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UNIFIED WORKFORCE INVESTMENT SYSTEM COMPLAINT PROCESS

Learning Objectives…

Explain the general requirements for complaint processing procedures.

Explain the general requirements for complaint processing procedures.

Inform complainants of their rights and the appropriate process in filing complaints.

Inform complainants of their rights and the appropriate process in filing complaints.

Distinguish between discrimination complaints and program complaints.

Distinguish between discrimination complaints and program complaints.

Define how the OSCCs comply with Complaint Processing Procedures

Define how the OSCCs comply with Complaint Processing Procedures

Overview of the Complaint System

The Unified Workforce Investment System Complaintprocess provides customers with a formal mechanismto file complaints about the services or treatment thatthey received through the Massachusetts One-StopCareer Center system or to make employment relatedcomplaints about the terms and conditions ofemployment offered at the workplace.

WIA sec. 188 and 29 CFR 37 Discrimination

Complaints

20 CFR, Ch. V, § 667.600 - §

667.640

Title I Activities

20 CFR Ch. V, § 658.400 - §

658.426

Title III (W-P) Activities

Why do we have a Complaint System?

GENERAL REQUIREMENTS

State must adopt & publish procedures for processing complaints including complaints alleging discrimination against any WIA recipient

The SWA, LWIA and OSCC are responsible for developing, publishing and implementing a user friendly complaint system

The SMA / EO Officer are responsible for ensuring SWA / OSCC compliance

Provide option to file locally or with the SWA, for discrimination complaints provide option to file with CRC directly

SWA, LWIBs, OSCCs, Partners, must comply with complaint procedures

All grant sub-recipients must comply with complaint procedures as well.

Who Administers the Complaint System in Massachusetts?

UNIFIED WORKFORCE INVESTMENT SYSTEM COMPLAINT PROCESS

DirectorSICA

Director of

Diversity

State Monitor Advocate

OSCC Director

NOT APPLICABLE TO THE UNIFIED COMPLAINT SYSTEM

The following type of complaints can not be accepted forprocessing:

UI, Welfare, Job Corps, etc. Federal Contractor job listing Complaints from OSCC staff

Handle these complaints according to their respective complaint regulations / procedures or direct customer to the appropriate agency for resolution.

CRIMINAL FRAUD AND ABUSE:

Complaints involving criminal fraud, waste, abuse or other criminal activity must be reported immediately to:

DOL Office of Inspector General, Office of Investigations, Room S5514, 200 Constitution Avenue NW., Washington, D.C. 20210

A copy simultaneously provided to DCS and the Employment and Training Administration.

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I didn’t get

Paid

correctly,

I wasn’t

referred to a

job opening

that I

believed

I was

qualified for,

It is not fair

that my

training

request

was not

approved

The job I had

(or you sent

me to)

wasn’t safe,

How do You Know When a Customer Has a Complaint

Indicators of potential complaints:

Filing a complaint

In personIn person By LetterBy Letter On the fieldOn the field

A complainant comes into an OSCC to file the complaint, or

SWA / OSCC receives a written complaint signed by the complainant includes sufficient information for complaint officer to initiate the investigation.

BSR / Outreach staff receives complaint from a worker or an employer.

Processing Complaints

When a customer files a complaint, the CO must explain how the complaint system works and the customer’s rights. If the complaint is received in writing, provides sufficient

information and it is signed by the complainant or his / her representative, the complaint shall be treated as if it was a properly completed complainant. - Initiate Investigation -

If the complainant does not provided sufficient information to start the investigation. the CO shall request additional information from the complainant. - Time frames -

The Complaint Officer must send an acknowledgement to the complainant and shall offer to resolve the matter through the informal resolution process.

Complaint Investigation

During the initial conversation with the complainant:

make every effort to obtain all necessary information to investigate the complaint

explain the need to maintain contact during the complaint investigation

offer to assist the complainant through the provision of appropriate W-P / WIA services; and

find out from the complainant what relief is sought.

The Determination Letter

1. 2. 3. 4.

Write in a manner that is clear, concise, and easy to understand;

List issues accepted for review and list any findings;

Include conclusions (determination) regarding issues accepted based on findings, and

Include Right to Appeal information (with contact information).

Processing OSCC-Related Complaint

Determine jurisdiction / type of complaint and:

1. Attempt informal resolution.

If OSCC service related, work with OSCC management to address allegations.

If involves Discrimination, take complaint and forward to EO or State EO officer.

If involves more than one OSCC, elevate to state level Complaints alleging criminal fraud, waste, abuse or other

criminal activity under WIA must be reported immediately to the Department of Labor’s Office of Inspector General

NOTE: Follow timeframes MSFW / Non-MSFW / Discrimination

Processing a Non-OSCC-Related Complaint

If complaint is from a non-MSFW:

Enter the complaint information in the Complaint Log. Provide the appropriate enforcement agency contact

information to the complainant. Include a statement that the complainant needs to

follow up with the enforcement agency and that your responsibility has ended.

Offer appropriate OSCC services. No follow-up contact is required.

Processing Non-OSCC-Related Complaints

If complaint is from a MSFW:

Complainant fills out ETA 8429, CO assist if necessary Enter the complaint information in the Complaint Log, Provide complainant with a signed copy of the

completed ETA 8429 form, Offer appropriate OSCC services, Send the ETA 8429 to the appropriate enforcement

agency and send a copy to the State Monitor Advocate, Conduct follow up as per requirements.

Processing A Complaint By Letter

Provides sufficient information and the letter is signed by the complainant

Does not give sufficient information

Is signed by an attorney representing the complainant

Treats the letter as a formal complaint, notifies complainant of action taken and initiates informal resolution process or refers to appropriate agency for resolution.

Requests additional information (follow time frames)

If it provides sufficient information, it can be processed. If it lacks information request additional information ( follow time frames)

The Director / Complaint OfficerIf the complaint…

Local Resolution Unsuccessful

If you are not waiting for additional information from the complainant and the complaint is not resolved according to time frames(5 days MSFWs / 15 Days Non-MSFWs):

Issue a determination notice and grant appeal rights.

In your letter to the complainant, list the issues resolved and / or list any unresolved issues (if any), explain reasons / action taken and provide contact information for the appeal process.

NOTE: This applies to non-discrimination complaints

Complaints are considered resolved when

Customer indicates satisfaction with the outcome;

Complainant Chooses not to elevate the complaint to the next level

The complainant or the complainant’s authorized representative fails to respond to a written request from the local or state office, within the applicable time frame;

exhausts the final level of review; or

A final determination has been made by the enforcement agency to which the complaint was referred.

Any of the following conditions are met:

APPARENT VIOLATION

“If a OSCC employee observes, has reason to believe, or is in receipt of information regarding a suspected violation of employment related laws or JS regulations by an employer, except as provided at Sec. 653.503 (field checks) or Sec. 658.400 of this chapter (complaints), the employee shall document the suspected violation and refer this information to the local office manager.

Note: This section only applies to agriculture

Manager or designee responsibilities

Has the employer filed job order within the past 12 months?

Does it involve ES regulations or employment-related laws)?

Contact employer Attempt to achieve informal resolution within 5

Working days and document. If the attempt to resolve the matter fails, forward

to appropriate enforcement agency for resolution.

PROCESSING APPARENT VIOLATIONS

Discrimination Processing Guidelines

1. All Career Center customers are required to be notified of their right to file a complaint under the Unified Workforce Investment System Complaint Process.

1. All Career Center customers are required to be notified of their right to file a complaint under the Unified Workforce Investment System Complaint Process.

2. All Discrimination Complaints must be filed within 180 days of

the alleged act (s) of discrimination. This complaint can be filed at

either the local level or with the USDOL CRC in Washington, D.C.

2. All Discrimination Complaints must be filed within 180 days of

the alleged act (s) of discrimination. This complaint can be filed at

either the local level or with the USDOL CRC in Washington, D.C.

3. If a customer alerts a OSCC that he or she (or they) want to file a

discrimination complaint, steps should be taken to connect the

complainant with the local Complaint / Equal Opportunity Officer

3. If a customer alerts a OSCC that he or she (or they) want to file a

discrimination complaint, steps should be taken to connect the

complainant with the local Complaint / Equal Opportunity Officer

One or more individuals, alleging discrimination against another group or individual. have been subjected to discrimination, file this type of complaint.

Individual Complaint

This is an individual alleging that they

have been subjected to discrimination.

Class Action Complaint Third Party Complaint

This is a complaint filed by one or more

individuals. This action is not only on behalf of themselves, but also on

behalf of a group of similarly situated

individuals. In order to file this complaint, the complainant must be part of the affected

class.

TYPES OF COMPLAINTS

Discrimination Complaint v. Program Complaint

Discrimination Complaint

Program Complaint

Elements included

Is the issue a prohibited basis

Is the issue a non-prohibited basis

Procedures to follow

CRC regulations at 29 CFR 37

ETA regulations at 20 CFR Subpart F, Sec. 667.600 [a][b]

Who may file a complaint…

Any person, their authorized representative or any specific class

of individuals, who alleges that they have been or are being subjected to discrimination

prohibited under WIA

Complaint / EO Officer shall…

Personally meet with the complainant (s) in an area of the office that ensures confidentiality.

At this meeting, the Complaint / EO Officer should conduct a preliminary interview and gather the following information:

Complainant’s address and means for contacting him or her. Basis of complaint. Detailed description of allegation. Date of last alleged event of discrimination. Program area representative (s) against whom complaint is

being filed (respondent). Location of program area.

During the initial conversation with the complainant:

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Make every effort to obtain all necessary information to investigate the complaint

Offer to assist the complainant through the provision of appropriate WIA services; and

Explain the need to maintain contact during the complaint investigation

Find out from the complainant what relief is sought.

Time Frame for Filing a Complaint

FillingFilling After NFAAfter NFA If no NFAIf no NFA

Within 180 days of the alleged discrimination

SWA resolution Process must be completed within 90 days

If the complainant is dissatisfied with

the resolution, He / she may file a

new complaint with CRC within

30 days

the complainant may file a new complaint with CRC within 30 days of the expiration of the 90-day period

Day 1 Within 90180 days

Alleged violation takes place.

C / EO investigates and / or uses ADR.

If dissatisfied with resolution or if ADR terms violated, files new

complaint - CRC.

Complaint is filed, C / EO offers ADR, if not used, starts investigation.

1. C / EO documents ADR resolution, If ADR fails orif investigation is completed,

2. Notice of Final Action is issued.

CRC conducts investigation if complaint filed.

TIMELINES FOR RESOLUTION

All complaints must be filed within 180 days of the alleged discrimination unless CRC (not the State or LWIA) has extended the filing time for good cause.

Day 90 Day 30 After 120

Respondent is a WIA Recipient / Grantee

Complaint has been filed within the 180-day time period, or the Director of CRC has granted an extension - waiver

The complaint issue is covered under Section 188 of WIA

Determining Jurisdiction

EO 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

If no jurisdiction…

Compliant received at OSCC

If jurisdiction, determineDiscrimination / Program

If no jurisdiction…Issue Notice

Acknowledgment Letter Mailed out

Offer mediation - ADR

Review & Evaluate

Case Closed

Determine Jurisdiction If information needed, received

Initial Handling – WIA Complaints

Case ClosedIf ADR not accepted,

proceed to investigate

If information needed, not received…

Steps to follow…

Step 1Step 1 Step 2Step 2 Step 3Step 3

OSCC provides information about the complaint system.

Determine if customer wishes to file locally or directly with CRC (MCAD)

Customer must file within 180 days of the alleged act of discrimination.

If customer wishes to file locally (must be written)

Complaint / EO officer shall meet with the complainant & conduct a preliminary review (basis) of complaint to determine jurisdiction.

If no jurisdiction is determine then notice is sent in writing informing customer they have 30 days to file with CRC

Steps to follow…

Step 4Step 4 Step 5Step 5 Step 6Step 6

If jurisdiction is determined an acknowledgement letter is sent informing customer of 15 days fact finding, offer of alternate dispute resolution (ADR) a Notice of Final action (NFA) to be issued within 90 days of the complaint

If Complaint / EO officer fails to issue the NFA within 90 days the complainant has the right to file complaint with CRC.

DOL issues determination within 120 days

NOTICE OF FINAL ACTION - ELEMENTS

Write in a manner that is clear, concise, and easilyunderstandable:

Statement of jurisdiction; Issues accepted; Findings of fact Legal standard (statute, laws, regulations, etc.); Application of legal standard to facts; Conclusions with regard to issues accepted for

investigation; and Notice of right to file a complaint with the U.S.

Department of Labor’s Civil Rights Center.

Due Process Guarantees

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

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

Regulations require that an “impartial” decision-maker investigate and process complaints.

Record Retention Requirements

1. Maintain all complaint records for a period of 3 yearsin a safe and secured location (Confidentiality Policy).

1. Maintain all complaint records for a period of 3 yearsin a safe and secured location (Confidentiality Policy).

2 Complaint Officers must maintain files for all complaints, including discrimination and any non-OSCC related complaints taken from MSFWs.

2 Complaint Officers must maintain files for all complaints, including discrimination and any non-OSCC related complaints taken from MSFWs.

3. Complaint logs and all complaint files must be retained forthree (3) years period from the date of resolution, and thendestroyed.

3. Complaint logs and all complaint files must be retained forthree (3) years period from the date of resolution, and thendestroyed.

REQUIRED POSTERS

Reporting Requirements

Due Date

1st Quarter October 15

2nd Quarter January 15

3rd Quarter April 15

4th Quarter July 15

Complaint Logs are due to

the SMA quarterly (no

later than the 15th day

following the end of the

quarter):

E-mail complaints logs to:

José V. Ocasio,

State Monitor Advocate

at:

jocasio@detma.org

Remember….

There shall be a Complaint / EO

officer or back-up available, in

each local office, during regular

office hours to take complaints

or assist customer file

complaints.

Federal regulations specify the

following:

"The identity of the complainant (s) and any persons who furnish information relating to or assisting in, an investigation of a complaint shall be kept confidential to the maximum extent possible, consistent with applicable law and a fair determination of the complaint.“

Forms

The Policy Issuance and all forms associated to the complaint system can be accessed by going to the www.massworkforce.org website. Click on “Issuances”, and then click on “2011 Issuances” under the “Policy Issuances” heading. Look for WIA Communication 11-27 - Unified Workforce Investment System Complaint Process, Revision II

Form ETA 8429 - http://massworkforce.org/_uploads/iss/1127F.doc Complaint Log - http://massworkforce.org/_uploads/iss/1127C.xls Form DL 1-2014a - http://massworkforce.org/_uploads/iss/1127H.pdf

Where to Send

Direct appeals / hearings requests to:

Department of Career Services

19 Staniford Street, 1st Floor

Boston, MA 02114

Attn. Alice Sweeney

Technical Assistance

The regulations pertaining to

the complaint system, at times,

can be complex and it is not

possible to cover every aspect

in a limited amount of time.

This presentation is intended to

provide basic information to

help you become familiar with

DCS policy and Procedures for

handling complaints.

Alice Sweeney, Director Special

Initiatives & Customer Accountability

E-mail: asweeney@detma.org

Tel: (617) 626-5587

José V. Ocasio, State Monitor

Advocate

E-mail: jocasio@detma.org

Tel: (617) 626-5587

Rex Gerlach-Brown, Acting Director,

Office of Diversity and Equal

Opportunity ADA / 504 Coordinator

E-mail: RGerlach-Brown@detma.org

Tel: (617) 626-5138