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height="2.0854166666666667in"}

######## Complaint Processing Procedures {#complaint-processing-procedures .unnumbered}

**Agenda**

-   **Presentation:** Review of Learning Objectives

-   **Presentation:** General Requirements for Complaint Processing
    Procedures

-   **Presentation:** Recipient Complaint Processing Procedures

-   **Activity:** Distinguishing Complaints of Discrimination From
    Program Complaints

-   **Presentation:** Handling Complaints Against One-Stop Partners
    Financially Assisted By Agencies Other Than DOL

-   **Activity:** Procedures for Handling Complaints Against One-Stop
    Partners Not Funded by DOL

-   **Presentation:** Required Record Keeping

-   **Presentation:** Complaint Processing Procedures' Supporting

Documentation

-   **Presentation:** State's Implementation of Complaint Processing
    Procedures

**[Learning Objectives]{.smallcaps}**

-   The participant will be able to explain the general requirements for
    complaint processing procedures.

-   The participant will be able to convey the required recipient
    complaint processing procedures.

-   The participant will be able to distinguish between discrimination
    complaints and program complaints.

-   The participant will be able to inform complainants of their rights
    and the appropriate process in filing complaints.

-   The participant will able to define how the state guarantees that
    compliance with Complaint Processing Procedures will be achieved

**[General Requirements]{.smallcaps}**

Each state must adopt and publish procedures for processing complaints
alleging discrimination against any WIA recipient**.** (29 CFR 37.76)

Specifically, the

-   Governor,

-   Local Workforce Investment Area (LWIA), or the

-   EO Officer,

are responsible for developing and publishing complaint procedures.

These procedures must provide the complaint with the option to file with
the recipient or directly with CRC.

+----+-----------------------------------------------------------------+
| !  | ## T                                                            |
| [] | erm to Know -- Recipient  {#term-to-know-recipient .unnumbered} |
| (m |                                                                 |
| ed |                                                                 |
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| 22 |                                                                 |
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| 77 |                                                                 |
| 77 |                                                                 |
| 78 |                                                                 |
| in |                                                                 |
| "} |                                                                 |
+----+-----------------------------------------------------------------+
|    | Any entity to which financial assistance under WIA Title 1 is   |
|    | extended, either directly from the USDOL or through the         |
|    | Governor or another recipient; excluding the ultimate           |
|    | beneficiaries of the WIA Title I funded programs or activities. |
+----+-----------------------------------------------------------------+

All recipients must comply with the complaint procedures. (29 CFR 37.77)
These recipients include, but are not limited to:

-   State-level agencies that administer or are financed in whole or in
    part with WIA Title I funds

-   State Employment Security Agencies (Unemployment Insurance-UI)

-   State and Local Workforce Investment Boards

-   LWIA Grant recipients

-   One-Stop Operators

-   Providers of services, and benefits, or training funded, or
    authorized under WIA, including eligible training providers

-   On-the-Job (OJT) employers

-   Job Corps contractors and center operators, excluding the operators
    of federally operated Job Corps centers

-   Job Corps national training contractors

-   Outreach and admissions agencies, including Job Corps contractors
    that perform these functions

-   Placement agencies, including Job Corps contractors that perform
    these functions

-   One-Stop partners to the extent that they participate in the
    One-Stop delivery system

## Recipients' Complaint Processing Procedures {#recipients-complaint-processing-procedures .unnumbered}

**(29 CFR 37.70 -- 37.75) and (29 CFR 37.76)**

The regulatory requirements, for a recipient's discrimination complaint
processing procedure, have been grouped under five general categories:

-   Jurisdiction

-   Methods of Resolution/Disposition

-   Notice of Final Disposition

-   Processing Timeframes

-   Recordkeeping

**Jurisdiction**

The following are the specific areas covered under Jurisdiction:

-   Types of Complaints

-   Who May File a Complaint

-   Information Required for a Complaint

-   Complaint Form To Be Used

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-   Time Frames for Filing a Complaint

##  {#section .unnumbered}

## Types of Complaints {#types-of-complaints .unnumbered}

If someone is alleging a discriminatory practice has occurred, the
complaint falls into one of three categories, depending on its source:

-   **Individual Complaint.** A complaint alleging that the person
    filing the complaint has been or is being subjected to
    discrimination.

-   **Class Action Complaint.** A complaint filed by one or more
    individuals alleging discrimination, not only against themselves,
    but also against a group of similarly situated individuals.

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-   Must have the signed consent of all individuals in the complaint in
    order to process the complaint.

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-   **Third Party Complaint.** A complaint filed by a group or
    individual alleging discrimination against another group or
    individual.

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-   Must have the signed consent of all individuals in the complaint in
    order to process the complaint.

The majority of WIA complaints, taken from the categories above, can be
determined to be either a:

-   **Discrimination Complaint** which is processed according to WIA/CRC
    regulations, or a

-   **Program Complaint**, which is processed according to DOL
    Employment and Training Administration's (ETA) regulations.

**Who May File a Complaint**? (29 CFR 37.70)

Any person who believes that he or she, or any specific class of
individuals, has been or is being subjected to discrimination prohibited
under WIA has the option to file with the recipient or directly with
CRC.

The complainant(s) may file a written complaint by his or herself, or
through a representative with the recipient or the CRC.

Examples of who may file:

-   Applicant/registrant for aid, benefits, services or training

-   Eligible applicants/registrants

-   Participants

-   Employees

-   Applicants for employment

-   Service providers (the organization involved is one which may be
    attributed a racial, national origin or other characteristic
    entitled to protection under WIA)

-   Eligible service providers (same definition as above applies)

## Information Required for a Complaint (29 CFR 37.73) {#information-required-for-a-complaint-29-cfr-37.73 .unnumbered}

A complaint must be filed in writing and contain the following
information:

-   Complainant's name/address or another means of contacting the
    complainant

-   The identity of the respondent (including the individual or entity
    alleged to have discriminated)

-   The complaint is signed by the complainant or an authorized
    representative

-   The allegations, described in sufficient detail to determine
    whether:

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-   Complaint is covered as applicable under CRC's or the Recipient's
    jurisdiction

-   Complaint was filed within specified time

-   Complaint has apparent merit

+----+-----------------------------------------------------------------+
| !  | ## Term to Kno                                                  |
| [] | w -- Apparent Merit  {#term-to-know-apparent-merit .unnumbered} |
| (m |                                                                 |
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| 77 |                                                                 |
| 77 |                                                                 |
| 77 |                                                                 |
| 78 |                                                                 |
| in |                                                                 |
| "} |                                                                 |
+----+-----------------------------------------------------------------+
|    | Apparent merit means that the allegation of discrimination, or  |
|    | complaint, if proven to be true, would violate WIA regulations. |
|    |                                                                 |
|    | There is no apparent merit if the allegation of discrimination  |
|    | does not reference a basis prohibited under Section 188 of WIA. |
+----+-----------------------------------------------------------------+

**What Form May Be Used for Filing a Complaint**

The complainant may:

-   Complete a form that has been developed by the state for this
    purpose, providing that the form is designed to provide all the
    information the complainant should have for filing a complaint.

-   Complete and submit CRC's Complaint Information Form (CIF).

-   Choose to file a complaint with the Recipient, using the CRC's CIF,
    or a complaint form that the Recipient has developed. Like the state
    form, the Recipient's document must be designed to allow the
    complainant to record all of the information required for filing.

+-----------------------------------------------------------------------+
| **NOTE:**                                                             |
|                                                                       |
| > Filing using a form is not required. If a complaint is submitted    |
| > with all the required information, but is not recorded on an        |
| > 'official' form, it must still be accepted.                         |
| >                                                                     |
| > If a Recipient or the state, decides to use the CRC Complaint       |
| > Information Form, the OMB number, on the bottom of the form, should |
| > be removed before reproduction.                                     |
+-----------------------------------------------------------------------+

## Time Frame for Filing a Complaint  {#time-frame-for-filing-a-complaint .unnumbered}

The filing time period, for a complaint is:

-   180 days from the date of the alleged discrimination

    -   An extension of the 180-day filing period may be granted for
        good cause shown by the complainant.

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-   Only the Director of CRC can grant this extension.

**Due Process Guarantees**

29 CFR 37 has imbedded due process guarantees into the required
procedures for receiving and processing discrimination complaints. For
example:

-   Agencies receiving and processing complaints are required to provide
    notice to all parties who have a legitimate interest in the
    complaint.

-   The regulations require that an "impartial decision-maker"
    investigate and process complaints. For example, the person
    investigating the case should not be the person who has allegedly
    committed the adverse action against the complainant.

-   Agencies are required to notify complainants of their rights,
    including the right to representation, to present evidence, to
    question others who present evidence, and file with CRC when they
    are not satisfied with an agency's decision.

-   Decisions should be made strictly on the basis of evidence gathered.

**Specific Required Elements (29 CFR 37.76)**

The regulations require that recipients' processing procedures for
discrimination complaints must include the following elements:

-   **Initial written notice.** The recipient must provide an initial
    written notice to the complainant that contains the following:

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-   Acknowledgement of the written complaint

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-   Notice to the complainant of his or her right to be represented in
    the complaint process

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-   **Written statement of issues.** The recipient must provide, to the
    complainant, a written statement of the issues, to include the
    following information:

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-   A list of the issues raised in the complaint.

-   For each issue, a statement whether the recipient will accept the
    issue for investigation or reject the issue and the reasons for each
    rejection.

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-   **Process for fact-finding.** The recipient must develop a process
    for investigation or fact-finding.

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-   The choice to use customary process rests with complainant.

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-   **Alternative Dispute Resolution Process.** The recipient must
    develop a procedure for resolving the complaint through alternative
    dispute resolution (ADR). The methods of ADR must include:

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-   A choice for the complainant to use ADR or the customary process.

-   A provision for any party to file a complaint with the CRC Director
    in the event an ADR agreement is breached.

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-   **Written Notice of Final Action.** The recipient must provide to
    the complainant a notice of final action within 90 days from the
    date when the complaint was filed. The notice must include the
    following information:

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-   The recipient's decision on each issue and an explanation of the
    reason behind the decision (if used investigation or fact-finding
    process) or a description of the way the parties resolved the issues
    (if ADR process is used). (See appendix for more information on ADR)

-   A notice stating that if the complainant is dissatisfied with the
    recipient's resolution of the complaint, he or she has the right to
    file a complaint with CRC within 30 days from the date of issuance
    of the notice of final action.

**[Acceptance for investigation or Rejection]{.smallcaps}**

**[By the Recipient]{.smallcaps}**

## Determining Jurisdiction {#determining-jurisdiction .unnumbered}

The recipient may conduct an investigation only if they have
jurisdiction over the complaint issue. To determine jurisdiction, it
must be established that:

-   The Respondent is a WIA Recipient as defined in 29 CFR Subpart A
    37.54(3).

-   The complaint has been filed within the required 180-day time
    period, or the Director of CRC has granted an extension waiver.

-   The complaint issue (basis) is covered under Section 188 of WIA.

## No Jurisdiction {#no-jurisdiction .unnumbered}

Where the recipient determines that it has no jurisdiction over a
complaint, they have the obligation to *immediately* send the
complainant a *Written Notice of Lack of Jurisdiction*. This document
must include:

-   The reason(s) for the determination

-   A notice that the complainant has a right to file a complaint with
    CRC within 30 days of receiving the *Written Notice of Lack of
    Jurisdiction*

Program and Discrimination complaints are examined in more detail
further on this element.

+-----------------------+-----------------------+-----------------------+
|                       | **DISCRIMINATION      | **PROGRAM**           |
|                       | COMPLAINT**           |                       |
|                       |                       | **COMPLAINT**         |
+-----------------------+-----------------------+-----------------------+
| Elements included     | -   An issue          | -   An issue          |
|                       |                       |                       |
|                       | -   A prohibited      | -   A non-prohibited  |
|                       |     basis             |     basis             |
+-----------------------+-----------------------+-----------------------+
| Procedures to follow  | -   CRC regulations   | -   ETA regulations   |
|                       |     at 29 CFR 37      |     at 20 CFR Subpart |
|                       |                       |     F, Sec. 667.600   |
|                       |                       |     \[a\] \[b\]       |
+-----------------------+-----------------------+-----------------------+

**[Processing Timeframe Requirements]{.smallcaps}**

Below is a summary of timeframes established by the Section 188 of WIA
29 CRF 37 for the processing of discrimination complaints:

## Recipient's 90-Day Processing Timeframe. The agency receiving the complaint must perform one of the following actions within 90 days from the date the complaint is received:

-   Issue a W*ritten Notice of Lack of Jurisdiction*

-   Refer the complaint to another federal grant-making agency for
    investigation where there is dual jurisdiction

-   Issue a *Written Notice of Final Action*

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-   **Complainant's 30-Day Timeframe for Appeals**. The complainant has
    30 days to file with CRC when any of the following occurs:

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-   The recipient issues a W*ritten Notice of Lack of Jurisdiction.* In
    this case, the 30 days is counted from the date of receipt of the
    notice.

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-   The complainant is not satisfied with the decision in the *Written
    Notice of Final Action.* In this case, the 30 days is counted from
    the date of receipt of the notice.

-   The recipient fails to issue either a W*ritten Notice of Lack of
    Jurisdiction,* a *Written Notice of Final Action,* or a referral to
    another federal grant-making agency for investigation in case of
    dual jurisdiction by the end of 90 days after receipt of the
    complaint. In this case, the 30 days is counted at the end of the
    initial 90-day period.

-   A party to an agreement breaches the agreement. In this case, the 30
    days is counted from the date the complainant learns of the alleged
    breach.

-   An ADR process fails to produce an agreement. In this case, the 30
    days is counted from the date on which the process terminates.

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-   **Extension of Complainant's 30-Day Timeframe.** The CRC Director
    may extend the complainant\'s 30-day timeframe to file with CRC if
    the complainant can show good cause.

Activity:\
Distinguishing Complaints of\
Discrimination from Program Complaints

**Purpose:**

>  To identify acceptable discrimination complaints

**Task:**

-   You are a member of the state's review team. You have been asked to
    review letters of complaint to determine whether an EO Officer has
    jurisdiction under Section 188 of WIA.

-   Read the letters or scenario on the next page.

-   Take five minutes to review the prohibited bases for discrimination.

-   Decide whether the complaint is covered under Section 188 of WIA and
    why.

-   Share your findings with the class.

**Time:**

-   20 minutes

**[Complaints of Discrimination Scenarios]{.smallcaps}**

+-----------------------------------------------------------------------+
| > **SCENARIO #1**                                                     |
| >                                                                     |
| > Dear Madam:                                                         |
| >                                                                     |
| > As you are the Equal Opportunity Officer for our agency, I am       |
| > writing to you to register my complaint. During the last election,  |
| > I took time off to work on the Governor's campaign. I always took   |
| > leave to do the campaign work and never did any campaign work on    |
| > the job. Last week, I interviewed for my old supervisor's job and   |
| > they gave it to someone who didn't even work in our unit. I know    |
| > that they didn't give the job to me because of my work for the      |
| > other political party.                                              |
| >                                                                     |
| > Sincerely,                                                          |
| >                                                                     |
| > Mr. L. Thompson                                                     |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| > **SCENARIO #2**                                                     |
| >                                                                     |
| > Dear Sir:                                                           |
| >                                                                     |
| > I have been in your government program for 16 months. I have        |
| > performed multiple roles and all of my supervisors have stated that |
| > I do good work. Last week, my counselor, Miss Flowers, said that I  |
| > was being terminated as my time had run out. She read me the state  |
| > WIA policy that says the maximum time a person can be in this       |
| > program is 1 year, however, I would like to stay in the program. I  |
| > am seeking your assistance with this problem.                       |
| >                                                                     |
| > Sincerely,                                                          |
| >                                                                     |
| > Jake Johnson                                                        |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| ######## SCENARIO #3 {#scenario-3 .unnumbered}                        |
|                                                                       |
| > A 35-year old White female has filed a complaint because she was    |
| > terminated from a WIA program. She stated that her counselor told   |
| > her that her income had been improperly calculated and that she was |
| > not financially eligible. She believes that they didn't want her in |
| > the program because she is White and her counselor and most of the  |
| > staff are African American.                                         |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| > **SCENARIO #4**                                                     |
| >                                                                     |
| > Dear Madam:                                                         |
| >                                                                     |
| > I am in an OJT program working as a logger. I have done a good job  |
| > and my boss likes me. I need to get my teeth fixed and the dentist  |
| > quoted me a cost of \$1,000. I will need assistance to pay for this |
| > dental work. My counselor, however, insisted that I don't need good |
| > teeth to work as a logger. I do not believe that his explanation is |
| > fair.                                                               |
| >                                                                     |
| > My wife was in your program and they fixed her teeth. She said that |
| > her counselor told her that she needed nice teeth to be a waitress. |
| > Well, she doesn't have to eat the food; she just has to carry it.   |
| > Just because I don't eat logs doesn't mean I shouldn't have good    |
| > teeth.                                                              |
| >                                                                     |
| > Sincerely,\                                                         |
| > J.J. Smalley                                                        |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| > **SCENARIO #5**                                                     |
| >                                                                     |
| > A WIA participant on an OJT contract believes that he is being      |
| > treated unfairly and wants to file a complaint. He claims that his  |
| > employer has refused to supply him with work uniforms and safety    |
| > shoes that are provided, free of charge, to other employees doing   |
| > similar work. Two of the employees who have received free uniforms  |
| > and shoes are also WIA OJT participants.                            |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| > **SCENARIO #6**                                                     |
| >                                                                     |
| > A WIA participant completed a career assessment and is in the       |
| > process of working with an Employment Specialist on a service plan. |
| > The participant has requested training as a massage therapist. The  |
| > Employment Specialist has disputed this request stating that it is  |
| > not work suited for males and no jobs are available in the local    |
| > area. The WIA participant had a female neighbor that received       |
| > training through the LWIA as a masseur just a couple of months      |
| > earlier and is currently employed as a massage therapist.           |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| > **SCENARIO #7**                                                     |
| >                                                                     |
| > A customer comes to the One-Stop Center and asks to take a typing   |
| > test. The customer is noticeably visually impaired. The One-Stop    |
| > Center's staff person advises the customer that the Center does not |
| > have the ability to provide a typing test to visually impaired      |
| > individuals. The customer files a complaint alleging that he was    |
| > treated unfairly.                                                   |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| > **SCENARIO #8**                                                     |
|                                                                       |
| A female on-the-job training (OJT) participant has been complaining   |
| because her supervisor has been making sexual advances towards her.   |
+-----------------------------------------------------------------------+

**[Handling Complaints\
Against One-Stop Partners]{.smallcaps}**

**[Financially Assisted By Agencies Other Than DOL]{.smallcaps}**

Under Section 188 of WIA 29 CFR 37.85 (c) (1) (2) (d), the following
procedures apply for handling complaints filed against a One-Stop
partner financially assisted by a federal grant-making agency other than
DOL:

-   **Dual Jurisdiction.** Where the complaint alleges discrimination on
    a basis that is prohibited by both Section 188 of WIA and a Civil
    Rights law enforced by the federal grant-making agency, then CRC and
    the grant-making agency have dual jurisdiction over the complaint.
    In this case, the CRC Director or recipient will refer the complaint
    to the grant-making agency for processing following the grant-making
    agency's regulations.

-   **Sole Jurisdiction.** Where the complaint alleges discrimination on
    a basis that is prohibited by Section 188 of WIA (*e.g.,* religion,
    political affiliation or belief, citizenship, and /or participation
    in WIA Title I financially assisted activity) but not by any Civil
    Rights laws enforced by the federal grant-making agency, then CRC
    has sole jurisdiction over the complaint. In this case, the CRC or
    recipient will retain the complaint and process it following Section
    188 of WIA, 29 CFR 37.

The following are some examples of federal grant-making agencies that
participate as a partner in a One-Stop delivery system and provide
financial assistance to programs and activities that operate as part of
a One-Stop system:

-   Department of Education (DOE)

-   Department of Health and Human Services (HHS)

-   Department of Housing and Urban Development (HUD)

-   Department of Agriculture (USDA)

-   Department of Transportation (DOT)

**[Bases of Discrimination Prohibited by\
Section 188 of WIA and Civil Rights Laws\
enforced by Federal Grant --Making Agencies (FGA) and/or
DOL-CRC]{.smallcaps}**

+-------------------+-------+-------+-------+------+-------+--------+
|                   | Se    | Title | Se    | A    | Title | Age    |
|                   | ction | VI,   | ction | meri | IX,   | Di     |
|                   | 188,  |       | 504,  | cans | Educ  | scrimi |
|                   | WIA   | Civil | Reha  | with | ation | nation |
|                   |       | R     | bilit | Disa | Amend | Act of |
|                   |       | ights | ation | bili | ments | 1975   |
|                   |       | Act   | Act   | ties | Act   |        |
|                   |       | of    | of    | Act  | of    |        |
|                   |       | 1964  | 1973  |      | 1972  |        |
+===================+=======+=======+=======+======+=======+========+
| Race              | CRC   | FGA & |       |      |       |        |
|                   |       | CRC   |       |      |       |        |
+-------------------+-------+-------+-------+------+-------+--------+
| Color             | CRC   | FGA & |       |      |       |        |
|                   |       | CRC   |       |      |       |        |
+-------------------+-------+-------+-------+------+-------+--------+
| National Origin   | CRC   | FGA & |       |      |       |        |
|                   |       | CRC   |       |      |       |        |
+-------------------+-------+-------+-------+------+-------+--------+
| Disability        | CRC   |       | FGA & | FGA  |       |        |
|                   |       |       | CRC   | &    |       |        |
|                   |       |       |       | CRC  |       |        |
+-------------------+-------+-------+-------+------+-------+--------+
| Sex               | CRC   |       |       |      | FGA & |        |
|                   |       |       |       |      | CRC   |        |
+-------------------+-------+-------+-------+------+-------+--------+
| Age               | CRC   |       |       |      |       | FGA &  |
|                   |       |       |       |      |       | CRC    |
+-------------------+-------+-------+-------+------+-------+--------+
| Religion          | CRC   |       |       |      |       |        |
+-------------------+-------+-------+-------+------+-------+--------+
| Political         | CRC   |       |       |      |       |        |
| Affiliation or    |       |       |       |      |       |        |
| belief            |       |       |       |      |       |        |
+-------------------+-------+-------+-------+------+-------+--------+
| Citizenship       | CRC   |       |       |      |       |        |
|                   |       |       |       |      |       |        |
| (WIA              |       |       |       |      |       |        |
| beneficiaries     |       |       |       |      |       |        |
| only)             |       |       |       |      |       |        |
+-------------------+-------+-------+-------+------+-------+--------+
| Participation in  | CRC   |       |       |      |       |        |
| any WIA           |       |       |       |      |       |        |
| program/activity  |       |       |       |      |       |        |
| (Beneficiaries)   |       |       |       |      |       |        |
+-------------------+-------+-------+-------+------+-------+--------+

**Retaliation / Intimidation or reprisal.** Sections 188 of WIA and
Civil Rights laws prohibit retaliation / intimidation or reprisal
against any individual because they filed a complaint, opposed a
practice, or furnished information on any of the prohibited bases.

## Steps in Determining Type of Jurisdiction {#steps-in-determining-type-of-jurisdiction .unnumbered}

The following are steps to take in determining whether dual or sole
jurisdiction exists:

-   **Step 1:** Identify the alleged discriminatory decision / action.
    (e.g., denied training, terminated from training, actions that may
    constitute sexual harassment, etc.).

-   **Step 2:** Identify the entity (program or activity operated as
    part of a One-Stop) in which the alleged discriminatory
    decision/actions occurred, e.g., Job Service, Unemployment
    Insurance, Temporary Assistance for Needy Families \[TANF\], or
    other service providers including colleges and universities,
    hospitals, etc.

-   **Step 3:** Identify the primary source of federal financial
    assistance of the entity against which the complaint is filed (e.g.,
    DOE, HHS, DOL).

-   **Step 4:** Determine whether the basis of the alleged
    discrimination involves one or more of the following bases: race,
    sex, national origin, color, disability or age, religion, political
    affiliation or belief, citizenship (beneficiaries only),
    participation in WIA Title I program or activity (beneficiaries
    only).

-   **Step 5:** Determine whether the allegations, if true, would
    violate Section 188 of WIA or any of the following: Title VI, Title
    IX, Section 504, Title II of ADA, or the Age Discrimination Act.

## Dual Jurisdiction  {#dual-jurisdiction .unnumbered}

Dual jurisdiction exists when:

-   The primary source of federal financial assistance of the entity
    against which the allegations are filed is a federal grant-making
    agency other than DOL.

-   The basis of the allegation involves one or more of the following:
    race, sex, national origin, color, disability or age.

-   The allegation, if determined to be true, would violate one or more
    of the following: Title VI, Title IX, Section 504, Title II of ADA,
    the Age Discrimination Act, or Section 188 of WIA.

When dual jurisdiction exists, the agency receiving the complaint must
take the following actions:

-   Refer the complaint to the federal grant-making agency's Office of
    Civil Rights, National Office, Washington, D.C. to be processed in
    accordance with the agency's complaint investigation procedures.
    (See the appendix for a sample letter of referral.)

-   Notify the complainant and the respondent of the referral. (See the
    appendix for a sample notification letter.)

Once the referral is made, the CRC or recipient may follow-up to inquire
as to the disposition of the complaint. (Note: there is no requirement
on the part of the federal grant-making agency to send the completed
investigative file to the referring agency for its review and
concurrence.)

**Sole Jurisdiction**

Sole jurisdiction exists when:

-   The primary source of federal financial assistance of the entity
    against which the allegations are filed is a federal grant-making
    agency other than DOL.

-   The allegation(s), if true, would violate Section 188 of WIA.

-   The allegation is [not]{.underline} based on a civil rights law
    enforced by the other grant-making agency (*e.g.,* religion,
    political affiliation, citizenship, participation in WIA program or
    activity).

When sole jurisdiction exists, the agency receiving the complaint refers
the complaint to CRC for processing according to section 188 of WIA, 29
CFR 37 regulations and complaint investigation procedures.

+-----------------------------------------------------------------------+
| **NOTE:**                                                             |
|                                                                       |
| > In instances where the primary source of the financial assistance   |
| > for the entity is neither DOL nor another federal grant-making      |
| > agency, but involves, for example, state funding, these complaints  |
| > would be retained and investigated according to section 188 of the  |
| > WIA, 29 CFR 37 regulations and complaint procedures.                |
+-----------------------------------------------------------------------+

**[Memorandums of Understanding\
(MOU) Agreements Between\
USDOL CRC and other\
Federal Grant-making Agencies]{.smallcaps}**

Only one MOU agreement has been executed that sets out the procedures
for processing complaints filed with another federal grant-making
agency. The executed agreement is between the U.S. Department of Labor,
Civil Rights Center (USDOL CRC) and the U.S. Department of Education,
Office of Civil Rights (USDOE OCR). A copy of this agreement can be
found in the addendum of this training manual.

CRC will continue to work with federal grant-making agencies to
finalize. However, until such time as these agreements are executed,
procedures set forth in the MOU agreement with USDOE OCR are to serve as
the guidelines to be followed in making complaint referrals.

Questions regarding referral of complaints to another federal
grant-making agency should be directed to the CRC Director.

**[Activity:\
Procedures for Handling Complaints Against]{.smallcaps}**

**One-Stop Partners funded by an Agency other than DOL**

**Purpose:**

>  To determine if a complaint is Sole Jurisdiction or Dual
> Jurisdiction

**Task:**

-   You are a member of the Civil Rights Center review team. You have
    been asked to review complaints against various One-Stop partners.

-   Take five minutes to review the information on *Procedures for
    Handling Complaints* and *Steps in Determining Type of
    Jurisdiction*.

-   Read the complaint scenarios on the following pages. For each
    complaint, record responses to the following:

```{=html}
<!-- -->
```
-   Name the entity against which the complaint is filed.

-   Identify the primary source of the federal financial assistance of
    the entity you have named above (e.g., U.S. Department of Education,
    U.S. DOL, etc.).

-   Describe the basis (*e.g.,* race, sex, etc.) of the alleged
    discrimination.

-   Identify the civil rights law(s) (*e.g.,* Title VI, 504, etc.) that
    are being violated if the allegations are proven to be true.

-   Identify the federal Civil Rights Agency that should process the
    complaint and explain your rationale for selecting this agency.

-   Explain whether the complaint constitutes dual jurisdiction or sole
    jurisdiction under WIA 29 CFR 37 and why.

-   Describe the action you would take to complete processing of this
    complaint.

```{=html}
<!-- -->
```
-   Share your findings with the class

Time:

-   25 minutes

**[Complaint Scenarios]{.smallcaps}**

For purposes of this exercise, assume that these complaints were filed
timely and that all other jurisdictional requirements have been met.

1.  Ms. Peggy Potter, a Black female, alleges that she went into the
    TANF office in the Odessa, Texas, One-Stop Center to apply for an
    OJT work assignment as a nurse's aide. Ms. Campbell, the Counselor
    who assisted her, told her that the Methodist Hospital training
    program paid more money and offered a greater opportunity for
    permanent employment. Currently, there were no openings at the
    Methodist Hospital, however, she would be contacted when a position
    was available.

> A week later, Ms. Potter ran into Ms. Norma Cantrell (White), one of
> the women she had met at the TANF office. Ms. Cantrell told Ms. Potter
> that two days ago she visited the TANF office in the One-Stop Center
> and Ms. Campbell had referred her to an OJT position for nurses aide
> training in the Methodist Hospital training program. Ms. Potter
> remembered the "EO Is The Law" notice she had been given at the
> One-Stop Office and filed a complaint with the One-Stop EO Officer
> alleging that she was denied a referral to the OJT nurses aide
> training program at the Methodist Hospital because of her race
> (Black).

2.  Mr. Todd Brown was enrolled in a medical technology program at the
    University of Alabama Hospital (UAH). His training was funded
    through the Trade Adjustment Assistance Act, a DOL financially
    assisted program. He alleges that while enrolled at UAH he was
    denied tutoring assistance and mentoring that were provided to
    younger female trainees. Three weeks into the training program, Mr.
    Brown alleges that his instructor and the Hospital Training
    Coordinator met with him and informed him that they did not think
    that he would be successful in completing the program. He claims
    that they said that it would be difficult to find him a placement
    because he was older than the other students. Furthermore, they
    stated that most of the older male trainees who had previously
    participated in the program were unable to learn the necessary
    computer skills. To avoid the risk of him being unsuccessful in
    completing the program, which could result in the program's failure
    to meet its placement goals, they were terminating him from the
    program. Mr. Brown alleges that he was not given a fair opportunity
    to complete the program because of his age and gender.

3.  Ms. Maria Torres is an active member of the Popular Democratic Party
    (PDP) in Puerto Rico. She applied for services through the San Juan
    Dislocated Workers Program and was enrolled in the University of
    Puerto Rico's Continuing Education Program, pursuing an accounting
    degree. She alleges that the instructor, Ms. Carmen Ruiz, a member
    of the New Progressive Party (NPP), refused to provide her with
    tutoring after class. She provided this service to several of the
    other students in the class. Ms. Torres alleges that Ms. Ruiz
    intentionally excluded her from the study group sessions that
    assisted students in preparing for exams and never called on her in
    class, even when she raised her hand. Ms. Torres stated that she was
    ill with the flu on the day the final exam was given. She notified
    Ms. Ruiz that she was ill and was unable to take the exam. She asked
    Ms. Ruiz if she could be given a make-up exam but her request was
    denied. As a result she was given a failing grade. Ms. Torres
    further stated that she learned two weeks later that another student
    in the class, who is an active member of the NPP, did not take the
    final exam but was allowed to take a make-up exam. Ms. Torres
    believes she was treated differently because of her political
    affiliation with the PDP political Party.

4.  Ms. Sandra Bell alleges that the Dislocated Workers Program did not
    refer her to the position of Home Health Worker, even though she met
    the qualifications of the position. She stated in her complaint that
    the assessment counselor explicitly asked her if she had experienced
    any back problems within the past five years. She responded yes, but
    was not given an opportunity to explain. Ms. Bell further alleges
    that the assessment counselor then told her that she could not refer
    her to the Home Health Worker position because the policy of the
    dislocated workers program is to not refer anyone who has ever had a
    back problem. Ms. Bell then filed a complaint with the One-Stop EO
    Officer alleging that she was denied a referral to the position of
    Home Health Worker based on the Counselor's perception that she was
    unable to perform that job because of a previous back injury.

**[Record-keeping Requirements]{.smallcaps}**

**[(29 CFR 37.37 \[c\])]{.smallcaps}**

Each recipient must maintain a log of complaints filed that allege
discrimination based on race, color, religion, sex, national origin,
age, disability, political affiliation or belief, citizenship, and /or
participation in a WIA-financially assisted program or activity.

Each log must include the following information:

-   The name and address of the complainant

-   The basis of the complaint

-   A description of the complaint

-   The date when the complaint was filed

-   The disposition of the complaint and the date the disposition was
    issued

-   Other pertinent information

All records regarding complaints and actions taken on complaints must be
maintained for a period of not less than three (3) years from the date
of resolution of the complaint.

**[Supporting Documentation to\
Accompany the MOA]{.smallcaps}**

States are obliged to provide documentation, together with their MOA, to
demonstrate compliance with the nondiscrimination and equal opportunity
requirements of WIA. Specifically, States must provide the following
documents:

-   A copy of the state's discrimination complaint procedures developed
    pursuant to the regulatory requirements of the regulations

-   A copy of directives, memoranda, or any other instruments used to
    inform recipients of the complaint procedure

-   A copy of the ADR procedures, if not included with the complaint
    processing procedures

######### [The state's procedures for Complaint Processing]{.smallcaps} {#the-states-procedures-for-complaint-processing .unnumbered}

Your state's MOA describes:

-   How the state will communicate policies, procedures and systems to
    all recipients

-   How the recipients have made, and will continue making, efforts to
    ensure proper complaint processing

-   How the state will support and evaluate the success of its
    recipients' complaint processing efforts