SOP_NUMBER: 104.43
TITLE: Employee Complaint Resolution Procedure
REFERENCE_CODE: IV012-0001
DIVISION: Administrative & Finance Division (Human Resources)
TOPIC_AREA: 104 Policy-HR Complaint/Resolution/Review
EFFECTIVE_DATE: 2018-05-31
WORD_COUNT: 2700
POWERDMS_URL: https://public.powerdms.com/GADOC/documents/122363
URL: https://gps.press/sop-data/104.43/

SUMMARY:
This policy establishes the employee complaint resolution procedure for addressing workplace concerns at the Georgia Department of Corrections. It applies to all eligible GDC employees and outlines the process for filing complaints related to discrimination, harassment, retaliation, and other unfair employment decisions. The policy protects employees from retaliation for filing complaints and requires supervisors to work with an Agency Complaint Resolution Coordinator to address eligible issues fairly.

KEY_TOPICS: Employee complaint resolution, workplace complaints, discrimination allegations, harassment allegations, retaliation, unlawful discrimination, formal complaint process, complaint filing, employee grievance, protected categories, eligible issues, ineligible issues, complaint procedures, employee rights, fair treatment, Human Resources complaints, State Personnel Board, complaint coordinator, complaint review, employment disputes

ATTACHMENTS:
  1. Complaint Form
     URL: https://gps.press/sop-data/104.43-att-1/
  2. Official Policy Statement - Employee Complaint Resolution Procedure
     URL: https://gps.press/sop-data/104.43-att-2/

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FULL TEXT:
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|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Employee Complaint Resolution Procedure|**Policy Name:**Employee Complaint Resolution Procedure|**Policy Name:**Employee Complaint Resolution Procedure|
|**Policy Number:**104.43|**Effective Date:**5/31/2018|**Page Number:** 1 of 10|
|**Authority:** <br>Commissioner|**Originating Division:**<br>Administration & Finance<br>Division (Human Resources)|**Access Listing:** <br>Level I: All Access|



**I.** **Introduction and Summary:** To encourage effective operations and a productive
workforce, the Georgia Department of Corrections (GDC) will use the following
Complaint resolution program to address employee concerns.


1. Employees and their respective supervisors are encouraged to make reasonable

efforts to resolve concerns prior to utilizing the formal employee complaint
resolution procedure.

2. No employee will be penalized, formally or informally, for voicing a Complaint

in a reasonable business-like manner or for participating in an established
Complaint resolution process. Anyone who intentionally supplies false or
misleading information regarding a Complaint, attempts to or actually harasses,
intimidates, or retaliates against an employee for using the employee Complaint
resolution procedure or for providing information in connection with a
Complaint, or otherwise behaves inappropriately when submitting or responding
to a Complaint, will be subject to disciplinary action up to and including
termination of employment.

**II.** **Authority:**

A. State Personnel Board Rules (SPBR): 478-1-.15 Changes to Employment, 478-1
.16 Absence from Work, 478-1-.17 Leave Donation, 478-1-.20 Employee
Complaint Resolution Procedure, and 478-1-.24 Working Test & Permanent
Status for Classified Employees;

B. GDC Standard Operating Procedures (SOPs): 104.04 Employee Support

Services, 104.09 Filling a Vacancy, 104.39.02 Annual & Terminal Leave,
104.39.06 Sick Leave, 104.39.12 Family Medical Leave, 104.39.13 Leave
Donation Program, 104.44 Written Reprimand Review Process, and 104.46
Unlawful Harassment (Including Sexual Harassment);

C. Title VII of the Civil Rights Act of 1964 as amended by the Equal Employment

Opportunity Act of 1972;

D. O.C.G.A. § 42-5-36, Confidential Information Supplied by Inmates; and

E. ACA Standard: 2-CO-1C-2.


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Employee Complaint Resolution Procedure|**Policy Name:**Employee Complaint Resolution Procedure|**Policy Name:**Employee Complaint Resolution Procedure|
|**Policy Number:**104.43|**Effective Date:**5/31/2018|**Page Number:** 2 of 10|
|**Authority:** <br>Commissioner|**Originating Division:**<br>Administration & Finance<br>Division (Human Resources)|**Access Listing:** <br>Level I: All Access|



**III.** **Definitions:**

A. **Agency Complaint Resolution Coordinator**    - The person designated by the

Director of Human Resources to be responsible for receiving Complaints,
determining eligibility for the employee complaint resolution procedure, and
tracking the processing of Complaints.

B. **Agency Complaint Review Official**    - An impartial individual designated by the

Agency Complaint Resolution Coordinator to conduct Complaint reviews.

C. **Filing**    - The act of an employee submitting a Complaint to the Agency Complaint

Resolution Coordinator.

D. **Complaint**    - A claim filed by an eligible employee that the employee’s personal

employment has been affected by unfavorable employment decisions or
conditions due to unfair treatment.

E. **Complaint Form**    - A form provided for the filing of employee Complaints.

F. **Receipt**    - The date and time at which a document is delivered to the addressee by

mail, electronic transmission, or personal delivery.

G. **Workday**    - A Monday through Friday business day exclusive of state holidays.


**IV.** **Statement of Policy and Applicable Procedures:**

A. Employee Eligibility:


Any employee may use the employee complaint resolution procedure for timelyfiled, eligible issues, except an employee who:


1. Has been notified of separation from employment; or

2. Seeks relief on the same matter through other administrative or judicial

procedures.


A Complaint filed by an eligible employee prior to becoming ineligible will cease
to be processed through this procedure upon the employee’s separation from
employment or upon the employee’s filing for relief on the same matter through
another administrative process or a judicial process.


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Employee Complaint Resolution Procedure|**Policy Name:**Employee Complaint Resolution Procedure|**Policy Name:**Employee Complaint Resolution Procedure|
|**Policy Number:**104.43|**Effective Date:**5/31/2018|**Page Number:** 3 of 10|
|**Authority:** <br>Commissioner|**Originating Division:**<br>Administration & Finance<br>Division (Human Resources)|**Access Listing:** <br>Level I: All Access|



B. Eligible Issues:


An employee may use the employee complaint resolution procedure to address a
Complaint related to any:


1. Allegation of unlawful discrimination based on race, color, national origin,

religion, age, disability, sex, genetic information, political affiliation,
protected uniformed service, or other legally protected category;

2. Allegation of sexual or other form of unlawful harassment;

3. Retaliation for Filing a Complaint or participation in the employee complaint

resolution procedure;

4. Retaliation or intimidation for exercising any right under the SPBR or

policies of GDC;

5. Erroneous, arbitrary, or capricious interpretation or application of policies,

procedures, rules, regulations, ordinances, or statutes;

6. Unsafe or unhealthy working condition(s); or

7. Any matter specifically included as eligible by this agency’s policies or

procedures;

8. **For classified employees only: Written reprimand or written**

**confirmation of an oral reprimand.**


C. Ineligible Issues:


An employee **cannot** use the employee complaint resolution procedure to address
a Complaint related to:


1. Suspension, demotion, salary reduction, or separation from employment;

2. Issues that are pending or have been adjudicated by the State Personnel

Board, the Georgia Commission on Equal Opportunity, or through other state
or federal administrative or judicial procedures;


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Employee Complaint Resolution Procedure|**Policy Name:**Employee Complaint Resolution Procedure|**Policy Name:**Employee Complaint Resolution Procedure|
|**Policy Number:**104.43|**Effective Date:**5/31/2018|**Page Number:** 4 of 10|
|**Authority:** <br>Commissioner|**Originating Division:**<br>Administration & Finance<br>Division (Human Resources)|**Access Listing:** <br>Level I: All Access|



3. Issues that are subject to appeal, review, or relief as provided for in other

agency policies and procedures;

4. Performance expectations and evaluations;

5. Actions implementing a reduction in force or furlough plan;

6. Selection to fill a position, unless an allegation is made that the selection

violates an applicable SPBR, GDC policy, law, or regulation;

7. Permanent changes in work hours or duties and responsibilities, unless a

change is unsafe or unlawful;

8. Temporary work assignments that do not exceed 90 days;

9. Budget and organizational structure, including the number or assignment of

positions in any organizational unit;

10. Relocation unless the relocation qualifies for reimbursement under Office of

Planning and Budget regulations;

11. Internal security practices established by GDC; or

12. Any matter that is not within the jurisdiction or control of the agency.

13. **For unclassified employees: Written reprimand or written confirmation**

**of an oral reprimand.**


D. A copy of Attachment 2, Department’s Official Policy Statement Regarding

Employee Grievances, will be posted on the official bulletin board in all state
facilities, centers, units, and offices operating under GDC’s management.

E. Filing A Complaint:


1. Employees may file Attachment 1, Employee Complaint Form, with the

Agency Complaint Resolution Coordinator regarding an eligible issue. Before
Filing a Complaint, employees are encouraged to try to resolve issues or
concerns at the local level or through direct discussions with supervisors.


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Employee Complaint Resolution Procedure|**Policy Name:**Employee Complaint Resolution Procedure|**Policy Name:**Employee Complaint Resolution Procedure|
|**Policy Number:**104.43|**Effective Date:**5/31/2018|**Page Number:** 5 of 10|
|**Authority:** <br>Commissioner|**Originating Division:**<br>Administration & Finance<br>Division (Human Resources)|**Access Listing:** <br>Level I: All Access|



2. The employee must submit the Complaint Form within **ten (10) Workdays**

of the occurrence of the subject of the Complaint **or** within **ten (10)**
**Workdays** after the employee becomes aware of the problem or should have
become aware of the problem through the exercise of reasonable diligence.

3. The Complaint Form must contain a statement of the issue(s) involved, the

party(s) involved, an explanation of how the complainant’s personal
employment has been unfavorably affected, the relief sought, and the date(s)
that the incident(s) or violation(s) occurred. Complaints that involve the
interpretation or application of policy or procedure must identify the policy or
procedure and describe how it was erroneously or arbitrarily interpreted or
applied.

4. The complete form/written Complaint must be submitted to:


**Agency Complaint Resolution Coordinator**

**CHRM/ Gibson Hall/2** **[nd ]** **Floor**

**P.O. Box 1529**
**Forsyth, Georgia 31029**


F. Initial Eligibility Determination:


The Agency Complaint Resolution Coordinator will notify the complainant
whether a Complaint is eligible for processing within ten (10) Workdays of
receiving the Complaint.


1. The Agency Complaint Resolution Coordinator may decline to process a

Complaint because the complainant is ineligible, the issue is ineligible, the
Complaint was filed in an untimely manner or the Complaint Form is
incomplete. If the Agency Complaint Resolution Coordinator declines to
process the Complaint, he or she will provide written notification to the
complainant that the review process is terminated and the specific reasons for
the determination.

2. If the Complaint will be processed, the Agency Complaint Resolution

Coordinator will provide a written explanation to the complainant of the
Complaint review process, with a copy to the complainant’s immediate
supervisor with authority to grant the requested relief.


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Employee Complaint Resolution Procedure|**Policy Name:**Employee Complaint Resolution Procedure|**Policy Name:**Employee Complaint Resolution Procedure|
|**Policy Number:**104.43|**Effective Date:**5/31/2018|**Page Number:** 6 of 10|
|**Authority:** <br>Commissioner|**Originating Division:**<br>Administration & Finance<br>Division (Human Resources)|**Access Listing:** <br>Level I: All Access|



3. The Agency Complaint Resolution Coordinator shall consult with the

Director of Human Resources regarding Complaints that allege unlawful
harassment or discrimination based on race, color national origin, religion,
age, disability, sex, genetic information, political affiliation, protected
uniformed service, or other legally protected category and determine whether
to:


a. Allow the Complaint to proceed for an internal review as outlined in this

SOP; or

b. Refer the Complaint to the Office of Professional Standards [OPS] for

external review. The Agency Complaint Resolution Coordinator shall
notify the complainant that the Complaint was referred for investigation.
The complainant shall receive a final written determination, with a copy
to his or her supervisor, to conclude the employee complaint resolution
procedure within 120 calendar days of the date the Agency Complaint
Resolution Coordinator received the Complaint.

G. Complaint Review Process:


1. The Agency Complaint Resolution Coordinator will appoint an Agency

Complaint Review Official on a case by case basis.

2. Within 15 Workdays from appointment, the Agency Complaint Review

Official will review the Complaint and have discretion to do any of the
following:


a. Base the review solely on written statements and documents provided;

b. Interview the complainant, witnesses, or others;

c. Meet with involved parties to facilitate an agreement;

d. Clarify and/or interpret relevant rules, laws, policies, procedures, etc.; or

e. Explore alternative resolutions.


3. If the parties resolve the issue while the Agency Complaint Review Official

is reviewing the Complaint, the Agency Complaint Resolution Coordinator


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Employee Complaint Resolution Procedure|**Policy Name:**Employee Complaint Resolution Procedure|**Policy Name:**Employee Complaint Resolution Procedure|
|**Policy Number:**104.43|**Effective Date:**5/31/2018|**Page Number:** 7 of 10|
|**Authority:** <br>Commissioner|**Originating Division:**<br>Administration & Finance<br>Division (Human Resources)|**Access Listing:** <br>Level I: All Access|



will provide written notification to the complainant and supervisor
confirming the resolution and concluding the employee complaint resolution
procedure.

4. If the parties do not resolve the issue, then the Agency Complaint Review

Official will issue written findings and recommendations to the Agency
Complaint Resolution Coordinator. The Agency Complaint Resolution
Coordinator will then issue a final written determination. Such decision will
be final and will conclude the employee complaint resolution procedure.

5. The deadline to determine eligibility and process a Complaint is 90 calendar

days, except as noted in section F.3.b. herein.


H. Any time limit specified in this SOP may be extended upon agreement of all

parties to a Complaint. The Agency Complaint Resolution Coordinator may
extend any time limit specified in this SOP due to operational necessity,
emergency, medical disability, or legally mandated absence on the part of a
relevant party to the Complaint. The complainant shall be immediately notified in
writing of the period of extension and the reasons, therefore.

I. Preparation Time:


1. An employee will be excused from duty for up to four hours during regular

work hours, as approved by the Appointing Authority, to prepare a
Complaint. Such preparation is without loss of pay or leave credits.
Preparation time includes time spent reviewing the personnel file, preparing a
Complaint, and meeting with witnesses. Meetings with the Agency
Complaint Review Official are considered work time and do not count as
preparation time.

2. No more than twelve (12) hours of regular work time per employee per

calendar year will be permitted for preparation time associated with
Complaints.

3. Employees must obtain approval from their appointing authority before using

regular work hours to prepare a Complaint. An appointing authority may
deny a request to prepare a Complaint during a particular time due to
operational or other business needs.


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Employee Complaint Resolution Procedure|**Policy Name:**Employee Complaint Resolution Procedure|**Policy Name:**Employee Complaint Resolution Procedure|
|**Policy Number:**104.43|**Effective Date:**5/31/2018|**Page Number:** 8 of 10|
|**Authority:** <br>Commissioner|**Originating Division:**<br>Administration & Finance<br>Division (Human Resources)|**Access Listing:** <br>Level I: All Access|



4. The Agency Complaint Resolution Coordinator has the authority to resolve

any dispute regarding the determination of reasonable and necessary time to
prepare a Complaint and participate in the process.


J. Group Complaints:


1. Employees having one common Complaint may sign and file one group

Complaint, identifying up to two of the employees as spokespersons for the
group. Employees who choose to file a group Complaint waive their
individual rights to file separate Complaints on the same subject.

2. The Agency Complaint Resolution Coordinator may consolidate separate

Complaints filed by two or more employees, regarding the same issue, into
one group Complaint.

3. The Agency Complaint Resolution Coordinator may consolidate multiple

Complaints filed by one employee into one single Complaint.

K. Assistance:


1. An employee who needs assistance Filing or processing a Complaint may

contact the Agency Complaint Resolution Coordinator or Director of Human
Resources.

2. No staff member shall be assigned to assist in preparing a Complaint if that

person is a party or respondent to the Complaint.

L. Withdrawal of Complaint:


1. An employee may voluntarily withdraw the Complaint at any point during

the process by submitting a request in writing to the Agency Complaint
Resolution Coordinator.

2. A Complaint that is withdrawn may not be re-filed.


M. Appeal Rights for **Classified** Employees:


1. Upon Receipt of GDC’s final decision on a Complaint and provided a remedy


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Employee Complaint Resolution Procedure|**Policy Name:**Employee Complaint Resolution Procedure|**Policy Name:**Employee Complaint Resolution Procedure|
|**Policy Number:**104.43|**Effective Date:**5/31/2018|**Page Number:** 9 of 10|
|**Authority:** <br>Commissioner|**Originating Division:**<br>Administration & Finance<br>Division (Human Resources)|**Access Listing:** <br>Level I: All Access|



is not available through the Georgia Commission on Equal Opportunity, a
classified employee may file a written appeal with the Office of State
Administrative Hearings if:


a. The employee is not satisfied with GDC’s final decision on the merit of a

Complaint alleging violation of SPBR;

b. The employee is not satisfied with GDC’s final decision on a Complaint

related to relocation, alleged unlawful discrimination, or alleged unjust
coercion or reprisal because of an appeal or internal Complaint
proceeding; or

c. The employee believes GDC violated the procedure outlined in SPBR

478-1-.20 Employee Complaint Resolution Procedure while processing
the Complaint.


2. The appeal must be filed or postmarked within ten (10) calendar days of

Receipt of GDC’s final decision on the Complaint. Untimely appeals will
not be processed.

3. The appeal must include the specific provision(s) of the SPBR alleged to

have been violated and any documentation that would support the allegation.


N. The Director of Human Resources shall file an annual report with the Department

of Administrative Services (DOAS) reflecting the number, nature, and
disposition of Complaints filed through the employee complaint resolution
procedure. DOAS shall establish further reporting guidance to facilitate the
intent of this section.

**V.** **Attachments:**

Attachment 1: GDC Complaint Form
Attachment 2: Official Policy Statement


**VI.** **Record Retention of Forms Relevant to this Policy:**

The Agency Complaint Resolution Coordinator will maintain a record of Attachment
1: GDC Complaint Form for each Complaint filed through the employee complaint
resolution procedure, including the nature and disposition of the Complaint.
Complaints alleging discrimination or harassment based on race shall be retained for


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Employee Complaint Resolution Procedure|**Policy Name:**Employee Complaint Resolution Procedure|**Policy Name:**Employee Complaint Resolution Procedure|
|**Policy Number:**104.43|**Effective Date:**5/31/2018|**Page Number:** 10 of 10|
|**Authority:** <br>Commissioner|**Originating Division:**<br>Administration & Finance<br>Division (Human Resources)|**Access Listing:** <br>Level I: All Access|



a minimum of four (4) years and all other Complaints shall be retained for two (2)
years.