Equal Opportunity – Complaint Processes and Resolution

The Office for Affirmative Action Planning and Programming within the Division of Diversity, Equity, and Educational Achievement – coordinates campus compliance with affirmative action and equal opportunity regulations applicable to UW-Madison; provides advice and consultation to all members of the university community including administrators, managers and supervisors, faculty, staff, and graduate assistants, applicants for employment, students, and recipients of university services, including visitors, who have questions about possible discrimination;and supports the recruitment and retention of a diverse workforce at UW-Madison. Contact the Division of Diversity, Equity and Educational Achievement if you have concerns about discrimination or questions about the rights of individuals under laws and policies prohibiting discrimination and related university procedures.

The DDEA staff is available to assist you to explore options for addressing discrimination in learning, research, and teaching environments and in the workplace and will provide information about filing complaints alleging discrimination with the UW-Madison Office of Compliance and with external enforcement agencies. This includes follow-up with campus, divisional or departmental human resource staff, department chairs, deans, other university administrators, or the Division of Student Life depending on the issues raised and individuals involved. The Division of Diversity, Equity, and Educational Achievement may also make inquiries with appropriate university officials, based on the relevant issues identified. DDEA also provides information about filing complaints alleging discrimination with the UW-Madison Office of Compliance and with external enforcement agencies.

McBurney Disability Resource Center – Students with disability-related questions involving access to University programs or activities should contact the McBurney Disability Resource Center.

ADA Coordinator – Individuals who have gone through the appropriate accommodation request process and believe that the university has denied them a reasonable accommodation or an academic adjustment, or believe they have experienced discrimination on the basis of disability that has not been resolved through either DDEA or the McBurney Disability Resource Center can contact the ADA Coordinator.

Title IX Coordinator – Title IX of the Education Amendments of 1972, as amended, prohibits discrimination on the basis of sex in educational programs or activities. This statute applies to virtually all aspects of campus activities including employment, student programming, and services provided to the community at large.

Under Title IX, UW–Madison is responsible for taking prompt and effective steps to respond to all reports of sex discrimination, including sexual harassment and sexual violence. As applicable, these steps include stopping the behavior, preventing it from recurring, and addressing its effects. Sexual violence includes physical sexual acts performed against a person’s will or where a person is incapable of giving consent. Acts that fall into the category of sexual violence include rape, sexual assault, sexual battery, and sexual coercion. Dating violence, domestic violence, and stalking typically fall into this category as well.

Office for Equity and Diversity Disability Coordinator/Employment – UW Madison faculty and staff with questions concerning a disability-related employment matter should first contact their Divisional Disability Representative. Information on employment-related disability matters including university policies covering disability can be found on the Creating Community website.

More information about resolving employee problems, including questions related to discrimination, is also available through, the Ombuds Office for Faculty and Staff, the Employee Assistance Program, Office of Human Resources, and through the shared governance Secretary offices: Secretary of the Academic Staff, Secretary of the Faculty, and the Secretary of the University Staff Shared Governance.

The Dean of Students Office, in the Division of Student Life provides a variety of alternative mechanisms to address student concerns. The Dean of Students Office will refer students who wish to file a formal complaint alleging discrimination by another student acting in his or her role as a student or by an employee to the Office of Compliance.

The following individuals may file a complaint with the Office of Compliance:

• Employees
• Former Employees (also subject to the 300-day rule requiring that all discrimination complaints be filed within 300 days of the alleged discriminatory act.)
• Applicants for employment
• Students
• Former Students (also subject to the 300-day rule requiring that all discrimination complaints be filed within 300 days of the alleged discriminatory act.)
• Applicants for admission
• Recipients of university services, while participating in university programs and activities, including visitors to campus

The Office of Compliance Director, based on information received, may also open a complaint investigation at their discretion or at the request of the Chancellor or the Provost.

The following information must be provided by a complainant in a written discrimination complaint in order for the complaint to be considered complete and ready for review by the complaint investigator:

1. Contact information (i.e., name, a street address, telephone number, or email address.)
2. The grounds on which the alleged discrimination occurred. It must be one of the bases listed, depending on whether the allegations involve employment, access to educational programs, or access to a university activity open to the public. These grounds are the only bases on which the Office of Compliance can accept a complaint.
3. The name, title, and address of the person who allegedly discriminated. The Office of Compliance recognizes that it may be difficult for a complainant to gather this information however, before a complaint can be accepted, the Office of Compliance must be able to confirm that the alleged discrimination involved a university sponsored program or activity or was committed by a person acting in his or her capacity as a member of the university.
4. The dates, time period, and the location of the actions or incidents believed to be discriminatory.
5. The effect that the treatment or actions have had on the complainant’s work, instructional, or study environment, or the complainant’s ability to take part in university programs or activities (i.e., the adverse action or outcome).
6. The name, email address  and phone number of persons who have information relevant to the allegations, and the names of any persons who might have experienced similar treatment.
7. Any material supporting the allegations.
8. Also, a statement of an outcome or resolution the complainant believes would be an appropriate remedy for the complaint may be included but is not required.

The complaint must be filed with the Office of Compliance within 300 days of the alleged act of discrimination. The 300 days is counted from the date of the alleged discrimination to the date the complaint is received. This time frame will only be extended in unusual circumstances by the Office of Compliance director, primarily when personal or family illness prevented an individual from filing in a timely manner or when the complainant could not reasonably be expected to know that he or she was being discriminated against within the 300 days. Certain sex-based complaints of sexual harassment and/or sexual violence are not governed by the 300-day deadline. (Note: The time frames for filing under federal and state law may differ. For example, individuals wishing to file with the Office for Civil Rights, U.S. Department of Education, generally need to file complaints within 180 days from the alleged act of discrimination. To ensure that you do not lose any of your rights, you should contact the federal and state agencies at the addresses listed below.)

Acceptance

The Equal Opportunity Complaint Investigator first determines whether to accept the complaint based on the following criteria. All criteria must be met for a complaint to be open for formal investigation.

• Timely filing
• The grounds on which the alleged discrimination occurred must be one of the legally protected bases.
• An adverse action or outcome resulted from the alleged discrimination.
• The individual filing the complaint has standing to do so.

If these criteria are met, the Equal Opportunity investigator conducts the investigation and issues a finding after the investigation is completed. These actions are taken in consultation with the Office of Compliance Director.

Note: A complainant who has filed with federal or State of Wisconsin agencies may also file with the Office of Compliance. The complaint will be investigated providing it meets the Office of Compliance’s requirements.

Denial

If the review indicates that the allegation does not meet criteria for investigation, the complaint will be closed. If the review indicates that the complaint is timely filed, but does not meet other requirements listed, the Office of Compliance will determine if it is necessary to contact the complainant to obtain additional information. If the complainant cannot or does not provide the required information within the appropriate time-frame, the Office of Compliance will administratively withdraw the complaint without an investigation.

The Office of Compliance will not proceed with a complaint when a federal or State of Wisconsin court or federal or state regulatory agency or the university has previously dealt with the specific complaint, or identical issues, and has determined that such allegations are not discriminatory.

Within 14 business days of accepting a discrimination complaint, the Office of Compliance will issue a complaint notification letter to the complainant and to the dean/director/division head in which the respondent is employed. The complaint notification letter will contain the following information: the allegations that will be investigated; a list of federal, state, and university authorities covering the allegations; a statement that retaliation for filing a complaint is forbidden; as well as the name and contact information for the Office of Compliance investigator. The dean/director/division head is responsible for naming a designee who will then assist the investigator with administrative requests (i.e., providing applicable policies, procedures and/or other records). The designee will also provide notification regarding the complaint to the respondent. The designee may be an individual who has supervisory responsibility for the respondent, or the human resources representative within the school, college or division. If, based on the evaluation of the materials supplied by the complainant, the Office of Compliance determines not to conduct an investigation, the complainant will be informed of the Office of Compliance’s decision and the basis for the decision. If appropriate, the notification will contain the names and addresses of relevant State of Wisconsin and federal agencies the complainant may wish to contact to discuss their allegations.

Complainant

A complainant is expected to cooperate with the Office of Compliance during the investigation. This includes identifying a preferred method for communicating with the Office of Compliance, responding to questions, and providing requested information in a timely manner. The Office of Compliance expects that the information will be as accurate as the complainant can provide based on his or her understanding of the issues and will be responsive to the Office of Compliance’s requests. Complainants are entitled to meet with Office of Compliance staff during work hours without penalty. Supervisors must provide reasonable time during work hours for transportation between complainant worksites and designated meetings places.

University Official

The university official is responsible for designating an appropriate contact person; ensure the cooperation of the respondent; make witnesses available; and, provide requested materials in a timely manner. Respondents and employees participating in an investigation are entitled to meet with Office of Compliance staff during work hours without penalty. Supervisors must provide reasonable time during work hours for transportation between complainant work sites and designated meetings places.

Respondent

A respondent is expected to cooperate with the Office of Compliance during the course of the investigation including responding to questions and supplying requested materials.

It is the goal of the Office of Compliance to complete investigations involving allegations of discrimination as soon as possible. The length of an investigation may be impacted by many factors including the complexity of the allegations, the availability of the complainant, the respondent, and witnesses, and timeliness in providing materials needed to resolve the investigation. The Office of Compliance will provide regular updates to the parties regarding the investigation’s progress.

The specific information needed to resolve a complaint will depend on the allegations and may include:

• University policies and procedures related to the allegations
• Interviews with witnesses, the complainant, and the respondent
• Personnel or academic files
• Letters
• Email
• Other sources of information relevant to the investigation

The Office of Compliance will evaluate whether the information collected supports the conclusion that it is more likely than not that the alleged discriminatory conduct occurred, and if so whether it represented a violation of university policy. The Office of Compliance conducts evaluations consistent with relevant statutes, regulations, or policies. In making a decision, the Office of Compliance may use federal and State of Wisconsin court decisions, federal and State of Wisconsin statutes and regulations, federal and State of Wisconsin agency guidance and decisions, UWS and university policies, and previous decisions by the University on similar issues.

Complainant Withdraws Complaint

The Office of Compliance prefers that the request for a withdrawal be contained in a signed document or in a statement that the Office of Compliance will prepare for the complainant. The Office of Compliance will accept a request for a withdrawal in a telephone call or in an e-mail or in a written document. Once the Office of Compliance is apprised of the complainant’s desire to withdraw the complaint, the Office of Compliance will notify the complainant stating that unless the Office of Compliance is informed otherwise by the complainant, the complaint will be closed within 10 calendar days of the date of the letter. After the 10-day period, the Office of Compliance will notify both the university official and the respondent that the complainant has withdrawn by the complaint and the Office of Compliance has closed the matter. After a withdrawal, the complainant may file a new complaint on the same issues providing that it is still timely, e.g., the allegations remain within the 300-day time period.

Allegations Become Moot

This can occur in the following circumstances:

• A federal or a State of Wisconsin court or agency issues a decision on the same issues and determines that these issues are not discriminatory.
• The complainant is deceased, becomes unreachable, or there is no longer an appropriate remedy because the complainant has left the area.
• The complainant is offered a settlement by the university that the Office of Compliance believes remedies the alleged discrimination.
• Under other conditions that reasonably indicate the allegation are moot.

Other Circumstances

There are other circumstances which may require the Office of Compliance to administratively withdraw a complaint in the interests of fairness, equal opportunity, or justice.

Using the preponderance of evidence standard, the Office of Compliance will determine whether there is either sufficient evidence to support the complainant’s allegations. The Office of Compliance will explain the determination with a summary of the allegations, a listing of authorities under which the complainant’s allegation is based, a summary of the information obtained for each allegation, and why the investigation either supported or did not support the allegation.

Determination

If the Office of Compliance determines that the information available does not support the allegations, a letter of insufficient evidence will be issued. A letter of insufficient evidence does not mean that the allegations of discrimination made by the complainant did not occur, rather it means that the Office of Compliance could not determine that it is more likely than not that those events occurred. Generally, notification of outcome will include a description of any appeal process available and a list of other agencies with concurrent jurisdiction.

If the Office of Compliance determines that there is sufficient evidence to indicate that there is discrimination, the Office of Compliance will include a draft resolution agreement in outcome determination. The Office of Compliance will contact the university official to discuss implementing appropriate remedies. In neither case, will the letters contain the names of the individuals involved or interviewed during the investigation unless they are senior university officials.

Remedies

The Office of Compliance may recommend remedies when it concludes that there is sufficient evidence to support the complainant’s allegations. The following is not necessarily an exhaustive list. Examples of the remedies that the Office of Compliance can propose are:

• agreement by the respondent to stop the behavior
• a formal apology
• training, counseling, and coaching regarding employment expectations in the academic work environment
• disciplinary action, which could include a written reprimand placed in the respondent’s employment or academic file
• disciplinary transfer to another job location
• loss of merit pay
• employment or academic suspension
• discharge or expulsion
• back pay
• rehiring if terminated

To appeal an OC discrimination complaint decision, the Appealing Party must address in writing one or more of the following bases for appeal:

1. Identify the facts in the record which do not support the decision and explain why those facts warrant a different outcome;
2. Identify new facts that were not known and could not have been discovered during the investigation and state how these “new facts” would change the analysis and decision.
3. Identify how the decision was based on factors proscribed by state or federal law.

Failure to provide sufficient information to detail any basis for an appeal may result in denial of the Appealing Party’s request for review of the OC’s case decision.

Employees

A current employee may submit a written appeal (along with any supporting documentation) of the OC’s finding to the Office of the Provost.

Students

A current student may submit a written appeal (along with any supporting documentation) of the OC’s finding to the Office of the Chancellor. If the student is dissatisfied with the decision from the Office of the Chancellor, the student, at their discretion, may appeal the Office of the Chancellor’s finding to the Board of Regents.

Timeline

All appeals must be timely filed. In order to be timely, all appeals must be submitted in writing (along with any supporting documentation) to the designated entity (as stated above) within 20 calendar days of the date of the OC’s Findings Letter. The Office of the Provost or the Office of the Chancellor, dependent upon which entity the appeal is submitted to, may exercise their discretion and grant an extension of time in which to file an appeal for unique circumstances. All requests for an extension of time in which to file an appeal must be submitted in writing to the appropriate reviewing entity (i.e., either the Office of the Provost or the Office of the Chancellor) and prior to the deadline for appeal.