HROA COMPLAINT PROCEDURE

From time to time HROA members may believe that the conduct of other members violates the governing documents of the Association, including the Rules and Regulations, or that the conduct of an employee, agent, or Director of the Association violates the governing documents of the Association, or is otherwise contrary to the best interests of the Association. It is the intent and the policy of HROA to fully and finally resolve all such complaints efficiently, consistently, and fairly.

In light of, and consistent with, this policy, complaints may be made by any member regarding violations of the governing documents of the Association, including the Rules and Regulations, and may be made by any member concerning the conduct and performance of any employee, agent, or director of the Association.

The purpose of this Manual is to set forth the process for submitting the complaint, and the procedure HROA will follow in processing and resolving the complaint. *1

1.01. All complaints shall be submitted in writing on an approved, standardized form to the HROA office. The form is available at HROA’s office. Complaints made in any other manner will not be processed. *2

1.02. All complaints must be signed by the complaining party. No “anonymous” complaints will be accepted.

1.03. A designated employee will act as the complaint intake person responsible for docketing each complaint and determining the nature of the complaint (i.e., whether it is a complaint regarding code enforcement, security, or employee/director conduct).

1.04. The intake agent will keep a docket of all complaints made which will include the date the complaint is received, the date the complaint is assigned for review and resolution, the resolution and date of resolution, and, if applicable, the date of any request for appeal and date of and final determination following appeal.

1.05. All complaints will be classified by the intake agent as complaints regarding either code enforcement matters; security matters; or employee/agent/director conduct matters.

1.06. Matters designed as code enforcement or security will be directed to the HROA Security Consultant for assignment. If the Security Consultant is not available, complaints will be routed to the heads of the security and code enforcement departments for assignment. Matters designated as employee/agent/director conduct will, except as set forth, below, be directed to the general manager for assignment. Complaints related to the conduct of the general manager will be directed to the President of the Board for assignment.

2. RESOLUTION OF THE COMPLAINT

2.01. Security and Code Enforcement Matters

2.1.01 If the assigned person determines that a complaint is substantially similar to a prior complaint that has been finally determined the complaint shall be rejected and shall be docketed, recorded and filed as a denied complaint. Otherwise, the person assigned to review and resolve the complaint shall note on the complaint form the date of assignment and shall use his or her best efforts to have the matter resolved within 10 days from that date.

2.1.02 The assigned person shall utilize his or her discretion with respect to the manner in which the review and investigation of the complaint is conducted, but in all cases such matters shall be reviewed, investigated, and resolved in a thorough and impartial manner, consistent with this Manual and with the governing documents of the Association, including the Rules and Regulations.

2.1.03 The assigned person may communicate with the complaining party telephonically, in person, or in writing to ascertain any information not contained in the complaint; to clarify or expand upon any information contained in the complaint; or attempt to reach a resolution that is acceptable to HROA and the complaining party.

2.1.04 The assigned person may, in his or her discretion, communicate with the party or parties against whom the complaint was made telephonically, in person, or in writing to ascertain any information not contained in the complaint; to clarify or expand upon any information contained in the complaint; or attempt to reach a resolution that is acceptable to HROA, the complaining party, and the party or parties against whom the complaint was made.

2.1.05 Within 10 days from the assignment, the assigned person shall have reviewed, investigated, and resolved the complaint. The resolution may be an agreed resolution between the complaining party and HROA, or, absent such agreement, a determination made by the assigned person.

2.1.06 If extenuating conditions prevent resolution of the complaint within 10 days from assignment, the assigned person shall indicate on the complaint form the extenuating conditions preventing timely resolution, and shall inform HROA’s intake agent and the person that made the assignment of the reason(s) for the delayed resolution. The assigned person shall resolve the matter at the earliest possible time under the circumstances.

2.1.07 Upon resolution of the complaint, the assigned person shall provide notification of the resolution and any further action taken (such as a warning, citation, fine or penalty) to the complaining party, and to the extent applicable (and in all instances when a determination is made which in any manner supports the complaint or results in any action thereon), the party or parties against whom the complaint was made; shall indicate on the complaint form the resolution and the date and method of notification(s); and, shall return the complaint form to HROA’s intake agent with a copy to the person making the assignment.

2.1.08 The resolution shall be entered by the intake agent in the docket, and, absent an appeal, as described below, the resolution of the complaint shall be final and the complaint form shall be maintained in the member file for the party or parties against whom the complaint was made.

2.1.09 If at any time the assigned person, or any other employee, agent, or Director of the Association becomes aware that litigation related to the facts giving rise to the complaint has been, or may be, initiated, the matter will be referred to the general manager who will, thereafter, be responsible for the processing of the complaint.

2.02. Complaints Regarding Employees, Agents, or Directors

2.2.01 If the assigned person determines that a complaint is substantially similar to a prior complaint that has been finally determined the complaint shall be rejected and shall be docketed, recorded and filed as a denied complaint. Otherwise, the person assigned review and resolve the complaint shall note on the complaint form the date of assignment and shall use his or her best efforts to have the matter resolved within 30 days from that date.

2.2.02 The assigned person shall utilize his or her discretion with respect to the manner in which the review and investigation of the complaint is conducted, but in all cases such matters shall be reviewed, investigated, and resolved in a thorough and impartial manner, consistent with this Manual and with the governing documents of the Association, including the Employee Manual.

2.2.03 The assigned person may communicate with the complaining party telephonically, in person, or in writing to ascertain any information not contained in the complaint; to clarify or expand upon any information contained in the complaint; or attempt to reach a resolution that is acceptable to HROA and the complaining party.

2.2.04 The assigned person may communicate with the party or parties against whom the complaint was made telephonically, in person, or in writing to ascertain any information not contained in the complaint; or attempt to reach a resolution that is acceptable to HROA, the complaining party, and the party or parties against whom the complaint was made.

2.2.05 Within 30 days from the assignment, the assigned person shall have reviewed, investigated, and resolved the complaint. The resolution may be an agreed resolution between complaining party and HROA, or absent such agreement, a determination made by the assigned person.

2.2.06 If extenuating conditions prevent resolution of the complaint within 30 days from assignment, the assigned person shall indicate on the complaint form the extenuating conditions preventing timely resolution, and shall inform HROA’s intake agent and the person that made the assignment of the reason(s) for the delayed resolution. The assigned person shall resolve the matter at the earliest possible time under the circumstances.

2.2.07 Upon resolution of the complaint the assigned person shall provide notification of the resolution to the complaining party, and to the extent applicable (and in all instances when a determination is made which in any manner supports the complaint), the party or parties against whom the complaint was made; shall indicate on the complaint form the resolution and the date and method of notification(s); and, shall return the complaint form to HROA’s intake agent with a copy to the person making the assignment and a copy, where applicable, to the employee’s immediate supervisor.

2.2.08 The resolution shall be entered by the intake agent in the docket, and, absent an appeal, as described below, the resolution of the complaint shall be final and complaint form shall be maintained in the employee, agent, or Director file for the party or parties against whom the complaint was made.

2.2.09 If at any time the assigned person, or any other employee, agent, or Director of the Association becomes aware that litigation related to the facts giving rise to the complaint has been, or may be, initiated, the matter will be referred to the general manager who will, thereafter, be responsible for the processing of the complaint.

2.2.10 For complaints regarding employees, the immediate supervisor of the subject employee will review the resolution and determine whether any further action, such as a reprimand, or discipline, is warranted; shall notify the subject employee, in writing, of such further action, if any; and, shall indicate such further action, if any, on the complaint form.

2.2.11 For complaints regarding directors or agents, the Board of Directors will review the resolution in closed session of the next available board meeting. The Director or agent subject to the complaint shall be allowed to present any information relevant to the resolution. The Board, by majority vote of disinterested Directors shall determine whether the resolution should be upheld, and whether any further action, such as a reprimand, or discipline is warranted; shall notify the subject Director or agent, of such determination(s); and, shall indicate such determination(s), on the complaint form, in open session, and in the minutes of the meeting. The action of the Board shall be final. In the event a majority determination regarding the resolution is not made, the action of the Board shall be reported and recorded at that meeting as “no action taken”, and shall be final.

3. APPEALS

3.01. A complaining party that has not agreed to a resolution of his or her complaint may appeal the resolution of the assigned person by requesting a hearing on appeal before the Board of Directors of the Association.

3.02. Any such appeal shall be made, in writing, to the intake agent at the HROA office. The appeal shall be made by the 20^th day following notification to the complaining party as described in paragraph 3.01.07 or paragraph 3.02.07, above. Absent an appeal in compliance with this paragraph the resolution shall become final.

3.03. The intake agent shall schedule appropriately made appeals for hearing by the Board at the next available board meeting.

3.04. The intake agent shall notify the party or parties subject to the complaint of the hearing date, and of the right of the party or parties to present information to the Board in support of the resolution of the complaint.

3.05. Each side shall be limited to 15 minutes of presentation to the Board unless the Board determines good cause exists to extend the time of presentation.

3.06. The hearing shall be in open meeting unless the Board determines that the hearing is appropriately held in closed session. Hearings that could result in discussions or decisions related to personnel or third party contracts, or highly sensitive personal issues, should generally be held in closed session.

3.07. The Board, by majority vote, shall determine whether the resolution should be upheld, reversed, or modified. If the resolution is upheld it shall be final. If the Board overturns the resolution the Board shall direct further action related to the complaint. If the resolution is modified, the modified resolution shall be final. If a majority determination is not made, the resolution shall be deemed final.

3.08. Upon final determination the resolution of the complaint will be reported at the meeting, reflected in the minutes of the meeting, and the complaint with the final resolution will be recorded in the docket and filed at the Association office.

4. CONFIDENTIALITY

4.01. Regarding complaints made with respect to Code Enforcement or Security issues, HROA will exercise its best efforts to protect the identity of the complaining party.

4.02. Regarding complaints made with respect to Employee/Agent/Director conduct, there is no presumption of confidentiality of the complaining party’s identity. HROA will not, however, tolerate any form of retaliation by an HROA representative for any such complaint.

5. FINALITY

5.01. All complaints will be processed, as described above, to finality.

5.02. Finally determined complaints are final, and the determinations shall not be revisited by HROA members, its employees, or its Directors. Complaints that are filed by members that are substantially similar to prior complaints that have been finally determined shall be rejected by HROA, and deemed denied. Substantially similar, for the purposes of this paragraph, means arising from the same set of facts, or conduct, of the previous complaint.

5.03. Any complaints which are rejected, denied, or upon which a determination of "no action taken” is made, shall not be considered in any manner, or for any purpose, in any subsequent complaint against the subject of the prior complaint.

1* This Manual relates to, and controls, only the process regarding claims made by members of the Association. In the event that complaints are made regarding the conduct of employees, agents, or Directors of the Association by other employees, agents, or Directors of the Association, such matters will be processed and determined in accordance with procedures set forth in internal documents of the Association, including HROA’s Employee Manual, and HROA’s Rules Relating to Directors.

2* HROA employees, agents, and Directors are advised that, in such capacity, they may neither solicit, accept, nor assist in the preparation of any member complaint, and in the event that a member makes a complaint of an HROA employee, agent, or Director, other than in the manner set forth herein, HROA cannot process, and no action can be taken, on the complaint.