Complaint Processing

1. Complaint Processing CDR Leanne Braddock, Director Navy Equal Opportunity Office Equal Opportunity Advisors� Symposium Memphis, TN June 2003

2. 2 Discrimination and Sexual Harassment Complaints Made by individuals who believe they have experienced (or observed) Sexual harassment Discrimination based on: Race Ethnicity National origin Sex Religion HazingHazing

3. 3 Complaint Process Chain of Command Preferred channel Other channels discussed later in the brief Commanders� responsibility Identifying and correcting problems Processing and resolving complaints Ensuring complaint processes are well understood by all personnel Enlisted Officers Civilians

4. 4 Informal Resolution System (IRS) �Resolving Conflict� (NAVPERS 15620) The individual (complainant): Addresses concerns verbally or in writing with the offending person Requests assistance from another command member or requests mediation to resolve the problem Requests EO training be presented in the workplace Individual request closed captains mast to meet with CO. Other options outlined in OPNAVINST 5354.1(Series) If the offending behavior ceases, no further action is required. If the behavior is criminal, it can not be resolved informally. Coercion of a member to resolve a complaint informally is prohibited.

5. 5 Formal Complaint Allegation of unlawful discrimination (based on one or more of the 5 categories) or sexual harassment Submitted in writing (current instruction) Command may also be liable for certain verbal complaints CO must: Assign an advocate (to complainant and accused) - within 24 hours Initiate an investigation (informal (PIO) or formal (JAGMAN)) � within 72 hours Send a SITREP � within 72 hours and every 20 days until resolution

6. 6 The Complaint:Formal? Informal? PO3 to his LCPO: �Chief Drool just asked me for the second time this week to go out with her. What should I do?� Female LCDR to the XO: �My Department Head just told me he plans to lower my fitrep because he doesn�t think women belong in the Navy. I�ve talked to him about his problem with women before and he just tells me that if it�s too hot in the kitchen then I should get out. I�m tired of this and want the command to make it stop.� LT to another LT: �LT Branedead just grabbed my breasts for the third time this month. When I tell him to stop he does, then he laughs and says I just can�t take a joke. I don�t want to report this, but I need some help.�

7. 7 The Complaint:Formal? Informal? PO3 to his LCPO: �Chief Drool just asked me for the second time this week to go out with her. What should I do?� Probably informal Female LCDR to the XO: �My Department Head just told me he plans to lower my fitrep because he doesn�t think women belong in the Navy. I�ve talked to him about his problem with women before and he just tells me that if it�s too hot in the kitchen then I should get out. I�m tired of this and want the command to make it stop.� Probably formal LT to another LT: �LT Branedead just grabbed my breasts for the third time this month. When I tell him to stop he does, then he laughs and says I just can�t take a joke. I don�t want to report this, but I need some help.� Probably formal

8. 8 As CMEO,What do I need to do? Listen to the complaint Ask questions/get details Watch non-verbals Stay non-judgmental Focus on the complainant�s story Clarify Paraphrase Summarize Keep detailed notes

9. 9 As CMEO,What do I need to do? Ask yourself: Is the behavior criminal? Or does it fall into the �red light� category? Does it meet the criteria for discrimination/SH? Ask the complainant: Have you tried to resolve this directly with the person? Have you asked your LCPO, Division Officer, Department Head for assistance? Do you want to make a formal complaint or are you asking for assistance in resolving this yourself?

10. 10 Most common types of Formal Complaints OPNAV Form 5354/2 EO/SH Discrimination OPNAVINST 5354.1 (Series) Article 138 Against CO NAVREGS 1150 Against other superiors in the chain of command

11. 11 Complainant�s formal statement Should include all dates, times, and places the problem(s) occurred witness names details of what was said or done. Give complainant a deadline. Tell complainant to keep a log of any future incidents or contact with the accused.

12. 12 As CMEO,What do I need to do next? Inform the CO/XO immediately Advise CO to Assign an advocate for both complainant and accused (within 24 hours)* Initiate investigation (within 72 hours)* Send a SITREP (within 72 hours)* * Time limits begin when complainant tells anyone in his/her chain of command.

13. 13 Investigation:What do I need to do now? Coordinate efforts with the Legal Officer. CMEO should NOT be the investigator. Provide the assigned investigator with an investigative package (sample statements, rights forms, report, etc.) Inform the investigator about the elements he/she is looking for in an EO/SH investigation. Assist/advise investigator as needed during the investigation. Keep complainant/accused informed on status of the case. Ensure complainant/accused are safe.

14. 14 Investigation complete:What do I need to do now? Review the completed investigation, recommend any additional evidence/interviews needed. Provide CO/XO an advisory opinion. Appear at any disciplinary hearing(s). Inform complainant of the outcome of the case. Privacy Act prohibits disclosure of specific punishment Inform complainant of appeal process. (they have 7 days to appeal to ISIC).

15. 15 Appeal Process If the complainant is not satisfied with the outcome of the case Forward to GCMCA for decision If the complainant is not satisfied with the GCMCA�s decision Complainant may appeal via a 138 or 1150 through the chain of command to SECNAV (final decision authority) A new complaint must be prepared by the complainant (Command responsibility to instruct complainant or refer him/her to someone who can.)

16. 16 Postscript:What do I do after the case is complete?

17. 17 Evaluate: How did we do?Should include the following: Did we meet all the time requirements? Advocate assignment SITREP(s) Investigation Resolution Did we keep the complainant and the accused informed of the status of the case? Was the investigation thorough and properly conducted by a trained command investigator?

18. 18 Formulate/Prepare: How can we prevent another complaint or handle one better?

19. 19 Complaint routes outside thechain of command: Navy Inspector General DOD Inspector General Congressional Inquiry Should not be the first step someone takes Will usually be referred back to the chain of command Viable option if avenues within the chain of command have been exhausted All cases of Reprisal will be handled by the Navy IG

20. 20 Most common errors: Not meeting the required timelines Conducting an investigation before reporting the EO/SH complaint (if an allegation is made, report it!) Not assigning an advocate Investigating officers who don�t know how to do investigations Not sending a SITREP Creative wording to avoid reporting discrimination/SH Maltreatment of the complainant (Reprisal) Failure to advise of appeal process and SECNAV review

21. 21 Some special situations False accusation How do you handle? Complainant is senior to the CMEO/EOA Good reason to ensure XO clearly understands process Accused is the CO/XO Reprisal Refer to Navy IG

22. 22 Bottom line: Follow the process as outlined in OPNAVINST 5354.1(Series) Assign an advocate Send a SITREP Do an investigation Resolve Call Navy Equal Opportunity if you have questions: 1-800-253-0931 Don�t keep a complaint a secret!

23. 23 Final thought: �Bad news is like fish; it doesn�t get better with age.� RADM McKinney Former Deputy Chief of Naval Personnel