DWD 224.03(3)(3) Form and content of complaint. A complaint shall be written on a form that is available at any division office or on any form acceptable to the division. Each complaint shall be signed by the employee filing the complaint or by the employee’s duly authorized representative. The signature constitutes an acknowledgment that the employee or the representative has read the complaint; that to the best of that employee’s knowledge, information, and belief the complaint is true and correct; and that the complaint is not being used for any improper purpose, such as to harass the party against whom the complaint is filed. Each complaint shall contain all of the following information: DWD 224.03(3)(c)(c) A concise statement of the facts, including pertinent dates, constituting the alleged retaliatory action. DWD 224.03 NoteNote: A complaint form is also available on the Department of Workforce Development’s website at http://www.dwd.state.wi.us/ by following the link to Equal Rights. DWD 224.03(4)(4) Assistance by the division. The division shall, upon request, provide appropriate assistance in completing and filing complaints. DWD 224.03(5)(5) Amendment of complaint. A complaint may be amended, subject to the approval of the division, except that a complaint may not be amended less than 20 days before hearing unless good cause is shown for the failure to amend the complaint prior to that time. If the complaint is amended prior to the issuance of an initial determination, the division shall investigate the allegations of the amended complaint. If the complaint is amended after the case has been certified to hearing, the chief of the hearing section or the administrative law judge may remand the complaint to the investigation section to conduct an investigation and issue an initial determination as to whether probable cause exists to believe that the respondent took retaliatory action as alleged in the amended complaint. An amended complaint shall be dismissed if it does not meet the requirements of s. DWD 224.06 (1). DWD 224.03(6)(6) Withdrawal of complaint. A complaint may be withdrawn at any time. A request for withdrawal shall be in writing and shall be signed by the complainant or by the complainant’s duly authorized representative. Upon the filing of a request for withdrawal, the division shall dismiss the complaint by written order. Such dismissal shall be with prejudice unless otherwise expressly stated in the order. DWD 224.04(1)(1) When notice is to be sent. The division shall serve a copy of a complaint that meets the requirements of s. DWD 224.03 upon each respondent prior to the commencement of any investigation. DWD 224.04(2)(2) Content of notice. The notice shall include a copy of the complaint, which shall indicate on its face the date the complaint was filed. The notice shall direct the respondent to respond in writing to the allegations of the complaint within a time period specified by the division. The notice shall further state that, if the respondent fails to answer the complaint in writing, the division may make an initial determination as to whether retaliatory action has occurred based only on the division’s investigation and the information supplied by the complainant. DWD 224.04 HistoryHistory: CR 03-092: cr. Register March 2004 No. 579, eff. 4-1-04. DWD 224.05DWD 224.05 Complainant’s duty to respond to correspondence from the division. The division may dismiss the complaint if the complainant fails to respond to the division within 20 days from the date of mailing of any correspondence from the division concerning the complaint, provided that correspondence was sent by certified mail, return receipt requested, to the last known address of the complainant. DWD 224.05 HistoryHistory: CR 03-092: cr. Register March 2004 No. 579, eff. 4-1-04. DWD 224.06DWD 224.06 Preliminary review of complaints. DWD 224.06(1)(1) Review of complaint. The division shall review every complaint filed to determine all of the following: DWD 224.06(1)(d)(d) Whether the complaint was filed within the time period set forth in s. 230.85 (1), Stats., if that issue is raised in writing by the respondent. DWD 224.06(2)(2) Preliminary determination dismissing complaint. The division shall issue a preliminary determination dismissing any complaint or any portion of a complaint that fails to meet the requirements of sub. (1). The division shall send the order of dismissal by first class mail to the last known address of each party and to their attorneys of record. DWD 224.06(3)(3) Appeal of preliminary determination. A complainant may appeal from an order dismissing a complaint under sub. (2) by filing a written appeal with the division. The appeal shall be filed within 20 days of the date of the order and shall state specifically the grounds upon which it is based. If a timely appeal is filed, the division shall serve a copy of the appeal upon all other parties. The matter shall be referred to the hearing section of the division for review by an administrative law judge. The administrative law judge shall issue a decision which shall either affirm, reverse, modify, or set aside the preliminary determination. The division shall serve the decision of the administrative law judge upon the parties. If the decision reverses or sets aside the preliminary determination, the complaint shall be remanded for investigation. If the decision affirms the preliminary determination, the complainant may seek judicial review if it is a final decision and order as defined in s. DWD 224.22 (1). DWD 224.06 HistoryHistory: CR 03-092: cr. Register March 2004 No. 579, eff. 4-1-04. DWD 224.07(1)(1) Conduct of investigation. Except as provided in sub. (3), the division shall investigate all complaints that satisfy the review under s. DWD 224.06. In conducting investigations under this chapter, the division may seek the cooperation of all persons to provide requested materials to the division; to obtain access to premises, records, documents, individuals, and other possible sources of information; to examine, record, and copy necessary materials; and to take statements of persons reasonably necessary for the furtherance of the investigation. In scheduling interviews with state employees, the division may consider the programmatic needs of the appointing authority. The division may subpoena persons or documents for the purpose of the investigation. Subpoenas may be enforced pursuant to s. 885.11, Stats. DWD 224.07(2)(2) Advising complainant to amend complaint. If, during an investigation, it appears that the respondent has engaged in retaliatory action against the complainant that is not alleged in the complaint, the division may advise the complainant that the complaint should be amended. DWD 224.07(3)(3) Dismissal of complaint prior to completion of investigation. DWD 224.07(3)(a)(a) The division may dismiss a complaint prior to completion of an investigation under the following circumstances: DWD 224.07(3)(a)1.1. The complainant has failed to respond to correspondence from the division concerning the complaint within 20 days after the correspondence was sent by certified mail to the last-known address of the person filing the complaint. DWD 224.07(3)(a)2.2. The complainant signed a valid waiver and release of claims arising out of the complainant’s employment with the respondent which would preclude the division from finding that the respondent has violated subch. III of ch. 230, Stats. DWD 224.07(3)(a)3.3. The allegations in the complaint have been previously dismissed by the division. DWD 224.07(3)(b)(b) A complainant may appeal from an order dismissing a complaint under this subsection by filing a written appeal with the division. The appeal shall be filed within 20 days of the date of the order and shall state specifically the grounds upon which it is based. If a timely appeal is filed, the division shall serve a copy of the appeal upon all other parties. The matter shall be referred to the hearing section of the division for review by an administrative law judge. The administrative law judge shall issue a decision that shall either affirm, reverse, modify, or set aside the dismissal of the complaint. The decision of the administrative law judge shall be served upon the parties. If the decision reverses or sets aside the dismissal, the complaint shall be remanded for further investigation. If the decision affirms the dismissal of the complaint, it is subject to judicial review under ch. 227, Stats., if it is a final decision and order as defined in s. DWD 224.22 (1). DWD 224.07 HistoryHistory: CR 03-092: cr. Register March 2004 No. 579, eff. 4-1-04. DWD 224.08(1)(1) General. At the conclusion of the investigation, the division shall issue a written initial determination that shall state whether or not there is probable cause to believe that retaliatory action occurred as alleged in the complaint. This initial determination shall set forth the facts upon which its conclusion is based and shall be served upon the parties. DWD 224.08(2)(2) Initial determination of probable cause. If the division initially determines that there is probable cause to believe that any retaliatory action occurred as alleged in the complaint, it shall certify the case to hearing. A hearing on the merits shall thereafter be noticed and conducted in accordance with the provisions of ss. DWD 224.12 to 224.21. DWD 224.08(3)(3) Initial determination of no probable cause. If the division initially determines that there is no probable cause to believe that retaliatory action occurred as alleged in the complaint, it may dismiss those allegations. The division shall, by a notice to be incorporated in the initial determination, notify the parties and their attorneys of record of the complainant’s right to appeal as provided in s. DWD 224.09. DWD 224.08 HistoryHistory: CR 03-092: cr. Register March 2004 No. 579, eff. 4-1-04. DWD 224.09DWD 224.09 Appeal of initial determination of no probable cause. DWD 224.09(1)(1) When filed. Within 30 days after the date of an initial determination finding that there is no probable cause, a complainant may file a written request for a hearing on the issue of probable cause. The request for hearing shall state specifically the grounds upon which the appeal is based. The division shall notify the respondent that an appeal has been filed within 10 days of receiving the appeal. DWD 224.09(2)(2) Dismissal final if no appeal filed. If no timely written request for a hearing is filed, the initial determination’s order of dismissal shall be the final determination of the division. DWD 224.09(3)(3) Certification to hearing on issue of probable cause; right to stipulate the case be decided on merits. If a timely appeal is filed, the division shall issue a notice certifying the matter to hearing. A hearing on the issue of probable cause shall be noticed and conducted in accordance with the provisions of ss. DWD 224.12 and 224.14 to 224.21, except that the parties may stipulate prior to the hearing that the administrative law judge may decide the case on the merits. If a hearing on the issue of probable cause is requested in a case in which the initial determination also found probable cause with respect to one or more issues the division may, with the consent of the parties, consolidate the hearing on probable cause and the hearing on the merits. DWD 224.10DWD 224.10 Private settlement and conciliation. The parties may enter into an agreement to settle the complaint at any time during the proceedings, with or without assistance by the division. The division may assist the parties to reach a settlement agreement. The parties shall notify the division immediately upon reaching a settlement. DWD 224.10 HistoryHistory: CR 03-092: cr. Register March 2004 No. 579, eff. 4-1-04. DWD 224.11DWD 224.11 Dismissal of complaint for lack of jurisdiction or other procedural basis following certification to hearing. A complaint may be dismissed based upon the conditions set forth in s. DWD 224.06 (1) or for any other procedural basis after the case is certified to hearing under either s. DWD 224.08 (2) or 224.09 (3). In determining whether to dismiss the complaint, the administrative law judge may consider documents and affidavits presented by any party and may hold a hearing to allow the parties to establish facts that may have a bearing on whether the complaint should be dismissed. If the administrative law judge issues an order dismissing the complaint under this section, a certified copy of the order and a notice of appeal rights shall be sent by first class mail to the last known address of each party and to their attorneys of record. DWD 224.11 HistoryHistory: CR 03-092: cr. Register March 2004 No. 579, eff. 4-1-04. DWD 224.12(1)(1) Content. In any matter which has been certified to hearing following an initial determination of probable cause under s. DWD 224.08 (2) or an appeal of an initial determination of no probable cause under s. DWD 224.09 (3), the division shall advise the parties and their representatives and attorneys of record in writing by first–class mail, of the specific time, date, and place established for the hearing. The notice of hearing shall fully identify the parties and the case number. It shall specify a time and date for hearing not less than 30 days after the date of mailing of the notice of hearing. The notice of hearing shall specify the nature of the retaliatory action that is alleged to have occurred and shall state the legal authority on which the hearing is based. A copy of the complaint shall be attached to the notice of hearing. DWD 224.12(2)(2) Place of hearing. The hearing shall be held in the county where the alleged retaliatory action occurred or at another location with the consent of the parties. For the purpose of this subsection, the county where the alleged retaliatory action occurred is the county where the complainant was employed at the time. DWD 224.12 HistoryHistory: CR 03-092: cr. Register March 2004 No. 579, eff. 4-1-04. DWD 224.13(1)(1) When required. Within 21 days after the date of a notice of hearing on the merits, each respondent shall file with the hearing section of the division an answer to the allegations of the complaint upon which there is a finding of probable cause, along with a certification that a copy of the answer has been mailed to all other parties. DWD 224.13(2)(2) Content of answer. The answer shall contain the address of the respondent and the name and address of the respondent’s legal counsel or other representative. It shall also contain a specific admission, denial, or explanation of each allegation of the complaint. If the respondent is without knowledge or information sufficient to form a belief as to the truth of an allegation, the respondent shall so state and this shall have the effect of a denial. Admissions or denials may be to all or part of an allegation, but shall fairly meet the substance of the allegation. Any affirmative defense relied upon, including the statute of limitations, shall be raised in the answer unless it has previously been raised by a motion in writing. Failure to raise an affirmative defense in the answer may, in the absence of good cause, be held to constitute a waiver of such a defense. DWD 224.13 HistoryHistory: CR 03-092: cr. Register March 2004 No. 579, eff. 4-1-04. DWD 224.14DWD 224.14 Pre–hearing conference. In any case which has been certified to hearing, a pre–hearing conference may be held in accordance with the provisions of s. 227.44 (4), Stats. DWD 224.14 HistoryHistory: CR 03-092: cr. Register March 2004 No. 579, eff. 4-1-04. DWD 224.15(1)(1) When discovery may begin. Discovery may not be used prior to the time that a matter is certified to hearing, except that the taking and preservation of evidence shall be permitted prior to certification to hearing under the circumstances set forth in s. 227.45 (7), Stats. DWD 224.15(2)(2) Discovery directed to a party not represented by legal counsel. In the case of discovery directed to a party who is not represented by legal counsel, the party seeking that discovery shall, not less than 10 days prior to conducting such discovery, state in writing that it intends to seek discovery. The party seeking discovery shall send this notice to the party who is not represented by legal counsel and to either the chief of the hearing section or the administrative law judge, if one has been assigned to the case. All copies of demands for discovery and notices of depositions shall be filed with the division at the time they are served upon the party from whom the discovery is sought. Copies of responses to discovery by an unrepresented party and the original transcript of any deposition of an unrepresented party shall be filed with the division by the party which instituted those discovery requests as soon as practicable after the discovery has been taken. DWD 224.15(3)(3) Scope, method, and use of discovery. The scope of discovery, the methods of discovery, and the use of discovery at hearing shall be the same as set forth in ch. 804, Stats. DWD 224.15(4)(4) Failure to comply with discovery requests; duty to consult with opposing party. The administrative law judge may compel discovery, issue protective orders, and impose sanctions in the manner provided under ch. 804, Stats. All motions to compel discovery or motions for protective orders shall be accompanied by a statement in writing by the party making the motion that, after consultation in person or by telephone with the opposing party and sincere attempts to resolve their differences, the parties are unable to reach agreement. The statement shall state the date and place of such consultation and the names of all parties participating in the consultation. DWD 224.15(5)(5) Filing with division. Copies of discovery requests and responses to discovery requests need not be filed with the division, except as required under sub. (2). DWD 224.15 HistoryHistory: CR 03-092: cr. Register March 2004 No. 579, eff. 4-1-04. DWD 224.16(1)(1) Subpoenas. The division or a party’s attorney of record may issue a subpoena to compel the attendance of a witness or the production of documents. A subpoena issued by an attorney shall be in substantially the same form as provided in s. 805.07 (4), Stats., and shall be served in the manner provided in s. 805.07 (5), Stats. Witnesses summoned by a subpoena who are not employees of the civil service as defined in s. 230.03 (6), Stats., shall be entitled to the witness and mileage fees set forth in s. 814.67 (1) (a) and (c), Stats. The cost of service, witness, and mileage fees shall be paid by the person issuing the subpoena. Subpoenas may be enforced pursuant to s. 885.11, Stats. DWD 224.16(2)(2) Motions. Motions made during a hearing may be stated orally and shall, with the ruling of the administrative law judge, be included in the record of the hearing. All other motions shall be in writing and shall state briefly the relief requested and the grounds upon which the moving party is entitled to relief. All written motions shall be filed with the administrative law judge assigned to the case. Any briefs or other papers in support of a motion, including affidavits and documentary evidence, shall be filed with the motion. Any party opposing the motion may file a written response. All written motions shall be decided without further argument unless requested by the administrative law judge. DWD 224.16 HistoryHistory: CR 03-092: cr. Register March 2004 No. 579, eff. 4-1-04. DWD 224.17DWD 224.17 Disqualification of the administrative law judge. Upon the administrative law judge’s own motion, or upon a timely and sufficient affidavit filed by any party, the administrative law judge shall determine whether to disqualify himself or herself because of personal bias or other reason. The administrative law judge’s determination shall be made a part of the record and decision in the case. DWD 224.17 HistoryHistory: CR 03-092: cr. Register March 2004 No. 579, eff. 4-1-04. DWD 224.18DWD 224.18 Exchange of names of witnesses and copies of exhibits. By no later than the tenth day prior to the day of hearing, the parties shall file with the division and serve upon all other parties a written list of the names of witnesses and copies of exhibits which the parties intend to use at the hearing. For the purpose of this section, service is complete on mailing rather than on receipt. The administrative law judge may exclude witnesses and exhibits not identified in a timely fashion pursuant to this section. This section does not apply to witnesses and exhibits offered in rebuttal that the party could not have reasonably anticipated using prior to the hearing. DWD 224.18 HistoryHistory: CR 03-092: cr. Register March 2004 No. 579, eff. 4-1-04. DWD 224.19(2)(2) Postponements and continuances. All requests for postponements shall be filed with the administrative law judge within 10 days after the notice of hearing, except where emergency circumstances arise after the notice is issued but prior to the hearing. The party requesting a postponement shall mail a copy of the request to all other parties at the time the request is filed with the division. Postponements and continuances may be granted only for good cause shown and shall not be granted solely for the convenience of the parties or their attorneys. DWD 224.19(3)(3) Appearance of parties. Parties may appear at the hearing in person and by counsel or other representative. DWD 224.19(4)(4) Failure to appear at hearing. If the complainant fails to appear at the hearing, either in person or by a representative authorized to proceed on behalf of the complainant, the administrative law judge shall dismiss the complaint. If the respondent fails to appear at the hearing, the hearing shall proceed as scheduled. If, within 10 days after the date of hearing, any party who failed to appear shows good cause in writing for the failure to appear, the administrative law judge may reopen the hearing. DWD 224.19 HistoryHistory: CR 03-092: cr. Register March 2004 No. 579, eff. 4-1-04. DWD 224.20(1)(1) Method of recording hearing. A stenographic, electronic, or other record of oral proceedings shall be made at all hearings conducted under subch. III of ch. 230, Stats. Any party wishing to have a court reporter present to transcribe the proceedings shall be permitted to do so at their own expense. If the hearing is recorded on tape or digitally, the original recording shall remain in the division for 5 years following the hearing, after which it may be discarded. DWD 224.20(2)(2) Requirements for preparation of transcripts. Any party may file a transcript of the hearing with the division. The transcript shall be prepared by an independent, reputable court reporter or transcriptionist. The transcript shall include a certification by the transcriptionist that it is an original, verbatim transcript of the proceedings. DWD 224.20(3)(3) Cost for transcription of record. Transcription of the record for purposes other than judicial review shall be at the expense of any party who requests the transcription. For the purpose of judicial review, the division shall prepare at its own expense and provide to the court a transcript of the record, unless a transcript has already been prepared at the expense of the parties. If a transcript has been provided to the court for the purpose of judicial review, the division shall provide a copy of the transcript at no cost to any party that submits a sworn affidavit of indigency and the inability to obtain funds to pay for a transcript. DWD 224.21(1)(1) General. After the close of the hearing, including any briefs that may be allowed by the administrative law judge, the administrative law judge shall prepare a formal written decision that shall include findings of fact, conclusions of law and an order, and which may be accompanied by an opinion. DWD 224.21(2)(2) Decision and order after hearing on the issue of probable cause. After a hearing on the issue of probable cause, the administrative law judge shall issue a decision and order which dismisses the allegations of the complaint or which orders that the case be certified for a hearing on the merits of the complaint, depending upon the administrative law judge’s findings and conclusions on the issue of probable cause. If the decision of the administrative law judge determines that no probable cause exists, a certified copy of the decision and order and a notice of appeal rights shall be sent by first class mail to the last known address of each party and to their attorneys of record. A decision and order finding no probable cause may be appealed to court if it is a final decision and order as defined in s. DWD 224.22 (1). DWD 224.21(3)(3) Decision and order after hearing on the merits. After a hearing on the merits, the administrative law judge shall issue a decision and an order that shall either dismiss the allegations of the complaint or shall order an appropriate action, including actions listed in s. 230.85 (3) (a), Stats., depending upon the administrative law judge’s findings and conclusions on the merits of the complaint. The division shall serve a certified copy of the findings and order on the respondent and, if the respondent is a natural person, upon the respondent’s appointing authority. The decision of the administrative law judge shall be the final decision of the division and the division for purposes of judicial review under s. 227.52, Stats.
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