SECTION CONTENTS

500.00  Formal Complaint Procedures

510.00  Confidentiality

511.00   Expectations of Confidentiality Pertaining to All Parties

512.00   Conditions Pertaining to the Release of Confidential Information

520.00  Notice of Complaint

521.00   Notice of the Effective Date of the Complaint

522.00   Notice of Applicable Policies and Procedures

523.00   Notice as to Investigator and Advisors

524.00   Notice as to Conduct Expectations

530.00  Rights and Duties of the Complainant

531.00   Contents of the Complaint

532.00   Cooperation with the Investigation

533.00   Penalty for Filing False Complaints

540.00  Rights and Duties of the Respondent

550.00  Investigatory Procedures

560.00  Report of Findings

561.00   Contents

562.00   Standard of Proof

563.00   Findings of No Reasonable Cause

564.00   Findings of Reasonable Cause

565.00   Appealing the Report of Findings

565.10   Appeal of No Reasonable Cause Finding

565.20   Appeal of Reasonable Cause Finding

570.00  Disciplinary Action

500.00 Formal Complaint Procedures

A formal complaint is a written statement of allegation(s) of discrimination that is prepared, signed and dated by the complainant or prepared by the HR/AA staff and signed and dated by the complainant, and filed with the HR/AA office. 

Formal complaints are investigated by an authorized representative of the University. 

Complaints should be filed within one hundred twenty (120) calendar days of the last act of alleged discrimination.  However, the HR/AA Director may decide to accept a complaint filed after this deadline if the alleged discrimination may be continuing or there is good cause to do so.

510.00 Confidentiality

The complainant and respondent in a formal complaint have reasonable expectations of confidentiality in the investigation and hearing of matters subject to this procedure.  The HR/AA Director and staff shall disclose confidential information only to the complainant, the respondent, potential witnesses, and appropriate supervisors and administrators as necessary to: (1) give the respondent fair notice of the charges, (2) conduct a thorough investigation, and (3) take any appropriate corrective or disciplinary action.

511.00 Expectations of Confidentiality Pertaining to All Parties

All parties involved in an investigation or hearing, including witnesses, shall keep information concerning the investigation confidential.

An individual involved in the investigation of a formal complaint may waive his or her personal right to confidentiality by disclosing information to others outside the complaint investigation process. However, any individual waiving his or her right to privacy is not free to breach the privacy rights of others.

Violations of the confidentiality of other persons involved in a formal complaint, if identified and confirmed, may result in disciplinary or corrective action.

512.00 Conditions Pertaining to the Release of Confidential Information

Information concerning a formal complaint of discrimination filed under these policies may be released only to the following:

1. The complainant;
2. The respondent;
3. If appropriate, the respondent's and/or complainant's supervisor;
4. The administrator, committee chair, presiding officer, and/or members of any committee or Board from which the complaint of discrimination may have originated (see Section 310.00); 
5. The Hearings Officer, if any, who is involved in any appeals, mediation, or adjudication process related to the complaint;
6. The chair and members of the Appeals Committee;
7. University officials who have a need to review the report to perform official University business including taking corrective and/or disciplinary action;
8. Attorneys for the complainant and respondent; and
9. Officials of the Montana University System, the Montana Board of Regents of Higher Education or other duly constituted board.

Any court or government agency to whom the complainant or respondent has filed or appealed a related complaint may request a copy of the Report.

520.00 Notice of Complaint

In accepting a complaint for investigation, the HR/AA Director may examine the issues raised, limit the complaint to the specific allegation(s) of discrimination over which the HR/AA office has jurisdiction, and refer allegations over which the office has no jurisdiction to the appropriate office, agent or committee. 

The complainant shall be informed in writing of any limitations of the original complaint due to lack of jurisdiction.

521.00 Notice of the Effective Date of the Complaint

The Director shall establish the effective date of the complaint and inform the complainant and respondent to this date in the Notice of the Complaint.

522.00 Notice of Applicable Policies and Procedures

Both parties shall receive a complete copy of these procedures either in hard copy upon request or by direction to this web site: [http://www2.montana.edu/policy/affirmative_action/.]

523.00 Notice as to Investigator and Advisors

The Notice of Complaint shall identify the person or persons who will be conducting the investigation. 

Both parties have the right to have an advisor present during interviews with the investigator, at their own expense.  Attorneys and non-attorney advisors may be present at interviews and on other proceedings described in this document only to advise the parties.  They may not participate directly in the interview or other proceedings.

524.00 Notice as to Conduct Expectations

The Notice of the Complaint may specify expectations for respondent’s and/or complainant’s conduct during the investigation, including expectations as to confidentiality and prohibitions against contact and retaliation. 

Disciplinary action may result if violations of these expectations are identified and confirmed.

530.00 Rights and Duties of the Complainant

The complainant is responsible for submitting, signing, and dating a written complaint or for signing and dating a written complaint developed by HR/AA from information provided by complainant.

531.00 Contents of the Complaint

The written complaint should contain the following:

1. Detailed description of the alleged discriminatory conduct or incident(s), including dates, times, and location whenever possible;
2. Names of witnesses to the alleged violation(s);
3. Documentation in support of the allegation(s); and
4. Statement of the relief sought or outcome desired.

HR/AA staff may assist the complainant in writing the complaint.  The complaint must be dated and signed by the complainant.

532.00 Cooperation with the Investigation

The complainant is expected to cooperate with the investigation and be honest and reasonable in pursuing the complaint. 

533.00 Penalty for Filing False Complaints

A complainant found to have knowingly filed a false complaint may be subject to disciplinary action.

540.00 Rights and Duties of the Respondent

The respondent shall receive a written Notice of the Complaint once any jurisdictional questions have been settled.  A copy of the complaint may be submitted with the notice or be made available, upon request, for respondent’s review in the HR/AA office.

The respondent will have the opportunity to respond to the allegation(s) during interviews with the investigator.  After the interview(s), the respondent may continue to provide additional information and evidence on his or her behalf.

The respondent is expected to cooperate with the investigation, present documentation on his or her behalf, and identify witnesses to the incident(s) giving rise to the complaint.

550.00 Investigatory Procedures

The investigation officially begins on the effective date of the complaint.  The investigation shall proceed as follows:

1. The HR/AA Director may assign a representative to investigate the complaint;
2. The investigator shall meet with the complainant to review the complaint, clarify the charge(s) and obtain detailed information about the allegation(s);
3. The HR/AA Director shall inform the respondent of the complaint, naming the complainant and summarizing the allegation(s) to be investigated, within five (5) working days of the effective date of the complaint;
4. The investigator shall collect and review written documents related to the complaint, interview the complainant and respondent, and identify and interview witnesses; and
5. The investigator shall make every reasonable effort to complete the investigation within forty-five (45) working days from the effective date of the complaint.  If the investigation is not completed within this time period, the investigator shall so notify the parties in writing.

The investigator shall prepare a written report of the investigation and submit this, with documentation and evidence, to the HR/AA Director.

560.00 Report of Findings

Within thirty (30) working days after receiving of the report of the investigation, the HR/AA Director shall prepare a written Report of Findings.  If the HR/AA Director cannot complete the Report of Findings within thirty (30) days, he or she shall notify the parties in writing. 

561.00 Contents

The Report of Findings will:

1. Present the contentions of the parties;
2. Summarize the testimony of witnesses, if any;
3. State the findings of fact;
4. Cite applicable laws;
5. Find whether or not the allegation(s) of the complaint are supported by the substantial credible evidence, using the reasonable person standard;
6. Determine if other University policies have been violated; and
7. If appropriate, recommend disciplinary and/or corrective action.

562.00 Standard of Proof

The no reasonable cause or reasonable cause finding will be made on a case-by-case basis and based on the preponderance of the credible evidence as evaluated by a reasonable person.

563.00 Findings of No Reasonable Cause

A finding of no reasonable cause indicates that: 

1. The preponderance of the substantial, credible evidence failed to support a determination that unlawful discrimination occurred;
2. There was insufficient evidence to assess to whether prohibited discrimination occurred; or
3. The investigation found that the HR/AA Office lacked jurisdiction over the complaint.

564.00 Findings of Reasonable Cause

A finding of reasonable cause indicates that the preponderance of the substantial, credible evidence supported a determination that a violation of policy occurred, a person was detrimentally affected by the conduct, and the conduct would have detrimentally affected a reasonable person under the same circumstances.

565.00 Appealing the Report of Findings

565.10 Appeal of No Reasonable Cause Finding

If the Director finds no reasonable cause that the allegation(s) were supported by the preponderance of the substantial, credible evidence, the case shall be closed. 

If the complainant disputes the finding, he or she may file a complaint with an outside agency or a Montana or federal court. 

565.20 Appeal of Reasonable Cause Finding

A respondent who disagrees with the reasonable cause finding shall appeal to the Appeals Committee by submitting a written request for a hearing to the President within ten (10) working days of receiving the Report of Findings.

If a respondent does not dispute a finding of reasonable cause and does not request a hearing, the case shall be closed.

570.00 Disciplinary Action

Disciplinary action may result from findings of reasonable cause and may be imposed by the appropriate administrator or supervisor after considering the recommendations of the Report of Findings (see Section 560.00) or Report of the Appeals Committee (see Section 670.00). 

If a respondent appeals the Report of Findings, the respondent's supervisor or appropriate University administrator shall delay taking disciplinary action until the appeals process is completed, the Report of the Appeals Committee or the Hearings Officer has been transmitted to the President, and the President has notified the supervisor that he or she may proceed.

A respondent may grieve disciplinary action through the grievance procedures applicable to his or her employment status, status as a student, or status as an applicant.  In such a case, only the nature and appropriateness of the disciplinary action may be grieved.  The grievance body may receive a copy of the Report of the Appeals Committee or Hearings Officer, and other documentation but may not re-hear the appeal or disagree with the Report .

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