Formal Investigations

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

• Employees and former employees 
• Applicants for employment 
• Students and former students 
• Applicants for admission 
• Recipients of university services, while participating in university programs and activities, including visitors to campus 

Before submitting a written complaint, we suggest each complainant meet and speak with an Office of Compliance Case Manager to discuss the investigation process. The Case Manager can provide assistance in determining what information will be most useful to include in the written complaint.

To request an investigation, the complainant should submit the following information in writing to OC_CaseManager@wisc.edu: 

1. Your contact information (i.e., name, telephone number, and email address.) 
2. The name and title of the person(s) who allegedly discriminated against you and their relationship to you (advisor, supervisor, colleague, instructor, classmate, etc.).
3. The basis on which you believe you were discriminated against (race, sex, religion, disability, etc. See all protected bases here)
4. A short summary of the actions or incidents believed to be discriminatory or harassing, including dates, times, and locations when possible.
5. Explain why you believe the listed actions and incidents above were based on the identified protected basis (i.e., why do you believe they were discriminatory?)
   For example:

   • If you were disciplined, why do you believe the discipline was discriminatory and not for the reason your employer told you?

   • If you are being harassed by your college or classmate, why do you believe it is because of the protected base and not some other reason?

6. The effect that the treatment or actions have had on your work, instructional, or study environment, or your ability to take part in university programs or activities (i.e., the adverse action or outcome).
   For example:

   • Have you lost promotional opportunities?

   • Have you been removed from an academic program?

   • Have you been too distressed to perform your employment or academic obligations?

7. Optional: A statement of an outcome or resolution you believe would be an appropriate remedy.

Please note: Your written complaint does not need to include all information relevant to your allegation, instead it should be a summary of discrimination or harassment you experienced. Please limit your complaint to fewer than five pages.

After the written complaint has been received, it will be reviewed to determine if the allegations would constitute a violation of the relevant policy. The complainant may be invited to participate in an interview with a neutral investigator to obtain additional information regarding the allegations. If an investigation is warranted, the OC will begin the investigation by issuing a Notice of Investigation. 

The written 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 may be extended in specific circumstances, 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 they were being discriminated against within the 300 days. 

Notice of Investigation and Respondent Participation 

Once sufficient information is obtained from the complainant and a prima facie case has been established (meaning that the alleged conduct “on its face” would violate policy), the investigator will send a Notice of Investigation to the respondent that describes the alleged discriminatory conduct, includes relevant policy charges, and provides process information to both parties. The respondent’s supervisor will also receive a copy of the Notice of Investigation.  

The parties will both be asked to provide any documentary evidence (emails, text messages, social media posts, other records, etc.) they want to have considered during the investigation and to identify any witnesses who might provide information to support their statement. The investigator will also independently collect additional information that is available and relevant to the allegations.  

Written Reports and Determination of Responsibility 

Once this investigation is complete, the investigator will prepare a report outlining the information gathered during the investigation. Both the complainant and the respondent are afforded an opportunity to review the Initial Investigative Report for accuracy and provide feedback. 

Once both parties have an opportunity to review and respond to the Initial Investigative Report, the investigator will draft the Final Investigative Report, which will include factual findings, the investigator’s determination as to whether any violation of the campus policy occurred and, when appropriate, any recommended discipline or sanctions. 

Note: The standard of proof required is the “preponderance of the evidence” standard. Under this standard, it must be more likely true than not true that the alleged discriminatory conduct occurred for the respondent to be held responsible and potentially face disciplinary action. 

Once complete, the Final Investigative Report will be distributed to both parties. The investigator’s findings will be considered the final decision unless either party appeals (See Appeals section). 

Timeline

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. 

Once the Final Investigative Report has been issued to the parties, the parties – depending on their affiliation with the university – may have a right to appeal the responsibility determination.

Who can file an appeal?

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. 

What are the bases for filing an appeal?

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. 

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 Final Investigative Report. 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.