§ 658.410 Establishment of local and State complaint systems. ( a ) Each State Workforce Agency (SWA) must establish and maintain a Complaint System pursuant to this subpart.
( b ) The State Administrator must have overall responsibility for the operation of the Complaint System; this includes responsibility for the informal resolution of complaints. In the ES office, the ES Office Manager is responsible for the operation of the Complaint System.
( c ) SWAs must ensure centralized control procedures are established for the processing of complaints and apparent violations. The ES Office Manager and the State Administrator must ensure a central complaint log is maintained, listing all complaints taken by the ES office or the SWA and apparent violations identified by ES staff, and specifying for each complaint or apparent violation: ( 1 ) The name of the complainant (for complaints);
( 2 ) The name of the respondent (employer or State agency);
( 3 ) The date the complaint is filed or the apparent violation was identified;
( 4 ) Whether the complaint is made by or on behalf of a migrant and seasonal farmworker (MSFW) or whether the apparent violation affects an MSFW;
( 5 ) Whether the complaint or apparent violation concerns an employment-related law or the ES regulations; and
( 6 ) The actions taken (including any documents the SWA sent or received and the date the SWA took such action(s)), and whether the complaint or apparent violation has been resolved, including informally.
( d ) State agencies must ensure information pertaining to the use of the Complaint System is publicized, which must include, but is not limited to, the prominent display of an Employment and Training Administration (ETA)-approved Complaint System poster in each one-stop center.
( e ) Each one-stop center must ensure there is appropriate staff available during regular office hours to take complaints.
( f ) Complaints may be accepted in any one-stop center, or by a SWA, or elsewhere by outreach staff.
( g ) All complaints filed through the ES office must be processed by a trained Complaint System Representative.
( h ) All complaints received by a SWA must be assigned to a trained Complaint System Representative designated by the State Administrator. Complaints must not be assigned to the State Monitor Advocate (SMA).
( i ) State agencies must ensure any action taken by the Complaint System Representative, including referral on a complaint from an MSFW, is fully documented and contains all relevant information, including a notation of the type of each complaint pursuant to Department guidance, a copy of the original complaint form, a copy of any ES-related reports, any relevant correspondence, a list of actions taken, a record of pertinent telephone calls, and all correspondence relating thereto.
( j ) Within 1 month after the end of the calendar quarter, the ES office manager must transmit an electronic copy of the quarterly Complaint System log described in paragraph (c) of this section to the SMA. These logs must be made available to the Department upon request.
( k ) The appropriate ES staff processing a complaint must offer to assist the complainant through the provision of appropriate services.
( l ) The State Administrator must establish a referral system for cases where a complaint is filed alleging a violation that occurred in the same State but through a different ES office.
( m ) Follow-up on unresolved complaints. When an MSFW submits a complaint, the Complaint System Representative must follow up monthly on the processing of the complaint and must inform the complainant of the status of the complaint. No follow-up with the complainant is required for non-MSFW complaints.
( n ) A complainant may designate an individual to act as their representative throughout the filing and processing of a complaint.
[81 FR 56352, Aug. 19, 2016, as amended at 85 FR 628, Jan. 6, 2020; 88 FR 82731, Nov. 24, 2023]