrative Directive 2.1.1. Sexual Harassment. https://inside.lsuhs.edu/Departments/Administration/Documents/Administrative%20Directives/AD%20Affirmative%20Action%202.1.1.pdf]

11.12 Procedures For Faculty Grievances/Appeals

INTRODUCTION

The following procedure is established to provide faculty members with a mechanism to address personnel and other work-related problems. The issue presented by grievance, and when applicable, by appeal should be one that has not or cannot be resolved within the regular administrative procedures. These procedures do not apply to Termination for Cause. The applicable due process procedures for Termination for Cause are found in Handbook Section 10.3.2.

DEFINITIONS

“Chancellor” refers to the Chancellor of the LSU Health Sciences Center in Shreveport or his designee.

“Parties to the Appeal” refers to the complainants, i.e. the person making the complaint, and the person or persons against whom the complaint is made or whose decision is contested.

“Faculty Member” refers to any full-time salaried academic member of the Health Sciences Center in Shreveport or any part-time individual enfranchised by any of the schools of the Health Sciences Center in Shreveport.

“Days” refers to official LSUHSC-S working days.

“Peremptory Challenges” refer to challenges as to those persons scheduled to serve on a Committee or a chairperson of a Committee, which challenges do not require assignment of reasons and which challenges shall be granted.

“Dean” refers to the Dean of the applicable LSUHSC-S school or his designee.

GENERAL PROVISIONS

1. The filing of a grievance or appeal does not relieve the complainant of assigned duties and responsibilities
2. This grievance procedure is written in terms of a complaint against the decision of the Department Head. A complaint against the decision of a Dean or Vice Chancellor also follows the steps as delineated, beginning with informal discussion, and then the filing of an appeal, if applicable, to the next level in the chain of authority
3. All Parties to the appeal shall attempt to resolve the conflict or dispute at the lowest administrative level possible. If these efforts fail, then informal reconciliation and/or a formal appeal can be initiated. The faculty member who believes that he has been treated unjustly is obliged to confer informally with the individual or individuals responsible for the action.
4. Two or more faculty members who allege that they have received similar unfair treatment may petition the Chancellor to have their appeals considered together. This decision to consolidate appeals shall be made by the Chancellor. If the appeals are consolidated, the Standing Appeal Committee may make separate recommendations regarding each faculty member. Claimants can refuse consolidation.
5. A faculty member who at any stage of the process fails to follow a request for further action by the deadline indicates acceptance of the determination at the previous stage. A faculty member who does not receive a response by the deadline may immediately proceed to the next stage of the procedure.
6. Any time limit set forth in this procedure may be extended by mutual written agreement of the Parties and, when applicable, the consent of the Chairperson of the appropriate committee.
7. If a faculty member seeks resolution of the matter through any agency outside of the Health Sciences Center, whether administrative, judicial, or other agency, the Health Sciences Center shall have no obligation to continue appeal proceedings subject to constraints of law.

Informal Reconciliation. A faculty member shall discuss a grievance with his Department Head within thirty (30) days of the most recent incident. Thereafter, both the faculty member and the party allegedly responsible for the action that resulted in the complaint shall meet with the Department Head in a serious, good faith attempt to resolve the dispute. In the case of a complaint against an action by the Department Head, the faculty member shall first discuss the grievance with the Department Head in an attempt at informal resolution. Regardless against whom the complaint is made, the majority of issues should be resolved at this stage.

If after informal discussion, the matter is not resolved between the faculty member and the party allegedly responsible, the faculty member may request intervention by the Dean. The faculty member shall deliver the Request for Intervention to the Dean within ten (10) days after the meeting with the Department Head. The Request for Intervention shall include the following: a concise statement of the complaint; a reference, when applicable, to the section(s) of the Faculty Handbook that were allegedly violated, any written documentation the complainant wishes to submit, and a statement of relief sought.

The Dean or his designee shall arrange a meeting with the concerned Parties within ten (10) days of receipt of the Request for Intervention. At the close of the meeting or within five (5) days thereafter, the Dean shall render a decision. The decision shall be in writing and a copy of the decision shall be delivered by certified mail to the faculty member. Copies of the decision shall also be provided to the Department Head and the party allegedly responsible. The decision of the Dean shall be final in matters deemed not appealable.

Formal Appeal. Not all personnel and work-related problems are of a nature such that they will be subject to formal appeal. In the case of grievances that do not involve appealable issues, the decision of the Dean will be final. In cases involving appealable issues as defined in this policy, the following procedure will be applicable. The following are defined as appealable issues:

• Alleged denial of academic freedom;
• Alleged failure to follow due process procedures with respect to appointment renewals, tenure, promotion, compensation, suspension or reassignment;
• Alleged violation, misinterpretation, or inequitable application of a Faculty Handbook provision;
• Alleged discrimination on the basis of age, sex, race, religion, national origin, marital status, disability, or veteran status;
• Findings of sexual harassment, sexual discrimination, or any other discrimination;
• Personnel decisions by Department Heads, other administrators, or faculty committees, which allegedly do not conform to the letter or intent of established and accepted procedures and criteria.

Non-reappointment and judgments regarding academic quality or professional performance, including the granting or denial of tenure, are not proper subjects for appeal; however, the propriety of the procedures employed in making such determination is subject to the appeals procedure.

STANDING APPEAL COMMITTEE

A Standing Appeal Committee shall be formed to hear faculty appeals. This Committee shall be advisory to the Chancellor and shall report only to him. The Committee shall be constituted of six (6) faculty members and six (6) faculty alternates appointed by the Chancellor from the elected representatives of each school of the Health Sciences Center. As each member and alternate rotates off the Committee, a replacement and corresponding alternate shall be selected to serve for a period of six (6) years. The Chairperson of the Committee and his alternate shall serve in such capacities for a one-year period and shall be that individual and his corresponding alternate serving in their last year on the Committee. The Chancellor may reappoint Committee members though no Committee member may serve consecutive terms.

If a member of the Committee believes that it would be inappropriate for him to hear and decide a particular case due to a perceived conflict of interest, he may recuse himself prior to convocation of the formal hearing. Under these circumstances, the member’s corresponding alternate shall replace the recused Committee member. If members become unable to continue to serve after deliberations have begun, the Committee shall continue without its full complement. However, a minimum of four (4) Committee members must be present at each session, or the session will be canceled. If vacancies occur after the deliberations have begun, such that the Appeal Committee is reduced to fewer than four (4) members, the Appeal Committee procedure will be void, the Chancellor will designate an ad hoc Committee and alternates, and the Formal Appeal procedures will begin again.

APPEAL PROCEDURE

In cases involving appealable issues, a faculty member dissatisfied with the decision of the Dean may institute a formal appeal as follows:

The faculty member shall deliver Notice of Appeal to the Chancellor within five (5) days after receipt of the Dean’s decision. The Notice of Appeal shall include the Request for Intervention and a copy of the Dean’s decision. The Chancellor shall make the determination as to whether an issue presented is appealable under the provisions of this procedure. This decision of the Chancellor is not subject to appeal. Appeals involving allegations of discrimination, which have not yet been investigated pursuant to Handbook Section 5.5.3, shall be referred to the Director of Human Resources or his designee by the Chancellor for investigation and report.

Upon receipt of the Notice of Appeal (or in cases where there has been an allegation of discrimination, after receipt of the report and recommendations of the Director of Human Resources or designee), the Chancellor shall within ten (10) days take one of the following actions:

• Consider the matter and grant the relief sought or adopt the decision of the Dean.
• Grant the appeal and convene the Standing Appeal Committee.
• Deny the appeal in whole or part as not setting forth an appealable issue. In cases where an appeal is based in whole or part on discrimination, the Chancellor shall refer that portion of the appeal to the Standing Appeal Committee.

The Chancellor’s decision shall be in writing and a copy of the decision shall be delivered by certified mail to the concerned Parties. Copies of the decision shall also be provided to the Dean. If the Chancellor grants the appeal and decides to convene the Committee, he shall within ten (10) days of his decision:

• Notify the Chairperson of the Standing Appeal Committee in writing and provide the Chairperson with a copy of the Notice of Appeal, and (in the case of alleged discrimination), a copy of the report and recommendation of the Director of Human Resources or his designee; and
• Notify the parties to the appeal of the names of the Committee members.

Upon receipt of the Notice of Appeal, the Chairperson shall distribute a copy of the formal appeal to the Committee members. Each party to the appeal shall be allowed two (2) peremptory challenges, which must be submitted in writing to the Chairperson of the Committee within five (5) days of receipt of notification by the Chancellor of those persons constituting the Standing Appeal Committee. Thereafter, the challenged Committee member (including, if appropriate, the Committee Chairperson) shall be recused, and his alternate shall serve. The Chairperson shall establish the hearing date and notify both Parties by certified mail. The Parties shall be given at least fifteen (15) days’ notice of the date, time, and place of the hearing. The Chairperson shall send the notice by certified mail, and copies of the notice shall be provided to the Dean and Chancellor. Each party shall provide the Committee Chairperson and the other party a witness list, a brief summary of the testimony expected to be given by each witness, and a copy of all documents to be introduced at the hearing at least ten (10) days prior to the hearing. In addition, the Appeals Committee shall conduct its own independent investigation with regard to the action being challenged. If during its own independent investigation, the Committee deems documents to be relevant which have not been submitted by the Parties, the Committee shall provide copies to each party at least ten (10) days prior to the hearing. Health Sciences Center records and documents relevant to the case shall be made available to the Committee on request, subject to legal constraints or applicable pledges of confidentiality.

The hearing shall be conducted as follows:

The Chairperson of the Committee shall conduct the hearing. Each party shall have the right to appear, to present a reasonable number of witnesses, to present documentary evidence, and to cross-examine witnesses. The Committee may call additional witnesses the Committee believes have relevant testimony to offer. Testimony is under oath or affirmation, and an audio recording shall be made of the entire hearing. Testimony may be received telephonically, subject to the convenience of the Committee members. The Parties may be excluded when the Committee meets in executive session.

An attorney may accompany the faculty member as a non-participating advisor. If the faculty member elects to have an attorney present, the party allegedly responsible for the action may also be accompanied by an attorney. The attorneys for the Parties may confer and advise their clients upon adjournment of the proceedings at reasonable intervals to be determined by the Chairman, but may not question witnesses, introduce evidence, make objections or present argument during the hearing. However, the right to have an attorney present can be denied, discontinued, altered, or modified if the Committee finds that such is necessary to ensure its ability to properly conduct the hearing. Rules of evidence and procedure are not applied strictly, but the Chairman shall exclude irrelevant and duly repetitious testimony. The Chairman shall rule on all matters related to the conduct of the meeting and may be assisted by University Counsel. Upon request, the Chairman shall invite a representative from the American Association of University Professors to be present during the hearing as a non-participating observer.

The hearing shall be audio recorded. At the request of the Chancellor, Dean, or Committee Chairperson, the recording of the hearing shall be transcribed, in which case each party to the appeal, upon written request, shall receive a copy of the transcript.

Following the hearing and after reviewing all of the evidence, the Committee shall render a written report to the Chancellor within ten (10) days. This report shall include the Committee’s findings and recommendations, a summary of the testimony presented, and any dissenting opinions. The Chancellor shall review the Committee’s report and may accept, reject, or modify the Committee’s findings and recommendations. The Chancellor shall render a written decision within ten (10) days of receipt of the Committee’s report. The Chancellor’s final decision along with a copy of the Standing Appeal Committee’s findings and recommendations shall be sent to the Parties by certified mail, and copies shall be sent to the members of the Standing Appeal Committee, the Dean, Department Head, and any other appropriate administrators. The Chancellor’s decision shall be final, except for appeal to the President of the LSU System as provided for in the Bylaws and Regulations of the Board of Supervisors of Louisiana State University.

[LSUHSC-S]

11.13 Faculty Responsibilities Under Family Educational Rights and Privacy Act (FERPA)

The Family Educational Rights and Privacy Act of 1974 (“FERPA”) is a federal law that protects the privacy of information contained in students’ education records. FERPA restricts the release of information contained in the students’ education records and access to those records. Unauthorized disclosure of information from students’ education records or unauthorized access to that information is a form of misconduct.

Definitions

An “education record” is a record that is directly related to a student and is maintained by Louisiana State University Health Sciences Center at Shreveport (or a party acting on the University’s behalf). An education record can exist in any medium (e.g., e-mail, typewritten, handwritten, audiotape). Education records do not include “sole possession records,” which are records kept in the sole possession of the maker, used as a personal memory aid, and not revealed to others (e.g., a faculty member’s notes). Education records also do not include employment records, unless employment is conditional upon the individual being a student (e.g., graduate assistants’ employment records are education records protected by FERPA).

A “student” is any person who is or has been in attendance at the University. For purposes of FERPA, a person becomes a student when the student has been admitted to the University and attends classes (either on-campus or distance learning). FERPA does not apply to records containing information created after the person is no longer a student if the information is not directly related to the individual’s attendance as a student.

“Written consent” means a printed document, voluntarily signed and dated by the student, that specifies the records to be disclosed, the purpose of the disclosure, and the party to whom the disclosure may be made.

“Directory information” is limited to a student’s name, address, telephone number, email address, photograph, major field of study, date and place of birth, participation in officially recognized activities, dates of attendance, classification, degrees and awards received, most recent previous educational institution attended, and current enrollment status. Neither a student’s social security number nor a student identification number is directory information.

Release of Student Information

Louisiana State University Health Sciences Center at Shreveport shall not disclose information contained in a student’s education record to a third party without the student’s written consent, except under certain limited conditions. Highly sensitive information includes students’ social security numbers, race, ethnicity, gender, nationality, academic performance, disciplinary records, and grades.

When a student reaches the age of 18 or begins attending the University (regardless of age), FERPA rights transfer from the parent to the student. Accordingly, parents, spouses, and other family members do not have a right to receive information from a student’s education records without the student’s written consent. Faculty members should refer all inquiries from parents or other family members to the Office of the Registrar, who will obtain or confirm the existence of a valid written consent from the student to release information to the parent or other family member. Faculty members should also encourage family members to speak with the student directly.

The University may disclose information contained in a student’s education records without the student’s consent to University officials with “legitimate educational interests.” A University official has a legitimate educational interest if the official needs to review a student’s education record in order to fulfill his or her professional responsibilities to the University. Faculty members who request another University employee to release information from a student’s education records shall demonstrate a legitimate educational interest in accessing the information (e.g., to fulfill the duties of an academic advisor). Access to education records shall not be used for any other purpose (e.g., casual conversations among faculty members about students’ grades or other information in students’ education records).

The University may disclose a student’s “directory information” to a third party unless the student has chosen to restrict the disclosure of directory information by completing a form in the Office of the Registrar.

Requests for information from a student’s education records from anyone other than the student or a University official with a legitimate educational interest should be directed to the Office of the Registrar.

FERPA and Grades

FERPA prohibits faculty members from publicly posting grades by a student’s name, a student’s ID number, a student’s social security number (even the last 4 digits), or any other information that would personally identify the student, without a student’s written consent. This includes posting on websites, bulletin boards, or office doors. A faculty member may post grades by using randomly assigned numbers known only by the faculty member and the individual student as long as the grades are not listed in alphabetical order.

Mailing grades to students is only acceptable if the grades are enclosed in a sealed envelope. Grades shall not be mailed via postcards. When returning students’ tests or papers, faculty members shall use a system designed to prevent the release of a student’s information to another student. Faculty members shall not leave students’ tests or papers where third parties can view the tests or papers (e.g., leaving tests in a stack for students to sort through).

E-Mail

E-mail is an official means of University communication. FERPA does not prohibit the use of e-mail for transmitting FERPA-protected information to a student or authorized third party. However, like information disclosed over the telephone or via U.S. mail, information disclosed via e-mail can inadvertently be disclosed to someone other than the intended recipient. The University would be held responsible for an inadvertent disclosure.

Faculty members should use e-mail with the amount of caution appropriate to (1) the level of sensitivity of the information being disclosed, (2) the likelihood of inadvertent disclosure to someone other than the intended recipient, and (3) the consequences of inadvertent disclosure to someone other than intended recipient.

As a general rule, e-mail should contain the least amount of FERPA-protected information as possible. The subject line of e-mail should not include FERPA-protected information. The body of e-mail should not contain highly sensitive FERPA-protected information, such as a student’s social security number.

When using e-mail, faculty members should use their official University email account to transmit FERPA-protected information to students. When sending e-mails, faculty members should send e-mails to students’ official University email addresses.

Letters of Recommendation

Written consent of the student is required before a faculty member writes a Letter of Recommendation for the student if any information included in the letter comes from the student’s education records (grades, GPA, etc.)

Letters of Recommendation that are based solely on a faculty member’s personal knowledge or observation do not require the written consent of the student.

If a Letter of Recommendation is kept on file by the person writing the recommendation, it then becomes a part of the student’s education record, and the student has the right under FERPA to read the letter unless the student specifically waived that right.

Emergencies

If the University determines that there is an articulable and significant threat to the health or safety of an individual, the institution may disclose information from education records “to any person whose knowledge of the information is necessary to protect the health or safety” of the individual.

For questions about FERPA, please contact the Office of the Registrar.

11.14 Substantive Change Policy

Approved by Administrative Council 04/04/22

1. Policy

​Louisiana State University Health Sciences Center at Shreveport (LSUHSC‐S) notifies SACSCOC of any substantive change and seeks prior approval of changes as required by the commission in accordance with the SACSCOC Substantive Change Policy and Procedures and SACSCOC Standard 14.2.

2. Purpose

​The purpose of this policy is to ensure that all aspects of the institution affected by a substantive change continue to meet the SACSCOC Principles of Accreditation.

3. Scope

All individuals responsible for initiating activities that may be considered a substantive change are required to be familiar and comply with this policy and SACSCOC Standard 14.2.

4. Definitions 

Substantive Change: A substantive change is a significant modification or expansion of the nature and scope of an accredited institution. Substantive change includes high-impact, high-risk changes and changes that can impact the quality of educational programs and services. A substantive change may be submitted by the institution’s chief executive officer or accreditation liaison only. 

Accreditation Liaison: Every SACSCOC member institution has an Accreditation Liaison whose charge is to ensure compliance with accreditation requirements.

The current Accreditation Liaison for LSUHSC‐S is:
Jeffrey Howells, MBA, MS 
Director of Institutional Planning, Effectiveness, and Accreditation
B Bldg., Room 1‐202 
318‐675‐8152
Jeffrey.Howells@lsuhs.edu

5. Types of Substantive Change:

Substantive changes, including those required by federal regulations, include:

• Substantially changing the established mission or objectives of an institution or its programs
• Changing the legal status, form of control, or ownership of an institution
• Changing the governance of an institution
• Merging / consolidating two or more institutions or entities
• Acquiring another institution or any program or location of another institution
• Relocating an institution or an off-campus instructional site of an institution (including a branch campus)
• Offering courses or programs at a higher or lower degree level than currently authorized
• Adding graduate programs at an institution previously offering only undergraduate programs (including degrees, diplomas, certificates, and other for-credit credential)
• Changing the way an institution measures student progress, whether in clock hours or credit-hours; semesters, trimesters, or quarters; or time-based or non-time-based methods or measures
• Adding a program that is a significant departure from the existing programs, or method of delivery, from those offered when the institution was last evaluated
• Initiating programs by distance education or correspondence courses.
• Adding an additional method of delivery to a currently offered program
• Entering into a cooperative academic arrangement
• Entering into a written arrangement under 34 C.F.R. § 668.5 under which an institution or organization not certified to participate in the Title IV Higher Education Act (HEA) programs offers less than 25% (notification) or 25-50% (approval) of one or more of the accredited institution’s educational programs. An agreement offering more than 50% of one or more of an institution’s programs is prohibited by federal regulation
• Substantially increasing or decreasing the number of clock hours or credit hours awarded or competencies demonstrated, or an increase in the level of credential awarded, for successful completion of one or more programs
• Adding competency-based education programs
• Adding each competency-based education program by direct assessment
• Adding programs with completion pathways that recognize and accommodate a student’s prior or existing knowledge or competency
• Awarding dual or joint academic awards
• Re-opening a previously closed program or off-campus instructional site
• Adding a new off-campus instructional site/additional location including a branch campus
• Adding a permanent location at a site at which an institution is conducting a teach-out program for students of another institution that has ceased operating before all students have completed their program of study
• Closing an institution, a program, a method of delivery, an off-campus instructional site, or a program at an off-campus instructional site.

6. Roles and Responsibilities

Program directors, associate deans for academic affairs, and deans have the fundamental responsibility to be generally aware of the substantive change policy, inform the institution’s SACSCOC Accreditation Liaison at the earliest point possible of proposals that may be considered a substantive change for the institution, and provide the institution’s Accreditation Liaison with any data, information, or prospectus necessary to comply with SACSCOC policy when requested.

The institution’s Accreditation Liaison has overall responsibility for ensuring this policy is implemented. The Accreditation Liaison will:

• Provide program directors, associate deans for academic affairs, and deans with information about the SACSCOC substantive change policy annually;
• Work with program directors, associate deans for academic affairs, and deans to determine whether a proposed change is substantive;
• Determine what action with respect to SACSCOC is needed when a change is substantive;
• File the appropriate notification or prospectus with SACSCOC; and
• Coordinate with SACSCOC and program directors, associate deans for academic affairs, and deans about any required follow‐up action.

7. Procedure/Process

To ensure that SACSCOC reporting deadlines are met, questions and requests for review should be directed to the institution’s Accreditation Liaison as early as possible in the planning process. Academic officers (i.e., program directors, associate deans for academic affairs, and deans) should closely monitor potential substantive changes as they develop within their areas of responsibility to make sure they do not go unreported.

If a change is determined to be substantive, SACSCOC approval must be sought as much as twelve months in advance of implementing the change. If Louisiana Board of Regents and/or LSU Board of Supervisors approvals are also required for the change, those approvals must be obtained prior to SACSCOC notification/approval. As a result, advance planning is necessary to avoid delays in program implementation.

Upon becoming aware of a proposed change that may be substantive, the academic officer proposing the change should immediately notify the institution’s Accreditation Liaison, who will then determine whether the change is substantive under the SACSCOC policy and any actions and timeline required.

For a substantive change requiring approval by the full Board of Trustees (which meets biannually), to be implemented after the date of the Board meeting, the submission deadlines are March 15 for review at the Board’s biannual meeting in June of the same calendar year, and September 1 for review at the Board’s biannual meeting in December of the same calendar year.

For a substantive change requiring approval by the Executive Council of the Board of Trustees (which meets year-round), the submission deadlines are January 1 for changes to be implemented July 1 through December 31 of the same calendar year, and July 1 for changes to be implemented January 1 through June 30 of the subsequent calendar year.

For a substantive change requiring notification only, it can be submitted any time before implementation. Once the institution has submitted notification, it may implement before receiving a response from SACSCOC. If there are deficiencies or additional information needed about the notification, the institution’s Accreditation Liaison will be contacted at the time of review for resolution and before action is taken. This applies to notifications only, not to approvals: changes requiring approval cannot be implemented until approved by the SACSCOC Board of Trustees.

Academic Accreditation Compliance Policy

1. Policy
   All academic degree programs of LSUHSC-S shall comply with applicable Southern Association of Colleges and Schools Commission on Colleges (SACSCOC) and Louisiana Board of Regents (BOR) accreditation policies.
   
   In accordance with SACSCOC Standard 14.5 (Policy compliance), the institution shall comply with the SACSCOC policies that pertain to new or additional obligations that may arise that are not in the current SACSCOC Principles of Accreditation.  The institution’s SACSCOC Accreditation Liaison shall facilitate close and effective communication of SACSCOC policies to the appropriate institutional personnel.
   
   In accordance with Louisiana BOR Academic Affairs Policy 2.13 (Program Accreditation), all educational programs eligible for programmatic accreditation shall be accredited by their relevant accrediting agencies. Additionally, the institution must report all disciplinary actions, such as warning, probation, or withdrawal of accredited status, and a brief explanation of the conditions and/or deficiencies that resulted in the action to the BOR upon receipt of the official notification of the action by the agency. The institution must submit a copy of the institution’s response to the report regarding disciplinary action of an accrediting agency, along with a copy of the original report of the agency, to the BOR.
   
   Programs without professional accreditation must conduct a qualitative program review at least every five years.
    
2. Purpose
   To maintain institutional and programmatic compliance with accreditation standards
    
3. Scope
   All LSUHSC-S schools and programs
    
4. Definitions
   
   Accreditation Liaison: The chief executive officer at each SACSCOC member institution appoints an Accreditation Liaison who works with administration, faculty, staff, and students on all matters related to institutional accreditation including:

• Ensuring that compliance with accreditation requirements is incorporated into the planning and evaluation process of the institution;
• Notifying SACSCOC in advance of substantive changes and program developments in accord with the substantive change policies of the Commission;
• Familiarizing faculty, staff, and students with SACSCOC’s accrediting policies and procedures, and with particular sections of the Principles of Accreditation and SACSCOC policies that have application to certain aspects of the campus - especially when such documents are adopted or revised;
• Serving as the primary contact person for SACSCOC staff.
   

5. ​Procedure/Process
   Compliance with SACSCOC and BOR policies, including substantive changes, will be monitored through the institution’s Office of Academic Affairs. The institution’s SACSCOC Accreditation Liaison will communicate SACSCOC policies that pertain to new or additional institutional obligations to applicable members of the institution. Any changes in institutional or programmatic accreditation status, including voluntary withdrawal, must be reported to the institution’s SACSCOC Accreditation Liaison, who shall report changes to SACSCOC and the BOR.