

Complaint Process Booklet
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INFORMATION ABOUT THE |
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WERC COMPLAINT PROCESS |
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Published by the
May, 1996; rev. Nov, 1999; rev Oct, 2003, rev Dec. 2007
Judith Neumann, Chairperson
Paul Gordon, Commissioner
Susan J. M. Bauman, Commissioner
PREFACE AND ACKNOWLEDGMENTS
Each year many individuals and organizations become involved as parties in cases involving complaints of unfair labor practices or prohibited practices pro-cessed by the Wisconsin Employment Relations Commission (WERC).
This informational booklet has been prepared to help you understand the WERC complaint process. It is designed to answer frequently asked questions and to avoid misunderstandings about the process that can result in unnecessary expenditures of time, effort and other resources by parties and the WERC. This booklet is not intended as a substitute for the legal advice and assistance of an attorney, and it does not constitute a WERC decision or rule with the force of law.
The basic outline and much of the contents of this booklet have been drawn from a more general publication entitled Information About Your Administrative Hearing published by the State Bar of Wisconsin Young Lawyers Division and Government Lawyers Division with the support of a grant from the American Bar Association - Young Lawyers Division through the ABA Fund for Justice and Education. That original text was written by John N. Schweitzer, edited by Cheryl Furstace Daniels with assistance from Paul L. Barnett, Thomas M. Boykoff, and Mary Alice Coan, and with comments by several other State Bar of Wisconsin members.
At WERC, the contents were revised to more specifically describe the WERC complaint process by Staff Attorney Marshall L. Gratz with comments by the Commissioners, General Counsel Peter G. Davis and other members of the professional staff.
For more information contact:
Wisconsin Employment Relations Commission PO Box 7870 Madison, WI
53707-7870 (608) 266-1381 fax (608) 266-6930 e-mail: werc @werc.state.wi.us
website: http:\\www.wisconsin.gov\agencies\werc\index.htm
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The Wisconsin Employment Relations Commission (WERC) is a State agency
responsible for promoting labor peace in
WERC is authorized to prevent practices prohibited by those statutes by adjudicating (hearing and deciding) complaints that such practices have been committed. WERC conducts administrative hearings to resolve such complaints.
A WERC complaint hearing is similar to a court trial, though somewhat less formal. A WERC hearing examiner conducts a hearing to establish a record of facts and then applies the applicable law to those facts in a decision concerning the rights and obligations of the parties involved in the dispute. At the hearing, each party is allowed to tell its side of the story.
Chapter 227 of the Wisconsin Statutes is the general law governing the procedural aspects of administrative hearings. WERC complaint procedures are also more specifically governed by Sec. 111.07 of the Wisconsin Statutes. In addition, the Commission has issued administrative rules further detailing the procedures applicable to complaint proceedings. Those rules appear in Chapters ERC 1 and 2 (private sector), 10 and 12 (municipal sector) and 20 and 22 (state sector) of the Wisconsin Administrative Code.
The Wisconsin Statutes and Wisconsin Administrative Code can be found in public libraries, and an electronic decisions database and other case-processing resources can be accessed from the WERC website. Booklets of the statutes and rules administered by the WERC can be obtained at a nominal cost by contacting the WERC Madison office. [view order form]
2. PARTIES
A "party" in a case refers to a person or organization entitled to be heard in the case. Unless and until the WERC or its hearing examiner rules otherwise, you are a party if you file a complaint or a complaint is filed against you.
In some cases, other persons referred to as "intervenors" may also participate as a party in a complaint case. The WERC or its hearing examiner may allow intervenors to participate if that party successfully argues that a decision in the matter would specifically affect them such that they should be heard before that decision is made.
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3. YOUR RIGHT TO BE REPRESENTED
Each party is responsible for preparing and presenting its own case in WERC complaint hearings. You may choose to be represented by yourself or by an attorney or by an advocate who is not an attorney. If you decide to be represented by someone other than yourself, you must choose your own attorney or other representative. Neither the hearing examiner, nor anyone else at WERC, nor the opposing party's attorney, is allowed to recommend an attorney or other representative. Each party ordinarily pays its own attorney or representative. The WERC awards attorney fees only in very limited circumstances.
If you intend to be represented by an attorney, you should make those arrangements promptly. Many attorneys will not take a legal matter at the last minute.
If you will be represented by someone other than yourself, you or your representative should promptly advise the WERC and all other parties in writing of the name, address and phone number of your selected representative.
In a complaint, the charging party (referred to as the complainant) states under oath the reasons why the complainant claims that an individual or organization (known as the respondent) has committed a prohibited practice (under MERA) or an unfair labor practice (under SELRA or WEPA). The complaint is the formal document that gives the respondent notice of what the respondent must be prepared to defend or to answer. At a minimum, the complaint should contain the following:
Detailed instructions concerning filing a complaint are on page 11 of this booklet. Two sample complaints and corresponding sample answers appear on pages 12-15. A blank complaint form is on page 16. Additional blank complaint forms can be obtained by photocopying that blank form or by requesting additional forms from the WERC Madison office.
Section 111.07 requires that, to be timely, complaints must be filed not more than one year from the date of the specific act or prohibited (or unfair labor) practice alleged.
Once the WERC receives a complaint and filing fee, it will mail a copy of the complaint to the respondent(s) named in the complaint. After a complaint is mailed to a respondent by the WERC, that person becomes a party to the complaint proceeding.
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Many cases are settled by agreement without a hearing. The WERC encourages parties to settle their disagreements in that way if possible.
To assist the parties in exploring settlement, the WERC initially assigns each complaint case to a conciliator. That person, who is a member of the Commission's professional staff, will contact the parties' representatives in an effort to help the parties work out a settlement, if possible. The conciliator will not disclose what is said by the parties in settlement discussions to anyone at the WERC who will be involved in deciding your case. You are free at any time to communicate with the WERC conciliator assigned to your case or with the other party's representative to discuss the possibility of settlement.
It is the WERC's practice neither to assign a hearing examiner nor to schedule a hearing while conciliation efforts are continuing. However, if requested by any party, WERC will assign a hearing examiner and a hearing will be scheduled for a date that is within 40 days of the request, without regard to the status of conciliation efforts.
6. PERSON SCHEDULING AND
CONDUCTING HEARING
The person who schedules and conducts the hearing is called the hearing examiner. Hearing examiners in WERC complaint cases are employes of the WERC. The hearing examiner is responsible for processing the complaint in a fair and impartial manner and for providing all parties with a full opportunity to be heard regarding all of the issues in the case. The hearing examiner is not responsible for preparing or presenting any party's pleadings, evidence or arguments.
When assigned a complaint case, the hearing examiner will contact the
parties' representatives in an effort to schedule the hearing, if possible, for
a date, time and location convenient to all parties. Hearings are often
conducted at courthouses or other public buildings geographically close to the
parties. Hearings are sometimes conducted at the Commission's headquarters in
The hearing examiner will then ordinarily issue a notice of hearing specifying, among other things, the time, date and location of the hearing and the date by which the respondent(s) are to answer the complaint.
7. COMMUNICATING WITH THE
HEARING EXAMINER
You are allowed to contact the hearing examiner or other WERC personnel with questions about how your hearing will be procedurally conducted and about the procedural rules you must follow. However, the hearing examiner cannot privately communicate with you or any party about the facts of the case or how best to present them.
If you write to the hearing examiner, you must also, at the same time, send a copy of your correspondence to the persons representing the other parties and directly to any party who is not represented.
In some cases, if all parties agree, the hearing examiner may mediate settlement discussions to assist the parties in reaching a settlement. Otherwise, settlement discussions are not to be disclosed to the hearing examiner.
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If you are a respondent, filing your answer to the complaint involves sending the original (signed under oath) to the hearing examiner assigned to the case and a copy to the other persons as directed in the notice of hearing. If meeting the deadline for submitting your answer specified in the notice of hearing presents a problem for you, you should contact the hearing examiner and, if necessary, request an extension of time.
It is important that your answer respond to every numbered paragraph of the complaint. In doing so you may:
You may add any explanation which you think appropriate. You may also raise one or more reasons which constitute a legal defense to the claims asserted in the complaint. Two sample answers appear near the end of this booklet.
If you include a complaint of your own (a counter-complaint) with your answer, you must include the applicable filing fee and meet the other requirements for a complaint described in 4, above.
9. PREHEARING CONFERENCE AND RULINGS
In some cases, the hearing examiner will conduct at least one prehearing conference, by phone or in person. You are required to participate in such a conference if one is scheduled. If you cannot, you must contact the hearing examiner promptly to ask for a rescheduling.
The purposes of a prehearing conference include:
If you are uncertain about whether you will need to produce a particular witness or document because, for example, you do not know whether the facts to which that evidence relates are disputed, you or your attorney may contact the hearing examiner to suggest that the issue be discussed with the parties in a prehearing conference.
Hearing examiners are also called upon in some cases to rule on "motions" or requests of parties concerning the nature and scope of the hearing or other procedural matters. Some such issues cannot be ruled upon until the parties have had an opportunity to present evidence or argument. Other such issues can or must be ruled upon before a hearing is convened or reconvened. Rulings on such issues are ordinarily issued or confirmed in writing to all parties.
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10. SUBPOENAS FOR WITNESSES AND DOCUMENTS
You may want to have one or more witnesses testify and/or produce specified documents for you at a scheduled hearing. If so, you are responsible for causing the witness(es) to do so. You may arrange for witnesses to appear voluntarily at the hearing. If a person will not agree to appear or will not voluntarily produce documents you need to submit as evidence, you may use a subpoena to cause that person to do so. Your attorney can prepare a subpoena, or you may contact the hearing examiner.
If the hearing examiner supplies you with a subpoena at your request, you
must arrange to have the subpoena served on the witness. You can do this
yourself as long as you prepare an affidavit of service, or you can have it
served by the sheriff's office or a private process-server. Along with a
subpoena, you must include payment to the witness of the statutory daily fee
(currently $16.00) and mileage (currently 20 cents per mile from home to
hearing location and back) for appearing. The applicable fees are those
specified in Secs. 814.67(1)(b) and (c) of the
11. AN INTERPRETER OR OTHER
ACCOMMODATION
If you need an interpreter to help you or a witness understand or communicate, or if you need some accommodation with regard to a disability, you should contact the hearing examiner. The hearing examiner will attempt to arrange the hearing so that you or a witness can participate fully.
12. RESCHEDULING, CONTINUING,
ADJOURNING
Prior to the hearing, if a good reason is shown by either party, the hearing examiner can reschedule the hearing. Once a hearing has started, the hearing examiner may adjourn and continue it on another day if more time is necessary, or if a witness cannot appear for a good reason. Rescheduling of the hearing may require reissuance of subpoenas with the revised time, date and location for the rescheduled hearing.
13. THE HEARING
a. Importance of Appearing at the Hearing
If your case is not settled or rescheduled, you must appear on the date specified in the notice of hearing. If you fail to appear without adequate excuse and the hearing is conducted and concluded in your absence, you will ordinarily be prevented from questioning the other party's witnesses and from submitting evidence of your own in the matter.
When you appear, the hearing will be conducted similar to a trial, but without a jury. The hearing examiner will conduct the hearing and make rulings on procedure, the evidence which may be presented, and objections. The hearing is open to the public, but only parties are permitted to actively participate. One person will be allowed to speak at a time, and all objections, arguments and requests are to be addressed to the hearing examiner.
Each party may make an opening statement. If you choose to make one, you should briefly summarize your view of the case for the hearing examiner. Each party may then present evidence.
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The complainant ordinarily has the burden of proving that the allegations in the complaint are true. Accordingly, the complainant usually presents its evidence first, after which the respondent is offered an opportunity to present evidence.
Evidence presented at WERC complaint hearings is typically in the form of documents or oral testimony from witnesses. Parties should ordinarily have enough extra copies of documents they are offering as evidence so that each of the parties and the hearing examiner will be supplied with a copy at the hearing. Witnesses will be sworn to tell the truth and subject to questioning by all parties in turn: first by the party who calls the witness (direct examination) then by the other party (cross examination). Follow-up questioning by the parties in turn is also permitted (re-direct and re-cross examination). If you are representing yourself in the hearing, you may testify under oath without using questions and answers. You will then be subject to questioning by the other parties. You may also be called as a witness by another party. Unlike sworn testimony, the parties' opening statements are not given under oath and are not evidence.
Some rules of evidence limit what can be made a part of the record. This booklet does not attempt to explain all the rules. However, in general, your evidence should relate to facts that will assist the hearing examiner in deciding the disagreements in the case. Evidence which unduly repeats matters already in the record or which is not relevant to the issues in dispute would merely slow down the hearing and may be objected to by the other party and not allowed by the hearing examiner.
Generally speaking, witnesses can testify only about matters of which they have personal knowledge. Although in some instances the hearing examiner may allow testimony about what a witness was told by someone else, your case will be stronger if you present witnesses who can testify about the facts first hand.
After all the evidence has been presented, the hearing examiner will permit each party to present closing arguments. The hearing examiner will discuss with the parties whether they wish to make their closing arguments by submitting a written brief or by summing up orally on the record at the hearing.
Closing arguments, in whatever form they are submitted, may summarize or comment on the evidence that has been presented, suggest how much credit or weight should be given to certain testimony, explain evidence that might appear confusing, and argue how the case should be decided. The closing arguments can suggest the factual findings the hearing examiner should make based on the record evidence and the legal conclusions and orders that the hearing examiner should make based on those facts. Closing arguments must relate only to evidence presented during the hearing. Additional evidence cannot be submitted as a part of closing arguments.
Each hearing is recorded by a stenographic reporter who is not a WERC employe but whose services are arranged by the WERC. You may order a copy of the transcript from the reporter. The per page rate charged by the reporter may vary depending on how many parties order a transcript. You will be permitted to discuss the applicable rates with the reporter before you decide whether to order a copy of the transcript.
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Once the closing arguments have been submitted, the hearing examiner is responsible for issuing a written decision containing Findings of Fact, Conclusions of Law and an Order. That decision will set out the facts of the case, the law that governs the case, and the application of the law to the facts. If a prohibited (or unfair labor) practice is found to have been committed, the decision will also specify what remedial action(s) the respondent is being required to take to provide relief to the complainant regarding the violation.
The hearing examiner's decision will be mailed to all parties. It will include a notice of appeal rights. An appeal may be made by any party who disagrees with any outcome in the decision. The notice will explain how to make an appeal.
15. REVIEW AND APPEAL
The hearing examiner's decision is subject to review and decision by the three-member Employment Relations Commission. Any party may request a Commission review of the case or the Commission can choose to review it on its own. In the event that Commission review is timely requested or initiated, the Commission will ordinarily receive and consider additional written arguments from the parties before it decides the case.
If no Commission review is timely requested or initiated, the decision of the examiner becomes the decision of the Commission by operation of law.
The decision of the Commission will include a notice concerning rights to appeal that decision in the courts. The WERC will seek enforcement of its decision in court where necessary, and WERC will defend its decision in court in response to an appeal.
(608) 266-1381 fax (608) 266-6930
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WERC-6A
INSTRUCTIONS
03/96
P.O.
(608) 266-1381
Instructions for Filing a
COMPLAINT
Alleging Unfair Labor Practices or
Prohibited Practices under Chapter 111,
The Rules of the Commission provide that complaints alleging unfair labor practices or prohibited practices may be filed by any party in interest and require that they must be in writing. The original must be signed and sworn to before any person authorized to administer oaths or take acknowledgments. In addition to the original complaint, five copies thereof must be filed with the Commission.
The Rules also require that certain material must be included in each complaint. It is suggested that in the first paragraph of the complaint there be included a statement as to the full name and address of the person or persons making the complaint. The second paragraph of the complaint should contain the full name and address of the person or persons against whom the complaint is made. It will help us process your complaint if you also include the phone numbers of the persons identified in each of those paragraphs and if you number each paragraph of the complaint.
In as many additional paragraphs as are required, the complaint should contain a clear and concise statement of the facts constituting the unfair labor practices or prohibited practices. It must include the time and place of occurrences of the particular acts and the names of the persons involved. This means, of course, that it is not sufficient to merely allege that some person or organization is committing an unfair labor practice or prohibited practice in violation of the statute. Rather, the complaint must allege the things the respondent is charged with doing that constitute the unfair labor practice or prohibited practice. In addition, it needs to identify what part of the applicable statute defining unfair or prohibited practices are alleged to have been violated. Private sector unfair labor practices are defined in Sec. 111.06, Wis. Stats; municipal sector prohibited practices are defined in Sec. 111.70(3), Wis. Stats., and state sector unfair labor practices are defined in Sec. 111.84, Wis. Stats. Each of those provisions contains various parts. Your complaint should state which part or parts of the applicable statute you allege have been violated. The commission also asks that you state in your complaint what relief or remedy you are seeking.
Your complaint must be accompanied by the appropriate statutory filing fee. If you have any questions concerning the above information you can call (608) 266-1381.
A blank complaint form appears at page 16 of this booklet. Please use a
copy of that form as the first page of your complaint or as a checklist to make
sure that your complaint responds to each of the questions listed and meets all
of the requirements noted on that form.
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STATE OF
BEFORE THE
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John Doe, Complainant
v.
XYZ Corporation, Respondent
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[Sample Answer to Sample Complaint #1]
STATE OF
BEFORE THE
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John Doe, Complainant
v.
XYZ Corporation, Respondent
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ANSWER OF XYZ CORPORATION TO
JOHN DOE'S COMPLAINT DATED 10-10-95
XYZ Corporation, in answer to John Doe's complaint dated 10-10-95:
1. Admits paragraphs 1, 2 and 3 of the complaint.
2. Denies paragraphs 4 and 5 of the complaint except alleges that it does not know whether John Doe encouraged employes to form a labor organization at any time preceding January 2, 1995 and admits that John Doe spoke on behalf of other employes in discussions with XYZ supervisors about work-related grievances on December 8, 1994.
3. Admits paragraph 6 of the complaint.
4. Denies paragraphs 7 and 8 of the complaint.
5. Denies that XYZ Corporation has engaged in conduct that would warrant the relief requested in paragraph 9 of the complaint.
6. Does not know whether paragraph 10 of the complaint is true.
I swear the allegations above are true. XYZ Corp by /s/ Jane Jones, Personnel Director Date: 12-12-95
Sworn to before me on 12-12-95 /s/ ________ Notary Public.
[Notary Seal]
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[Sample Complaint #2]
STATE OF
BEFORE THE
------------------------------------------------
Ed Doe, Complainant
v.
ABC Union and
-------------------------------------------------
COMPLAINT
I swear the allegations above are true. /s/ Ed Doe Date: 10-10-95
Sworn to before me on 10-10-95 /s/ __________ Notary Public. [Notary Seal]
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[Sample Answer to Sample Complaint #2]
STATE OF
BEFORE THE
------------------------------------------------
Ed Doe, Complainant
v.
ABC Union and
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MUNICIPAL EMPLOYER'S ANSWER
I swear the allegations above are true.
For
Sworn to before me on 12-12-95 /s/_____________, Notary Public. [Notary Seal]
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|
MP/PP/Ce/Cw 01/08 |
phone: (608)
266-1381 fax: (608) 266-6930 e-mail: werc@werc.state.wi.us |
Instructions: Please provide the following information
in numbered paragraphs. Use additional sheets as needed. If the filing is in
paper form, submit a total of 3 copies of the complaint, plus one additional
copy for each named respondent. Complaint filing is not complete until the
Commission has received both the complaint and the required $80.00 ($100 effective 1-2-08) filing fee. For
more detailed complaint filing instructions, see Form
_____________________________________________________________________________
____________________________________
____________________________________
Complainant,
vs.
____________________________________
____________________________________
Respondent.
A. What is the name, address, phone number, e-mail address (if any) and fax number (if any) of the person/party making the complaint?
B. What is the name, address, phone number, e-mail adress (if any) and fax number (if any) of the person/party against whom the complaint is being made?
C. What are the facts which constitute the alleged unfair labor or prohibited practices?
D. What part or parts of the applicable statute defining unfair labor or prohibited practices are alleged to have been violated?
E. What remedy do you seek?
I declare that I have read the contents of this complaint and that the statements it contains are true to the best of my knowledge and belief.
________________________________________
Complainant’s Signature or Signature Facsimile
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