# Presentation: 412720

## Methods of AdministrationMOA Element 8

- Complaint Processing Procedures

## Agenda

**Presentation**: 	Learning Objectives
**Presentation:** 	General Requirements
**Presentation:** 	Recipient Processing 	Procedures
**Activity:** 	Distinguishing Complaints 	of 	Discrimination v.s. 	Program Complaints

## Agenda

**Presentation:** 	Handling Complaints Filed 	Against Another Federal 	Agency
**Presentation:** 	Required Record Keeping
**Presentation:** 	Supporting 	Documentation

## Learning Objectives

- Explain the general requirements for complaint processing procedures.
- Distinguish between discrimination complaints and program complaints.

## Learning Objectives

- Inform complainants of their rights and the appropriate process in filing complaints.
- Define how the state guarantees compliance with Complaint Processing Procedures

## General Requirements

- Each state must adopt and publish procedures for processing complaints alleging discrimination against any WIA recipient (29 CFR 37.77)
- The Governor, LWIA, and the EO Officers are responsible for developing and publishing complaint procedures
- 	(29 CFR 37.77)
- The EO Officer is responsible for ensuring that recipients follow procedures for processing discrimination complaints under 29 CFR 37.76 – 37.79.  (29 CFR 37.25 [d])
- The procedures must provide the complainant with the option to file with the recipient or directly with CRC. (29 CFR 37.71 and 37.76)
- All recipients must comply with the complaint procedures. (29 CFR 37.77)

## General Requirements

- Recipients That Must Comply With Complaint Procedures
- State-level agencies that administer WIA funds
- State Employment Security Agencies (UI)
- State and Local Workforce Investment Boards
- LWIA Grant recipients
- One-Stop Operators
- Providers of services, and benefits

## General Requirements – cont.

- Recipients That Must Comply With Complaint Procedures
- On-the-job (OJT) employers
- Job Corps contractors and center operators (excluding federally operated centers)
- Placement agencies, including Job Corps contractors that perform these functions
- One-Stop partners

## Complaint Processing Procedures

- Jurisdiction
- Methods of Resolution/Disposition
- Notice of Final Disposition Processing
- Processing Time Frames
- Recording Keeping

## Recipient’s Complaint Processing Procedures

- Jurisdiction
- Types of Complaints
- Who May File a Complaint
- Information Required for Complaint
- Complaint Form to be Us
- Time Frames for Filing

## Types of Complaints

- Individual
- Class Action Complaint
- Third Party Complaint

## Who May File A Complaint?

**Examples of who may file:**
- Applicant/registrant for aid, benefits, services, or training
- Eligible applicants/registrants
- Participants
- Employees
- Applicants for employment
- Eligible service providers

## Information Required for a Complaint

- Complainant’s name/address or another means of contracting the complainant
- Identity of the respondent (individual or entity alleged to have discriminated)
- Allegations described in sufficient detail to determine whether:
- Complaint is covered as applicable under CRC’s or the Recipient’s jurisdiction
- Complaint was filed within specified time
- Complaint has apparent merit
- A signature from the complainant or their authorized representative

## Term to Know - Apparent Merit

- 	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.

## Form To Be Used in Filing a Complaint

- Complaint form developed by the state
- Complaint Information Form (CIF) developed by the CRC
- Any other document that includes the required information

## Time Frame for Filing a Complaint

- A complaint must be filed:
- Within 180 days of the alleged discrimination
- An extension of the 180-day filing period may be granted for good cause shown by the complainant
- Only the Director of CRC can grant this extension

## Due Process Guarantees

- Agencies receiving and processing complaints are required to provide notice to all parties who have a legitimate interest in the complaint.
- Regulations require that an “impartial” decision-maker investigate and process complaints.

## Due Process Guarantees

- Agencies are required to notify complainants of their rights to:
- Representation
- Present evidence
- Question others who present evidence
- File with CRC when they are not satisfied with an agency’s decision
- Decisions should be made strictly on the basis of evidence gathered.

## Required Elements

- Initial written notice
- Written statement of issues
- Process for fact-finding
- Alternative Dispute Resolution process
- Written Notice of Final Action

## Required Elements

**Initial written notice including:**
- Acknowledgment of the written complaint
- Notice to the complainant of his or her right to be represented in the complaint process
**Written statement of issues including:**
- List of the issues raised in the complaint
- Statement whether the recipient accepts the issue for investigation or rejects the issue and the reasons for each rejection

## Required Elements

**Process for investigation/fact-finding**
- Timeframe for ascertaining the circumstances underlying the complaint
**Alternative Dispute Resolution Process**
- Choice for the complainant to use ADR or the customary process
- Provision for any party to file a complaint with the CRC Director if ADR agreement is breached

## Required Elements

**Written Notice of Final Action including:**
- The recipient’s decision and explanation (investigation or fact-finding) or a description of the resolution (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

## Acceptance for Investigation or Rejection by the Recipient

**Determining Jurisdiction**
- Respondent is a WIA Recipient
- Complaint has been filed within the 180-day time period, or the Director of CRC has granted an extension waiver
- The complaint basis is covered under Section 188.

## Acceptance for Investigation or Rejection by the Recipient

**Discrimination Complaints vs. Program Complaints**** **
- WIA complaints can be divided into 2 categories:
- Discrimination complaints, processed according to WIA regulations
- Program complaints, processed according to ETA regulations

## Acceptance for Investigation or Rejection by the Recipient

**Discrimination vs. Program Complaints (cont.)**** **

|   |  DiscriminationComplaint |  Program Complaint |
| --- | --- | --- |
| Elementsincluded | An issue
A prohibited basis | An Issue
A non-prohibited basis |
| Procedures to follow | WIA regulations at 29 CFR 37 | ETA regulations at 20 CFR Subpart F, Sec. 667.600 [a][b] |

**8****-**

## Acceptance for Investigation or Rejection by the Recipient

**Example 1:**
- A WIA participant in an on the job training (OJT) program believes that he is being treated unfairly and wants to file a complaint.  He says his employer has refused to supply him with work uniforms and safety shoes that are provided, free of change, to other employees doing similar work.  He further states that two of the other employees who have received free uniforms and shoes are also WIA OJT participants

## Acceptance for Investigation or Rejection by the Recipient

**Example 2:**
- A WIA participant in an OJT training program believes that he is being treated unfairly and wants to file a complaint.  He says his employer has refused to supply him with work uniforms and safety shoes that are provided, free of charge, to white employees doing similar work. He further states that he knows of two other employees who have received free uniforms and shoes who are white and who are also WIA OJT participants.  He believes he is being treated unfairly because he is Hispanic.

## Acceptance for Investigation or Rejection by the Recipient

**No Jurisdiction**** **
- Recipient must send the complainant a Written Notice of Lack of Jurisdiction including:
- The reason(s) for the determination
- 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

## Processing Timeframe Requirements

- Recipient’s 90-Day Processing Timeframe
- Complainant’s 30-day Timeframe for Appeals
- Extension of Complainant’s Timeframe to Appeal

## Processing Timeframe Requirements

**Recipient’s 90-day Processing Timeframe**** **
- Issue a Written Notice of Lack of Jurisdiction
- Refer the complainant to another federal grant-making agency for investigation where there is dual jurisdiction
- Issue a Written Notice of Final Action

## Processing Timeframe Requirements

- Complainant’s 30-Day Timeframe for filing with CRC
- Recipient issues a Written Notice of Lack of Jurisdiction
- Recipient fails to issue either a Written Notice of Lack of Jurisdiction, a Written Notice of Final Action, or a referral to another federal grant-making agency within the 90-day timeframe
- A party to an agreement breaches the agreement
- An ADR process fails to produce an agreement

## Processing Timeframe Requirements

**Extension of Complainant’s 30-Day Timeframe Appeal**** **
- CRC Director may extend the complainant’s 30-day timeframe if the complainant can show good cause.

## Activity: Distinguishing Complaints of Discrimination vs. Program Complaints

**Purpose:**
-   To identify acceptable discrimination complaints
**Task:**
- You are a member of the CRC review team.  You  have been asked to review letters of compliant to determine whether an EO Officer has jurisdiction under Section 188 of WIA.
- Take 5 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.

## Handling Complaints Against One-Stop Partners Financially Assisted by Agencies Other than DOL

- Dual Jurisdiction
- The CRC Director or recipient refers the complaint to the grant-making agency for processing following the agencies regulations.
- Sole Jurisdiction
- The CRC or recipient retains the complaint and process it following Section 188 of WIA, 29 CFR 37

**8****-**

## Handling Complaints Against One-Stop Partners Financially Assisted by Agencies Other than DOL

- Examples of federal grant-making agencies that participate as a partner in a One-Stop delivery system
- Dual Jurisdiction
- 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)

**8****-**

## Memorandums of Understanding (MOU)

- Agreements Between USDOL CRC and Other Grant-Making Agencies

- The only MOU agreement that has been executed that sets out the procedures for processing complaints filed with another federal grant-making agency is between DOL CRC and DOE OCR.

## Memorandums of Understanding (MOU)

- CRC will continue to work with federal grant-making agencies to finalize MOUs.  In the interim, procedures in the MOU agreement with DOE OCR are to serve as the guideline.
- Questions regarding referral of complaints to another federal grant-making agency should be directed to the CRC Director.

## Record-Keeping Requirements

- Name and address of the complainant
- Basis of the compliant
- Description of the complaint
- Date when the compliant was filed
- Disposition of the complaint and the date the disposition was issued
- Other pertinent information

## Supporting Documentation to Accompany the MOA

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