KU Discrimination Complaint Resolution Process

University of Kansas, Lawrence
August 1, 2003

The University of Kansas Prohibits Illegal Discrimination

The University of Kansas, Lawrence, prohibits discrimination on the basis of race, religion, color, sex, disability, national origin, ancestry, veteran status, age, sexual orientation, marital status and parental status, in accordance with Titles VI and VII of the Civil Rights Act of 1964, Title IX of the Education Amendments of 1972, Section 503 and 504 of the Rehabilitation Act of 1973, The Americans with Disabilities Act, the Vietnam Veterans Readjustment Assistance Act of 1974, The Kansas Acts Against Discrimination, other applicable civil rights and nondiscrimination statutes, and related Board of Regents and University nondiscrimination policies.

The University's nondiscrimination policy applies to employment practices, conditions of employment, personnel actions and all educational programs of the University and its affiliate organizations. This policy applies to the University and to its affiliate organizations and to any University-sponsored event or program. Leaders of the institution continuously examine all areas of the University and implement strategies to prevent discrimination wherever necessary. The following process is available to the campus community to resolve discrimination complaints that may arise. Reports of discrimination shall be evaluated promptly and acted upon in the appropriate manner as described below.

Discrimination Complaint Resolution Process

The purpose of this process is to provide the Department of Human Resources and Equal Opportunity, administrators, employees and students an internal means of resolving grievances involving a complaint of discrimination. The process is intended to provide confidential and effective resolution for complaints of discrimination on the basis of race, religion, color, sex (including pregnancy and sexual harassment), disability, national origin, ancestry, age, veteran status, sexual orientation, marital status, or parental status. Affected persons, including students, faculty, staff, community members or others involved in university events or programs, may utilize the process to address complaints of discrimination related to University hiring and selection procedures, employment practices, conditions of employment, personnel actions, sexual harassment, racial harassment, or discrimination concerns related to university educational programs and activities.

Who may utilize the University Discrimination Complaint Procedures?

Any person claiming to be aggrieved by a prohibited discriminatory practice at the University may contact the Department of Human Resources and Equal Opportunity. Individuals who may use this procedure include, but are not limited to: individuals applying for enrollment or employment with the university; students; faculty, including those with visiting appointments; teaching or research assistants; postdoctoral research associates and fellows; university support staff and other unclassified employees; university administrators; and other persons receiving university services or participating in university programs. A person in the university community may ask that the Department of Human Resources and Equal Opportunity initiate an investigation of a specific matter.

Complaint Resolution Actions and Procedures

The process for resolving discrimination complaints may include some or all of the following actions: informal inquiry and discussion, mediation, investigation, or other appropriate action. If the subject matter or issue of the complaint does not fall within the jurisdiction of this policy, the Department of Human Resources and Equal Opportunity staff will advise the complainant of other available procedures.

In many cases, individuals will take corrective action when they are made aware of how their actions or behaviors are being perceived. If the complainant is comfortable doing so, he or she may bring the concerns to the attention of the person responsible for the behavior or action. Complainants who choose not to address the discrimination directly on their own or through other informal processes may seek the assistance of the Department of Human Resources and Equal Opportunity. Complainants are encouraged to file their complaints within one calendar year of the most recent occurrence of the alleged discrimination. Complainants may file after one calendar year has elapsed; however, they should be aware that redress outside of the University of Kansas may be barred by the passage of time.

Unit heads and others who serve in leadership roles in the university are responsible for nondiscrimination in their employment and academic environments. Deans, directors, chairpersons or other administrators should contact the Department of Human Resources and Equal Opportunity to initiate an investigation within their area of responsibility if they know or have reason to know that some discriminatory practice may have occurred. The Director of the Department of Human Resources and Equal Opportunity may also initiate an investigation when necessary.

1. Upon receiving a complaint, the Department of Human Resources and Equal Opportunity shall conduct an initial evaluation of the merits of the complaint and determine the appropriate action required. The Department of Human Resources and Equal Opportunity staff will contact the dean, director, administrator, supervisor, or chairperson responsible for the unit to inform them of the filing of the complaint. The responsible administrator may be involved in resolving the complaint. When necessary, appropriate administrator(s) or faculty member(s) will be designated by the Chancellor, Provost, Vice Provost, Dean, Director, or Chairperson, or by the Director of the Department of Human Resources and Equal Opportunity to participate in the evaluation of the complaint and to facilitate necessary action.
2. Following the initial evaluation of the complaint, the Department of Human Resources and Equal Opportunity staff, and, when appropriate, the involved administrator, may determine that further inquiry and discussion of any problem with the respondent may serve as adequate resolution. Other informal steps may resolve the complaint, including mediation between the parties, assignment to relevant workshops, a letter of apology from the respondent to the complainant or other informal action.
3. Alternatively, following the initial evaluation of the complaint, the Department of Human Resources and Equal Opportunity staff, with the appropriate administrator, may determine that a formal investigation of the complaint should occur. The investigation and resolution will include the following steps:
   1. The respondent will be provided with a statement of the complaint in writing.
   2. Thereafter, the respondent will be provided with an opportunity to meet with the Department of Human Resources and Equal Opportunity staff member and the administrator investigating the complaint and to respond to the allegation. Respondents may respond in person or in writing within a reasonable time to be determined by the investigators. If respondents choose not to participate or refuse to answer a complaint, their nonparticipation will not prevent the investigation from proceeding and could result in a finding based solely on the information provided by the complainant.
   3. The respondent may bring a representative to the meeting. If the representative is an attorney, the respondent must notify the Department of Human Resources and Equal Opportunity in writing at least three working days before the meeting date.
   4. The investigators will meet with other persons as necessary to gather relevant information. The complainant or respondent may request that certain individuals be interviewed to provide information. However, the investigators have the discretion to determine who will be interviewed.
   5. The investigators will review any written materials, e-mails or other media that may provide relevant information regarding the complaint.
   6. The investigators will provide their findings and recommendations to the respondent and the complainant in writing within a reasonable time following the conclusion of the investigation.
   7. Recommendations for disciplinary action shall be made in writing by the investigators to the responsible administrator with authority to either carry out or to recommend such action. The administrator will consider the investigators' recommendations and communicate to the parties the sanction that the administrator intends to impose. If the administrator has the authority to impose a sanction as specified by University policy, he/she will communicate in writing to the parties the proposed sanction and the date upon which the sanction is to be imposed. Otherwise, the administrator will recommend a sanction to the University official responsible for implementing a sanction.
   8. The respondent will have the opportunity allowed by the relevant administrative procedures to provide an explanation of his/her actions.
   9. After the respondent has had an opportunity to explain his or her actions, the responsible administrator will determine the sanction.
   10. If the respondent wishes to contest the sanction, the respondent may request a hearing before the appropriate hearing body as determined by the respondent's position in the university. See "University Hearings" below.

University Hearings

An opportunity for a hearing is available when sanctions or disciplinary action follows completion of the Department of Human Resources and Equal Opportunity (HR/EO) investigation and findings. If an HR/EO investigation does not result in any sanction proposal, there is no further internal university review of the matter.

• If, as a result of the HR/EO process, the responsible administrator proposes disciplinary action for a faculty member or an unclassified academic staff member in accordance with the Faculty Code of Rights, Responsibilities, and Conduct, the affected employee may request a review of the action by requesting a hearing before the University Judicial Board or the Tenure and Related Problems Committee, as determined by the sanction. (See University Senate Rules and Regulations 6.4.2. and the Handbook for Faculty and Other Unclassified Staff 1998, Sections C.2.e, Faculty Code of Conduct, Rights, Responsibilities, and Conduct, and C.3, Unclassified Academic Staff.)

• If the Dean of Students charges a student as a result of the HR/EO investigation, the student may request a hearing in accordance with the Code of Student Rights and Responsibilities. If the student does not request a hearing, the Dean will determine the sanction. (See University Senate Rules and Regulations 6.4.9.)

• If the sanction arises from an action taken by a graduate teaching assistant as a University employee, the graduate teaching assistant may request a review in accordance with the Memorandum of Agreement between the University of Kansas, the Kansas Board of Regents and the Kansas Association of Public Employees (representing graduate teaching assistants at the University of Kansas, Lawrence). (See University Senate Rules and Regulations 6.4.16.)

•Graduate research assistants and other student employees have an opportunity to have a supervisor's decision reviewed by the next-level administrator, as described in the Student Employment Handbook, available at the Human Resources and Equal Opportunity web site, www.hreo.ku.edu.

•If an unclassified professional staff member has a sanction imposed as a result of this process, the staff member may request a hearing in accordance with the unclassified professional staff conflict resolution procedures specified in C.4 of the Handbook for Faculty and Other Unclassified Staff. (See University Senate Rules and Regulations 6.4.15.)

•The Director of Human Resources or his/her designee will review any sanction recommended for a university support staff member and take appropriate disciplinary action. Following the Human Resource Director's action, if the final sanction is suspension, demotion, or dismissal, permanent university support staff employees may request an appeal of the sanction before the University Disciplinary Hearing Action Board.

For further information regarding review of sanctions proposed as a result of this policy, contact the Department of Human Resources and Equal Opportunity or the Office of the Provost.

Retaliation

Retaliation against persons who file discrimination complaints is a violation of law. Complainants who utilize these procedures should not be subjected to retaliation for filing a complaint. Retaliation may take the form of unwanted personal contact from the respondent or giving additional assignments that are not assigned to others in similar situations, poor grades or unreasonable course assignments. Phone calls, e-mail or other attempts to discuss the complaint may be perceived as retaliation under certain circumstances. Disciplinary action, harassment, unsupported evaluations, or other adverse changes in the conditions of employment may also constitute retaliation. Retaliation will not be tolerated and could result in suspension, reassignment, salary reduction, termination, expulsion or other disciplinary action.

Abuse of the Discrimination Complaint Resolution Process

The University takes all discrimination complaints seriously. However, knowingly filing a false complaint is considered serious misconduct and is also subject to sanction.

An individual who establishes a pattern of repeatedly filing frivolous complaints that harass colleagues and/or abuse the complaint resolution process may lose the right to file complaints for a specified period of time. Such cases shall be treated in accordance with the provisions of University Senate Rules and Regulations section 6.5.4, Abuse of Grievance Process.

Confidentiality

The Department of Human Resources and Equal Opportunity maintains the confidentiality of information related to complaints. During inquiry, discussion, investigation, and mediation the Department of Human Resources and Equal Opportunity staff will discuss matters related to a complaint only with those individuals who have a relationship to the case or the responsibility to act to resolve the matter. Because the satisfactory resolution of a complaint is most likely to occur when the complaint is addressed quickly and discreetly, both the complainant and the respondent will be asked not to discuss the complaint with anyone except for those persons who may be involved directly. The foregoing does not preclude either party from seeking the advice or counsel of a supervisor, counselor, attorney, or other person in a similar role.

State and Federal Reporting of Discrimination

Employees may file employment discrimination complaints with the Equal Employment Opportunity Commission or the Kansas Human Rights Commission. Students may file discrimination complaints through the Office of Civil Rights in the U. S. Department of Education or the Kansas Human Rights Commission. The Department of Human Resources and Equal Opportunity can provide information about deadlines and filing procedures for the state and federal agencies.

These procedures were adopted in 1977, amended in 1979 and 1980, and revised in May 1988 and July 2003. They are effective August 1, 2003. The Department of Human Resources and Equal Opportunity provides information and educational programs regarding equal opportunity, sexual harassment, discrimination, disabilities, hiring, and affirmative action. The Department of Human Resources and Equal Opportunity monitors unclassified hiring procedures, resolves discrimination complaints and oversees the University of Kansas nondiscrimination policies. Inquiries regarding affirmative action or equal opportunity on the Lawrence Campus may be made to the Linda Fund, Assistant Director, Department of Human Resources and Equal Opportunity, 1246 W. Campus Road, 101 Carruth O'Leary, Lawrence, KS 66045, 785/864-3686. See www.hreo.ku.edu for more information. (rev 02/06)