UNIFIED WORKFORCE INVESTMENT SYSTEM COMPLAINT PROCESS

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UNIFIED WORKFORCE INVESTMENT SYSTEM COMPLAINT
PROCESS
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Learning Objectives
Explain the general requirements for complaint
processing procedures.
Inform complainants of their rights and the
appropriate process in filing complaints.
Distinguish between discrimination complaints and
program complaints.
Define how the OSCCs comply with Complaint
Processing Procedures
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Overview of the Complaint System

• The Unified Workforce Investment System Complaint
• process provides customers with a formal
  mechanism
• to file complaints about the services or
  treatment that
• they received through the Massachusetts One-Stop
• Career Center system or to make employment
  related
• complaints about the terms and conditions of
• employment offered at the workplace.

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Why do we have a Complaint System?
20 CFR Ch. V, 658.400 - 658.426 Title III
(W-P) Activities
WIA sec. 188 and 29 CFR 37 Discrimination
Complaints
20 CFR, Ch. V, 667.600 - 667.640 Title I
Activities
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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.
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Who Administers the Complaint System in
Massachusetts?
UNIFIED WORKFORCE INVESTMENT SYSTEM COMPLAINT
PROCESS
Director of Diversity
State Monitor Advocate
OSCC Director
Director SICA
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NOT APPLICABLE TO THE UNIFIED COMPLAINT SYSTEM

• The following type of complaints can not be
  accepted for
• processing
• 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.

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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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How do You Know When a Customer Has a Complaint

• Indicators of potential complaints

1
2
3
4
I wasnt referred to a job opening that I
believed I was qualified for,
I didnt get Paid correctly,
It is not fair that my training request was
not approved
The job I had (or you sent me to) wasnt safe,
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Filing a complaint
In person
By Letter
On the field
SWA / OSCC receives a written complaint signed by
the complainant includes sufficient information
for complaint officer to initiate the
investigation.

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

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

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Processing Complaints

• When a customer files a complaint, the CO must
  explain how the complaint system works and the
  customers 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.

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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.

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The Determination Letter
1.
2.
3.
4.
Include conclusions (determination) regarding
issues accepted based on findings, and
Write in a manner that is clear, concise, and
easy to understand
List issues accepted for review and list any
findings
Include Right to Appeal information (with contact
information).
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Processing OSCC-Related Complaint

• Determine jurisdiction / type of complaint and
• 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 Labors
  Office of Inspector General
• NOTE Follow timeframes MSFW / Non-MSFW /
  Discrimination

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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.

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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.

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Processing A Complaint By Letter
The Director / Complaint Officer
If the complaint

• 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)

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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

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Complaints are considered resolved when
Any of the following conditions are met
Customer indicates satisfaction with the outcome
Complainant Chooses not to elevate the complaint to the next level
The complainant or the complainants 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.
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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

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PROCESSING APPARENT VIOLATIONS

• 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.

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Discrimination Processing Guidelines

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

• 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.

• 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

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TYPES OF COMPLAINTS
One or more individuals, alleging discrimination
against another group or individual. have been
subjected to discrimination, file this type of
complaint.
This is an individual alleging that they have
been subjected to discrimination.
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.
Class Action Complaint
Individual Complaint
Third Party Complaint
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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 ab
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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
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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
• Complainants 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.

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During the initial conversation with the
complainant
1
2
3
4
Offer to assist the complainant through the
provision of appropriate WIA services and
Make every effort to obtain all necessary
information to investigate the complaint
Explain the need to maintain contact during the
complaint investigation
Find out from the complainant what relief is
sought.
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Time Frame for Filing a Complaint
Filling
After NFA
If 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
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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.
If dissatisfied with resolution or if ADR terms
violated, files new complaint - CRC.
C / EO investigates and / or uses ADR.
Alleged violation takes place.
Day 1
Within 90
180 days
Day 30
After 120
Day 90

• 1. C / EO documents ADR resolution,
• If ADR fails or
• if investigation is completed,
• 2. Notice of Final Action is issued.

CRC conducts investigation if complaint filed.
Complaint is filed, C / EO offers ADR, if not
used, starts investigation.
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Determining Jurisdiction

• 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

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If no 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

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Initial Handling WIA Complaints
Compliant received at OSCC
Review Evaluate
If jurisdiction, determine Discrimination /
Program
If information needed, received
Determine Jurisdiction
If no jurisdiction Issue Notice
Acknowledgment Letter Mailed out Offer
mediation - ADR
If information needed, not received
Case Closed
Case Closed
If ADR not accepted, proceed to investigate
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Steps to follow
Step 1
Step 2
Step 3
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.
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 no jurisdiction is determine then notice is
sent in writing informing customer they have 30
days to file with CRC
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Steps to follow
Step 4
Step 5
Step 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
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NOTICE OF FINAL ACTION - ELEMENTS

• Write in a manner that is clear, concise, and
  easily
• understandable
• 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 Labors Civil Rights Center.

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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.

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Record Retention Requirements

• Maintain all complaint records for a period of 3
  years
• in 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.
3. Complaint logs and all complaint files must be
retained for three (3) years period from the date
of resolution, and then destroyed.
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REQUIRED POSTERS
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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_at_detma.org

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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.

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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/_upload
  s/iss/1127H.pdf

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Where to Send
Direct appeals / hearings requests
to Department of Career Services 19 Staniford
Street, 1st Floor Boston, MA 02114 Attn. Alice
Sweeney
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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_at_detma.org
• Tel [phone]
• José V. Ocasio, State Monitor
• Advocate
• E-mail jocasio_at_detma.org
• Tel [phone]
• Rex Gerlach-Brown, Acting Director,
• Office of Diversity and Equal
• Opportunity ADA / 504 Coordinator
• E-mail RGerlach-Brown_at_detma.org
• Tel [phone]