UMRBA Non-Discrimination Implementation Plan

UMRBA’s Nondiscrimination Coordinator shall be responsible for coordination and implementation of the complaint procedures outlined herein.  The Nondiscrimination Coordinator shall receive and review complaints, communicate with complainants, investigate complaints or arrange for the investigation of complaints, issue letters and notices, and perform other actions necessary to fulfill UMRBA’s obligations under non-discrimination statutes. 

UMRBA is committed to the prompt and fair resolution of complaints that allege violation of federal non-discrimination laws.  If you need accommodations to access the UMRBA programs or services because of a disability, requests may be made by contacting UMRBA’s Nondiscrimination Coordinator at human.rights@umrba.org or 651-224-2880.  This information is available in alternative formats upon request. 

UMRBA committed to continuously creating new and improving existing opportunities for such engagement as we gain experience and listen to individuals and organizations about their experiences engaging with UMRBA.  UMRBA encourages individuals and organizations to also share positive experiences so that we can continue to incorporate those experiences into future UMRBA-initiated programs, projects, and documents.

UMRBA will review the Grievance Procedures on an annual basis at the end of the calendar year.  UMRBA will revise the Procedures as necessary to ensure the prompt and fair resolution of discrimination complaints.

Informal Complaints 

UMRBA encourages anyone with concerns about a potential failure to provide services or discrimination in providing services to first discuss the matter with the Nondiscrimination Coordinator, Natalie Lenzen, at human.rights@umrba.org or 651-224-2880.  

Individuals are not required to pursue the informal process first and may engage the formal complaint (grievance) process as their first step if preferred.  The purpose of the informal complaint process is to make a good faith effort to resolve the issue quickly and efficiently.  However, the individual may ask to implement the formal process at any time during the informal resolution. 

If you have concerns about services provided by UMRBA or UMRBA practices, or if you would like to relay your experiences to UMRBA without making a formal complaint, please contact the Nondiscrimination Coordinator at 651-224-2880 or human.rights@umrba.org.  

The UMRBA informal complaint procedure is as follows:

1. Complaint filing timeframe:  There is no limitation for filing an informal discrimination complaint.

2. The informal complaint may be submitted to any staff or the Nondiscrimination Coordinator at: 

   Upper Mississippi River Basin Association
   c/o Natalie Lenzen, Nondiscrimination Coordinator
   7900 West 78th Street, Suite 380 
   Edina, MN  55439
   human.rights@umrba.org 

   The informal complaint may be submitted anonymously.  Please note that, if the complainant elects to submit a complaint informally, UMRBA will not be able to communicate directly to the complainant  or to the public about the status or outcome of the complaint or the resulting investigation or resolution.

   If the complaint is shared with a UMRBA staff other than the Nondiscrimination Coordinator, the staff are responsible for sharing the information with the Nondiscrimination Coordinator.

3. The Nondiscrimination Coordinator will promptly share the nature of the complaint with the appropriate UMRBA staff leadership and/or Board, as deemed appropriate, and will consider the nature of the complaint in evaluating any recommendations for adjustments to UMRBA’s policies and procedures.  If the complainant provides identity information, the Nondiscrimination Coordinator may contact the complainant to obtain additional clarity and/or to explain any outcomes from the internal coordination.
4. Pending the nature of the complaint and rigor of investigation required, UMRBA will employ the investigation and determine the resolution within 180 days of receiving the complaint.

Formal Complaints (Grievances)

The UMRBA formal complaint procedure is as follows:

1. Complaint filing timeframe:  A discrimination complaint must be submitted by the complainant or their designee no later than 180 calendar days of:
   1. The alleged act of discrimination.
   2. Date when the person(s) became aware of the alleged discrimination.
   3. Date on which the conduct was discontinued, if there has been a continuing course of conduct. Failure to submit a complaint within 180 days may result in rejection of the complaint, as discussed in more detail below. 

2. Contact:  The complaint must be submitted by the complainant or their designee to: 

   Upper Mississippi River Basin Association
   c/o Natalie Lenzen, Nondiscrimination Coordinator
   7900 West 78th Street, Suite 380
   Edina, MN  55439
   human.rights@umrba.org

3. Contents of a complaint:  The complaint must be written, and the document must contain the following information: 
   1. The complainant’s name and a means for communication (e.g., mailing address, email address, phone number). 
   2. Identification of individual(s) or organization(s) responsible for the alleged discrimination (hereinafter “the respondent”). 
   3. A description of the complainant’s allegations of discrimination.  Include: 
   4. Detail to allow UMRBA to determine if UMRBA has jurisdiction over the complaint and if the complaint was filed timely. 
   5. Specific prohibited bases of alleged discrimination (i.e. race, color, national origin, age, sex, disability, retaliation). 
   6. Whether the complaint is filed within 180 days of the last alleged discriminatory act or acts. If the complaint is not filed within 180 days, include any good cause that may exist to warrant extension of the 180-day deadline for filing. 
   7. Whether a complaint has been filed with another agency or court, the agency or court where it was filed, and relevant contact information. 
   8. Complainant’s signature and date.
4. If the complainant is unable to submit a written complaint, UMRBA’s Nondiscrimination Coordinator should be contacted in order to request reasonable accommodations to this procedure.  Such accommodations may include, but are not limited to, using a relay service to communicate with a complainant who has a hearing impairment or arrange for interpretive services for those with limited English proficiency.  UMRBA shall work to ensure that individuals have full access to the complaint filing and investigative process. 
5. Retaliation:  Harassment, discrimination, and retaliation in any form or for any reason is prohibited. Retaliation against a complainant who has brought harassment or discrimination to the attention of UMRBA’s Nondiscrimination Coordinator or other official or who has cooperated in an investigation of a complaint under this procedure is unlawful and will not be tolerated by UMRBA.  Claims of retaliation and intimidation will be handled promptly and fairly pursuant to the grievance procedures in the same manner as other claims of discrimination. Persons who engage in harassment, discrimination or retaliation may be subject to disciplinary action, including, but not limited to reprimand, suspension, termination/expulsion or other sanctions as determined by UMRBA, subject to applicable procedural requirements.
6. Jurisdiction:  Upon receipt of a complaint, the Nondiscrimination Coordinator shall review the complaint to determine whether UMRBA has jurisdiction to investigate the issues presented.  For UMRBA to have jurisdiction, the following criteria must be met:
   1. The complaint must be in writing, unless the Complainant is receiving accommodations from the Nondiscrimination Coordinator.
   2. The complaint must allege a discriminatory act that, if true, may violate 40 C.F.R. Part 5, 40 C.F.R. Part 7, 43 C.F.R. Part 17, or 43 C.F.R. Part 41.  Discrimination may include an act or policy that subjects a person or persons to discriminatory treatment, an act or policy that results in discriminatory impact on a person or persons on the basis of a personal characteristic listed in the above regulations; or an act or policy that, if true, may constitute intimidation or retaliation toward any person or persons on the basis of a personal characteristic listed in the above regulations or on the basis of previous interaction with UMRBA. 
   3. The complaint must identify a respondent that is an agent of UMRBA.  The respondent may include a contractor employed by UMRBA. 
   4. The complaint must be submitted in writing within 180 days of the last alleged discriminatory act or good cause must exist to waive the 180-day deadline.   In determining whether good cause to waive the 180-day deadline exists, the Nondiscrimination Coordinator shall consider, among other concerns, the feasibility of investigatory fact finding in light of extended delay. 
7. Notice: Within 10 days of determination of jurisdiction, UMRBA shall issue a letter of acceptance if the jurisdiction requirements are met or a letter of no-jurisdiction rejecting the complaint if the jurisdiction requirements are not met.  A no-jurisdiction letter shall result in UMRBA’s closure of the complaint file.  A no-jurisdiction letter may include a formal referral to another agency in instances where the referred agency’s jurisdiction and/or ability to address the complaint is readily apparent to the Nondiscrimination Coordinator.  If UMRBA refers a complaint to another agency, the Nondiscrimination Coordinator shall notify the complainant.
8. Once UMRBA has issued a letter of acceptance, the Nondiscrimination Coordinator shall: 
   1. Notify the respondent of the complaint and request the respondent provide a written response to the complaint within an identified timeframe. 
   2. Conduct an appropriate, timely, and impartial investigation of the allegations, which may include interviews of the complainant, UMRBA staff, any witnesses to the alleged discrimination, and other persons with relevant personal knowledge. The investigation may also include a review of any physical or written material provided by the complainant or respondent.  A preponderance of the evidence standard shall be applied during the analysis of the complaint. 
   3. Attempt, if possible, to conciliate and resolve the complaint through a mutually agreeable solution.  Any amicable resolution should focus on improving agency procedures with the intent of pre-empting the need for future complaints.  Upon reaching an amicable resolution, as contemplated here, the Nondiscrimination Coordinator shall provide a letter of resolution summarizing the allegations and describing the amicable resolution mutually agreed to by the complainant and the respondent.  Such a letter of resolution shall result in UMRBA’s closure of the complaint file. 

9. Within 180 days of the completion of the investigation and exhaustion of the possibility of amicable resolution as set forth above, the Nondiscrimination Coordinator shall make a preliminary written finding as to the complaint.  Such preliminary findings shall be either: 

   1. A finding that the respondent is in compliance with applicable nondiscrimination law or policy, 
   2. A finding that the respondent is in violation of applicable nondiscrimination law or policy.  

   Upon a finding of compliance, the Nondiscrimination Coordinator shall prepare a closure letter summarizing the allegations and investigative process and stating that the complaint file shall be closed and shall send copies thereof to complainant and respondent.  A preliminary finding of compliance shall result in UMRBA’s closure of the complaint file.  Upon a finding of violation, the Nondiscrimination Coordinator shall prepare a letter of remediation summarizing the allegations and investigative process and explaining actions the respondent shall take in order to come into compliance. The letter shall prescribe a reasonable time for the respondent to complete the remedial actions set forth therein. 

10. The Nondiscrimination Coordinator shall maintain copies of complaints and documentation related to the investigation and resolution thereof for a period of not less than two years. 
11. The above procedures do not limit or deny the right of the complainant to file a complaint with state or federal agencies, or to seek private counsel for complaints alleging discrimination, intimidation, or retaliation of any kind that is prohibited by law.  UMRBA’s decision to take actions to resolve a complaint should not be construed to constitute an admission that any discrimination has occurred.