9. Faculty Grievances and Appeals

Faculty grievances and appeals procedures provide a structured process for addressing faculty concerns related to personnel issues and work-related conflicts that cannot be resolved through regular administrative channels. This section outlines the steps for faculty members to challenge decisions, including those related to termination, academic freedom, discrimination, and procedural fairness, ensuring due process and impartiality for contesting decisions perceived as unjust or flawed.

9.1 Due Process Rights for Termination for Cause

Upon receipt of a written Notice to the faculty member of the intent to initiate proceedings that may result in termination for cause, the faculty member shall have an opportunity to prepare and present a defense to the charges set forth in the Notice at a hearing before an impartial ad hoc committee, which shall be advisory to the Chancellor. The Notice must include the Request for Termination, which contains a written statement of charges registered against the faculty member, a list of all known documentary evidence, and, if applicable, a list of witnesses with a brief statement of the nature of testimony expected from each witness.

The faculty member shall have five (5) working days after receipt of the Notice to notify the Chancellor in writing whether they will challenge the Request for Termination and desires that an ad hoc committee be formed. If the faculty member fails to notify the Chancellor by the end of fifth business day after receipt of the notice, his/her termination shall become effective on the sixth business day.

If the faculty member contends that the proposed termination is based, in whole or in part, on age, race, creed, color, marital status, sex, sexual orientation, gender identity and expression, religion, disability, age, national or ethnic origin, genetic information, disability, or veteran’s status, the faculty member shall inform the Chancellor of that contention. The Chancellor shall then initiate the procedures outlined in the Faculty Handbook, Section 9.2. The hearing for termination for cause shall not proceed until an investigation has been conducted pursuant to these procedures.

The ad hoc committee shall consist of five (5) full-time, tenured faculty members selected as follows:

1. The faculty member shall submit recommendations for two appointees to the dean within five (5) working days after receiving the Notice.
2. The dean shall then inform the department head of the faculty member’s selected appointees within five (5) working days of receiving the faculty member’s recommendations.
3. Upon receiving the faculty member’s recommendations, the department head has five (5) working days to notify the dean of their two recommended appointees to the committee.
4. The dean shall then immediately inform all four appointed committee members of their charge, and they will then select the fifth member within five (5) working days of the dean’s receipt of the department head’s nominations, thereby forming the committee.

Once the committee is formed, the dean or designee shall provide the committee with the Notice and instruct the committee members to select a chairperson and set a hearing date within 40 working days of the committee’s formation. The committee chairperson shall notify the faculty member and department head by certified mail of the date, time, and place of the hearing at least 15 working days prior to the hearing. A copy of the notification will also be sent to the dean and Chancellor. Each party shall provide the committee chairperson and the opposing party a witness list, a brief summary of the testimony expected from each witness, and copies of all documents to be introduced at the hearing at least 10 working days prior to the hearing.

The hearing shall be conducted as follows:

1. The committee chairperson shall conduct the hearing.
2. Each party has the right to appear, present a reasonable number of witnesses, introduce documentary evidence, and cross-examine witnesses.
3. The committee may exclude the parties when meeting in executive session.
4. The faculty member may be accompanied by an attorney, who will serve solely as a non-participating advisor. If the faculty member chooses to have an attorney present, the department head may also bring an attorney. Attorneys for both parties may confer with and advise their clients during adjournments at reasonable intervals set by the chairperson but are prohibited from questioning witnesses, introducing evidence, making objections, or presenting arguments during the hearing. However, the right to have an attorney present may be denied, discontinued, altered, or modified by the committee if necessary to ensure the proper conduct of the hearing.
5. Testimony will be given under oath, and the entire hearing will be recorded.
6. While the rules of evidence and procedure are not applied strictly, the chairperson may exclude irrelevant or unduly repetitious testimony.
7. The chairperson shall rule on all matters regarding the conduct of the hearing and may consult with University Counsel.
8. At the request of the faculty member, the chairperson may invite an American Association of University Professors (AAUP) representative to be present during the hearing as a non-participating observer.
9. The recording of the hearing may be transcribed upon request, with the requesting party responsible for the transcription costs. If no transcription is requested, the audio recording and the committee’s summary report will be submitted to the Chancellor.

Following the hearing and review of all evidence, the committee shall submit a written report to the Chancellor within 20 working days. The report shall include the committee’s findings on whether the faculty member should be terminated for cause or have restrictive measures imposed, along with the reasoning, a summary of the testimony, and any dissenting opinions.  If discrimination is alleged, the report will also include a description of the evidence and the committee’s conclusions regarding those allegations.

The Chancellor shall review the report and may accept, reject, or modify the committee’s findings. The Chancellor shall render a decision within 10 working days of receipt of the committee’s report. The decision shall be in writing, sent by certified mail to the faculty member, with copies provided to the department head and dean. The Chancellor’s decision is final, subject to the President’s approval if necessary.

Any time limit set forth in this procedure may be extended by mutual written agreement of the parties and, if applicable, with the consent of the chairperson of the ad hoc committee.

9.2 Procedure for Addressing Discrimination Complaints

A faculty member who feels that they have been the subject of discrimination based on age, disability (mental or physical), national or ethnic origin, pregnancy, race, religion, sex, sexual orientation, gender identity and expression, genetic information, marital status, or veteran status can report a complaint to any university official, supervisor, or through EthicsPoint (link), a secure and confidential reporting system. The recipient of the complaint will notify the Chief Compliance and Investigation Officer.

When a complaint of discrimination is raised, the following procedures will guide the investigation, resolution, and any subsequent actions:

1. The Chief Compliance and Investigation Officer will promptly conduct an investigation, taking steps to maintain confidentiality to the extent possible. However, conducting a thorough investigation may require discussing the complaint with witnesses and the accused. The complaint may be resolved at any stage of the investigation upon the recommendation of the Chief Compliance and Investigation Officer and with the approval of the Chancellor or their designee.
2. An investigative report shall be submitted to the Chancellor and shall include a summary of conclusions concerning the allegations and recommendations for a resolution of the complaint. The complainant and accused will be provided a summary of the conclusions by the Chief Compliance and Investigation Officer.
3. If the complaint is determined to be substantiated, the accused may be directed to appropriate counseling, receive discipline, or be recommended for termination, depending on the degree or seriousness of the offense.
4. If a faculty member, whether the accused or the complainant, disagrees with the conclusions or recommendations resulting from the investigation, they may initiate the appeal process outlined in Handbook Section 8.3.

If a faculty member contends that a termination for cause or a grievance/appeal is, in whole or in part, based on discrimination, they must notify the Chancellor of this claim. The Chancellor will then initiate the procedures outlined in this section prior to commencing the termination for cause or grievance/appeal hearings. A copy of the resulting investigative reports will be forwarded to the relevant committees (e.g., Standing Appeal Committee, ad hoc committee).

A person who complains in good faith will suffer no reprimand or retaliation. The person accused of discrimination will be promptly notified and will be given an opportunity to respond.

9.3 Procedures for Faculty Grievances/Appeals

A faculty member may utilize the following procedures to seek redress for a grievance concerning an action or decision perceived to adversely affect their professional standing, working conditions, or the terms and conditions of their employment. This process is intended to address issues not covered by other formal procedures, such as those for termination for cause, discrimination, or power-based violence and harassment, which are governed by specific policies outlined elsewhere in the Faculty Handbook.

Faculty members contemplating filing a grievance should review the relevant sections of the LSUHSC-S Faculty Handbook to ascertain which procedures are the appropriate avenue for resolution of their particular grievance.

Definitions. The following definitions outline key terms used in the appeal process to ensure clarity and consistency throughout the proceedings.

• “Grievance” refers to a complaint regarding an action or decision that has adversely affected an individual’s professional capacity and appears to have been reached unfairly, improperly, or in violation of University policy.
• “Parties to the Appeal” refer 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.
• “Peremptory Challenges” refer to the right to challenge or reject individuals scheduled to serve on a committee or as its chairperson, without the need to provide a reason. These challenges are automatically accepted.

General Provisions. The following general provisions outline the procedures and expectations for filing and resolving grievances or appeals within the institution.

• The filing of a grievance or appeal does not relieve the complainant of assigned duties and responsibilities.
• This grievance procedure is written in terms of a complaint against the decision of the department head. Complaints against the decisions of a dean or vice chancellor follow the same steps, beginning with informal discussion, and then, if applicable, the filing of an appeal to the next level in the chain of authority.
• All parties to the appeal shall attempt to resolve the conflict or dispute at the lowest administrative level possible. If these efforts fail, informal reconciliation and/or a formal appeal may be initiated. The faculty member who believes they have been treated unjustly is obliged to confer informally with the individual or individuals responsible for the action.
• Two or more faculty members who allege that they have received similar unfair treatment may petition the Chancellor to have their appeals considered together. The 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 may refuse consolidation.
• A faculty member who fails to follow a request for further action by the specified deadline at any stage of the process indicates acceptance of the determination made 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.
• 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 chair of the appropriate committee.
• If a faculty member seeks resolution of the matter through any external agency (administrative, judicial, or otherwise), LSUHSC-S shall have no obligation to continue appeal proceedings subject to constraints of law.

Informal Reconciliation. A faculty member shall discuss a grievance with their department head within 30 working 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 good faith attempt to resolve the dispute.

In cases where the complaint is against the department head’s action, the faculty member shall first attempt to resolve the grievance through discussion with the department head.  Regardless of the party 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 submit the Request for Intervention to the dean within 10 working 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, Bylaws, or other policies that were allegedly violated
• Any written documentation the complainant wishes to submit
• A statement of relief sought.

The dean or designee shall schedule a meeting with the concerned parties within 10 working days of receipt of the Request for Intervention. At the close of the meeting or within five working days thereafter, the dean shall render a written decision. 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 for the complaint of action. The decision of the dean shall be final in matters deemed not appealable.

Formal Appeal Process. Not all personnel and work-related problems are of a nature such that they will be subject to formal appeal. For grievances that do not involve appealable issues, the decision of the dean shall be final. In cases involving appealable issues as defined in this policy, the procedure outlined below will apply.

Appealable Issues:

• The following are considered 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 race, creed, color, marital status, sex, sexual orientation, gender identity and expression, religion, disability, age, national or ethnic origin, genetic information, or veteran’s status
• Findings of sexual harassment, sexual discrimination, or any other discrimination
• Personnel decisions by department heads, other administrators, or faculty committees, that 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 serve in an advisory capacity to the Chancellor and report only to them. The committee shall consist of six faculty members and six faculty alternates, appointed by the Chancellor from the elected representatives of each school within LSUHSC-S. As each member and alternate complete their term, a replacement and corresponding alternate shall be selected to serve a six-year term.

The chair of the committee and their alternate shall serve in such capacities for a one-year period, with the chair position assigned to an individual and their corresponding alternate who are in their final year on the committee. The Chancellor may reappoint committee members; however, no member shall serve consecutive terms.

Each party to the appeal is allowed two peremptory challenges to committee membership, which must be submitted in writing to the chair of the committee within five working days of notification by the Chancellor regarding the composition of the Standing Appeal Committee. Any challenged committee member, including the committee chair if appropriate, shall be recused, and their alternate shall serve in their place.

If a member of the committee believes that it would be inappropriate for them to hear and decide a particular case due to a perceived conflict of interest, they may recuse himself prior to the convocation of the formal hearing. Under these circumstances, the member’s corresponding alternate shall replace the recused committee member. If a committee member is unable to continue serving after deliberations have begun, the committee shall continue without its full complement. However, a minimum of four committee members must be present at each session, or the session will be canceled. If vacancies occur after the deliberations have begun, resulting in the Standing Appeal Committee having fewer than four members, the committee procedure will be void. The Chancellor will then 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 a Notice of Appeal to the Chancellor within five working 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 Chancellor’s decision is final and cannot be further appealed. If the appeal involves allegations of discrimination that have not yet been investigated pursuant to Section 9.2 of the Faculty Handbook, the Chancellor shall refer the matter to the Office for Compliance and Investigation for investigation and reporting.

• 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 from the Office for Compliance and Investigation - the Chancellor shall take one of the following actions within 10 working days:
• Consider the matter and either grant the relief sought or adopt the decision of the dean;
• Grant the appeal and convene the Standing Appeal Committee. In cases where an appeal involves allegations of discrimination, the Chancellor shall refer that portion of the appeal to the Standing Appeal Committee; or
• Deny the appeal, in whole or in part, if it does not present an appealable issue.

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 Standing Appeal Committee, they shall, within 10 working days of the decision:

• Notify the Chair of the Standing Appeal Committee in writing and provide them with a copy of the Notice of Appeal, and, in the cases involving alleged discrimination, a copy of the report and recommendation of the Office for Compliance and Investigation; and
• Notify the parties to the appeal of the names of the Committee members.

Upon receipt of the Notice of Appeal, the Chair shall distribute a copy of the formal appeal to the Committee members. Each party to the appeal shall be allowed two peremptory challenges in writing to the Chair of the Committee within five working days of receiving notification from the Chancellor regarding the members of the Standing Appeal Committee. Thereafter, any challenged Committee member (including, if appropriate, the Committee Chair) shall be recused, and their alternate shall serve.

The Chair shall establish the hearing date and notify both parties by certified mail, ensuring they receive at least 15 working days’ notice of the date, time, and location of the hearing. Copies of the notice shall also be sent to the dean and Chancellor.

Each party shall provide the Committee Chair and the other party with a witness list, a brief summary of the expected testimony from each witness, and copies of all documents to be introduced at the hearing at least 10 working days prior to the hearing. In addition, the Standing Appeal Committee shall conduct its own independent investigation regarding the action being challenged. If, during this investigation, the Committee deems any documents relevant that have not been submitted by the parties, it shall provide copies to each party at least 10 working days prior to the hearing. LSUHSC-S records and documents relevant to the case shall be made available to the Committee upon request, subject to legal constraints or applicable pledges of confidentiality.

The hearing shall be conducted as follows:

• The Chair of the Committee shall conduct the hearing.
• Each party shall have the right to appear, present a reasonable number of witnesses, introduce documentary evidence, and cross-examine witnesses. The Committee may call additional witnesses whom it believes have relevant testimony to offer. All testimony shall be under oath or affirmation, and an audio recording shall be made of the entire hearing. Testimony may be received via phone, video conference, or other virtual platforms, subject to the convenience of the Committee members. The parties may be excluded when the Committee meets in executive session.
• The faculty member may be accompanied by an attorney, who will serve solely as a non-participating advisor. If the faculty member chooses to have an attorney present, the party allegedly responsible for the action may also bring an attorney. Attorneys for the parties may confer with and advise their clients during adjournments at reasonable intervals set by the chairperson but are prohibited from questioning witnesses, introducing evidence, making objections, or presenting arguments during the hearing. However, the right to have an attorney present may be denied, discontinued, altered, or modified by the committee if necessary to ensure the proper conduct of the hearing.
• While the rules of evidence and procedure are not applied strictly, the chairperson may exclude irrelevant or unduly repetitious testimony.
• The Chair shall rule on all matters regarding the conduct of the hearing and may consult with University Counsel.
• At the request of the faculty member, the Chair may invite an American Association of University Professors (AAUP) representative to be present during the hearing as a non-participating observer.
• Upon the request of the Chancellor, dean, or committee chair, the hearing recording shall be transcribed. If a transcription is made, each party to the appeal shall receive a copy of the transcript upon written request.

Following the hearing and review of all evidence, the Committee shall render a written report to the Chancellor within 10 working days. The 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 10 working 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. Copies shall also be sent to the members of the Standing Appeal Committee, the dean, the department head, and other appropriate administrators. The Chancellor’s decision shall be final, except for appeal to the President of LSU as provided in the LSU Board of Supervisors Bylaws and Rules and Regulations.