These procedures have been reviewed by the Office of the University
General Counsel and are effective March 11, 2003.
Pursuant to Article XIV of the University Senate Code and Articles
V and VI of the University Senate Rules and Regulations of the
University of Kansas, Lawrence, the Office of the Vice Provost
for Research establishes the following procedure to hear grievances
arising within the Office of the Vice Provost for Research. This
procedure shall not be used to hear disputes assigned to other
hearing bodies under USRR Article VI, Section 4.
For disputes involving alleged academic misconduct or alleged
violations of student rights, the initial hearing normally will
be at the unit level. There is an option to hold an initial hearing
at the Judicial Board level if both parties agree, or either
party petitions the Judicial Board chair to have the hearing
at the Judicial Board level and the petition is granted. The
petition must state why a fair hearing cannot be obtained at
the unit level; the opposing party has an opportunity to respond
to the petition (USRR 6.4.3.1).
Except as provided in USRR 6.5.4, no person shall be disciplined
for using the grievance procedure or assisting another in using
the grievance procedure.
The Vice Provost for Research's Office shall provide a copy
of this procedure to anyone who requests it.
- To start the grievance process, the complainant must submit
a written grievance to the Office of the Vice Provost for Research.
The complaint shall contain a statement of the facts underlying
the complaint and specify the provision(s) of the Faculty Code
of Conduct, University Senate Code, the University Senate Rules
and Regulations, the Code of Student Rights and Responsibilities,
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.
- At the time the complaint is submitted to the Vice Provost
for Research, the complaining party shall provide a copy of
the complaint, with accompanying documents, to the respondent(s).
- Upon receipt of the complaint, the Office of the Vice Provost
for Research 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.
- Pursuant to University Senate Code XIV, 2, (d), 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.
- The respondent shall submit a written response to the Office
of the Vice Provost for Research 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.
- Upon receipt of the response, the Office of the Vice Provost
for Research shall contact the complaining party to verify
that a copy of the response has been provided.
- Upon receiving the complaint and response, or if the respondent
fails to respond within the 14-day time period, the Vice Provost
for Research shall appoint a 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.
- Pursuant to USRR 6. 8.4.2, 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.
- Time limits. To use this procedure, the complainant must
file the written complaint with the Office of the Vice Provost
for Research 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).
- Upon receiving the complaint, if the chair of the committee
determines that any of the following grounds exist, he or she
may recommend to the Vice Provost for Research 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. the Vice Provost for Research 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
he or she 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.
- 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 Vice Provost for Research send the
grievance to the appropriate hearing body without further proceedings
in the Vice Provost for Research's Office. The Vice Provost
for Research will send a copy of the referral to the complainant(s)
and any responding parties.
- 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 6.2.3.
- If mediation is successful, the mediator will forward to
the Vice Provost for Research, 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 Vice
Provost for Research. The Vice Provost for Research will notify
the mediator, the committee chair, and the parties that the
recommendation has been accepted, modified, or rejected.
- If mediation is not successful, the mediator will notify
the Vice Provost for Research, 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-day
period may be extended for good cause as determined by the
chair of the committee. The 30-day period shall be suspended
during the mediation process. The hearing will be closed unless
all parties agree that it shall be public.
- Each party may represent himself or herself or be represented
by an advisor or counsel of his or her choice.
- Each party has the right to introduce all relevant testimony
and documents if the documents have been provided with the
complaint or response.
- Each party shall be entitled to question the other party's
witnesses. The committee may question all witnesses.
- Witnesses other than parties shall leave the hearing room
when they are not testifying.
- The chair of the committee shall have the right to place
reasonable time limits on each party's presentation.
- 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.
- The hearing shall not be governed by the rules of evidence,
but the chair of the committee may exclude information he or
she deems irrelevant, unnecessary, or duplicative. Statements
or admissions made as part of the mediation process are not
admissible.
- 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 Vice Provost for Research. 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.
- 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 Vice Provost for Research.
The committee shall base its recommendations solely upon the
information presented at the hearing.
- The committee will send its written recommendation to the
Vice Provost for Research and the parties as soon possible
and no later than 14 calendar days after the end of the hearing.
- Within 14 calendar days of receiving the committee recommendation,
the Vice Provost for Research will notify the parties of the
acceptance, modification, or rejection of the recommendation.
The Vice Provost for Research will advise the parties of the
procedure available to appeal the decision.
Questions? Please contact:
Mark Reynolds
785-864-7250 | mreynolds@ku.edu
Interim Assistant Vice Provost/Director of Finance | Financial Service — Compensation & Appointments
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