Grievance Procedure for Staff

Pursuant to Article XII of the University Senate Code² and  VII of the University Senate Rules and Regulations³ of the University of Kansas, Lawrence, the following procedure is established to hear grievances for eligible university support and unclassified professional staff. This procedure shall not be used to hear disputes assigned to other hearing bodies under USRR Article VI, Section 4⁴ or as specified by pertinent University policies. Human Resources (HR) has the sole and final authority to determine if this procedure is applicable to the dispute.

Except as provided in USRR 6.5.4⁶, no person shall be disciplined for using the grievance procedure or assisting another in using the grievance procedure.

HR shall provide a copy of this procedure to anyone who requests it.

1. To start the grievance process, the complainant must submit a written grievance to HR. If the complaint is against HR, the written grievance will be submitted to the Vice Provost for Operations. The complaint shall contain a statement of the facts underlying the complaint and specify the provision(s) of the University Senate Code, the University Senate Rules and Regulations, or other applicable rule, policy, regulation, or law allegedly violated. The complaint shall also indicate the witnesses or other evidence relied on by the complaining party, and copies of any documents relevant to the complaint shall be attached to the complaint.

2. At the time the complaint is submitted to HR, the complaining party shall provide a copy of the complaint, with accompanying documents, to the respondent(s).

3. Upon receipt of the complaint, HR shall contact the respondent to verify that the respondent has received a copy of the complaint and to provide the respondent with a copy of these procedures.

4. Pursuant to University Senate Code Article XII.2⁷, a respondent has the privilege of remaining silent and refusing to give evidence in response to a complaint. The respondent also has the right to respond and give evidence in response to the complaint.

5. The respondent shall submit a written response to HR within 14 calendar days of receiving the complaint. The response shall contain the respondent’s statement of the facts underlying the dispute as well as any other defenses to the allegations in the complaint. The response shall also identify the witnesses or other evidence relied on by the respondent and shall include copies of any documents relevant to the response. The respondent shall provide a complete copy of the response to the complaining party.

6. Upon receipt of the response, HR shall contact the complaining party to verify that a copy of the response has been provided.

7. Upon receiving the complaint and response, or if the respondent fails to respond within the 14 calendar-day time period, the Associate Vice Provost for HR (or designee) shall appoint a staff committee to consider the complaint. The committee members shall be disinterested parties who have not had previous involvement in the specific situation forming the basis of the complaint.

8. Pursuant to USRR 6.8.4.2⁸, the chair of the committee may contact other hearing bodies within the University to determine whether a grievance or complaint involving the underlying occurrence or events is currently pending before or has been decided by any other hearing body.

9. Time limits: To use this procedure, the complainant must file the written complaint with HR within six months from the action or event that forms the basis of the complaint. The six-month time period shall be calculated using calendar days (including weekends and days during which classes are not in session).

10. Upon receiving the complaint, if the chair of the committee determines that any of the following grounds exist, the chair may recommend to the Associate Vice Provost for HR that the complaint be dismissed without further proceedings. The grounds for such dismissal are: (a) the grievance or another grievance involving substantially the same underlying occurrence or events has already been, or is being, adjudicated by proper University procedures; (b) the grievance has not been filed in a timely fashion; (c) HR lacks jurisdiction over the subject matter or any of the parties; (d) the grievance fails to allege a violation of a University rule; (e) the party filing the grievance lacks standing because the party has not suffered a distinct injury as a result of the challenged conduct and has not been empowered to bring the complaint on behalf of the University; or (f) the party filing the grievance has been denied the right to file grievances pursuant to USRR 6.5.4 or as specified by pertinent University policies⁶.

11. If the chair of the committee determines that a grievance on its face properly should be heard by another body, the chair will recommend that the Associate Vice Provost for HR send the grievance to the appropriate hearing body without further proceedings in HR. The Associate Vice Provost for HR will send a copy of the referral to the complainant(s) and any responding parties.

12. Prior to scheduling a hearing, the parties shall participate in mediation of the dispute unless either party waives mediation. Mediation shall be governed by USRR 6.2.3⁹.

13. If mediation is successful, the mediator will forward to the Associate Vice Provost for HR, the committee chair, and all parties a letter describing the outcome of the mediation and the terms upon which the parties have agreed to resolve the dispute. This letter shall be a recommendation to the Associate Vice Provost for HR who will notify the mediator, the committee chair, and the parties that the recommendation has been accepted, modified, or rejected.

14. If mediation is not successful, the mediator will notify the Associate Vice Provost for HR, the committee chair, and the parties that mediation has terminated. If mediation is not successful, or if it is waived by either party, the grievance committee will schedule a hearing no later than 30 calendar days from the written submission of the complaint. The 30 calendar-day period may be extended for good cause as determined by the chair of the committee. The 30 calendar-day period shall be suspended during the mediation process. The hearing will be closed unless all parties agree that it shall be public.

15. The parties may represent themselves or be represented by an advisor or counsel.

16. Each party has the right to introduce all relevant testimony and documents if the documents have been provided with the complaint or response.

17. Each party shall be entitled to question the other party’s witnesses. The committee may question all witnesses.

18. Witnesses other than parties shall leave the hearing room when they are not testifying.

19. The chair of the committee shall have the right to place reasonable time limits on each party’s presentation.

20. The chair of the committee shall have the authority and responsibility to keep order, rule on questions of evidence and relevance, and shall possess other reasonable powers necessary for a fair and orderly hearing.

21. The hearing shall not be governed by the rules of evidence, but the chair of the committee may exclude information deemed irrelevant, unnecessary, or duplicative. Statements or admissions made as part of the mediation process are not admissible.

22. The committee will make an audiotape of the hearing but not of the deliberations of the committee. The audiotape will be available to the parties, their authorized representatives, the committee and the Associate Vice Provost for HR.  If a party desires a copy of the audiotape or a transcript of the tape, that party will pay for the cost of such copy or transcript. In the event of an appeal, the audiotape will be provided to the appellate body as part of the record of the case.

23. After the presentation of evidence and arguments, the committee will excuse the parties and deliberate. The committee’s decision will be a written recommendation to the Associate Vice Provost for HR. The committee shall base its recommendations solely upon the information presented at the hearing.

24. The committee will send its written recommendation to the Associate Vice Provost for HR and the parties as soon as possible and no later than 14 calendar days after the end of the hearing.

25. Within 14 calendar days of receiving the committee recommendation, the Associate Vice Provost for HR will notify the parties of the acceptance, modification, or rejection of the recommendation, and will advise the parties of the procedure available to appeal the decision.