Attachment B

Model WIA Complaint Resolution Procedure
(Non-Criminal Complaints/Grievances)

  1. Introduction

    The Workforce Investment Act (WIA) and the Rules and Regulations require the establishment of a complaint/grievance procedure by each Local Area, State and direct recipient of funds under Title I. The information must be provided to the participants, other interested parties affected by the local Workforce Investment System, including One-Stop partners and service providers. The procedure must also have a process which allows an individual alleging a labor standard violation to submit the grievance to a binding arbitration process if a collective bargaining agreement covering the parties to the grievance provides for it. The purpose of the procedure is to ensure that a complaint is resolved promptly and that the complainant is advised of all steps taken to resolve the complaint. The following procedure provides a model to assist Local Areas.

  2. Guidelines and Definitions

    A complaint may be either WIA related or non-WIA related. A WIA related complaint is a written and signed statement by a WIA participant, a staff member, or “other interested person,” who alleges that the Governor, Local Area or other subcontractor has violated the Act and/or WIA Rules and Regulations and/or a WIA grant and/or WIA agreement.

    If some of the allegations of a complainant are WIA related and the remainder of the allegations are not related to WIA, then the complainant has at least two (2) complaints that must be treated separately and differently. (See General Process below: F., WIA related complaints; and G., Non-WIA related complaints.) If there is uncertainty as to whether a complaint is WIA related, then treat it as WIA related and seek technical assistance (see Local Area Complaint Resolution Officer).

    Complaints are to be resolved at the lowest level possible: i.e., the level closest to the reason for the complaint. Each Local Area, State and direct recipient of funds under Title I of WIA, must establish and maintain a procedure for grievances and complaints.

  3. General Process

    1. Non-criminal complaints must be made with one year of the alleged occurrence.

    2. The three levels of complaint resolution are:

      1. Local - Local Area level (includes all subrecipients within the Local Area)
      2. State - Governor's level
      3. Federal - Secretary of the United States Department of Labor level

    3. The identity of the complainant(s) and any people who furnish information to, or are assisting in, an investigation of a complaint should be kept confidential to the maximum extent possible, consistent with applicable law and fairness in handling the complaint.

    4. Local Area

      1. Designated Complaint Resolution Officer will:

        1. The Local Area shall designated a staff member to be the Local Area Complaint Resolution Officer to ensure the availability, coordination and timeliness of all elements of the complaint resolution procedure.

        2. The Local Area Complaint Resolution Officer will:

          1. advise and assist the Program Complaint Resolution Officer of each of the interested parties; i.e., One-Stop partners, service providers.
          2. monitor each One-Stop partner's/service provider's implementation of the complaint procedure.
          3. ensure that WIA related complaints are written, signed, logged, and filed; and information and documentation pertaining to it are safeguarded and filed as appropriate.
          4. ensure that non-WIA related complaints are logged, and the complainant is referred to the appropriate agency or agencies and the referral is documented in the log
          5. identify need, and provide technical assistance in complaint resolution
          6. make arrangements with Local Area Hearing Officer(s) for all WIA complaint hearings in the Local Area.

        3. Each One-Stop partner/service providers of a Local Area shall designate a staff member to be the Program Complaint Resolution Officer to serve as fist reference point for any aggrieved party. The Program Complaint Resolution Officer will conduct an impartial investigation. The investigation should provide sufficient evidence to support or disprove the complaint or to resolve the issues raised. The Program Complaint Resolution Officer will prepare and maintain a separate file of the information gathered on each complaint. The Program Complaint Resolution Officer will inform the complainant of the status of the complaint and notify the complainant of the next step in the elevation of the complaint. Employers may operate their own grievance system or may utilize the WIA complaint resolution procedure. Employers shall inform participants of the grievance procedure which participants are to follow. Employer grievance systems shall provide for, upon complainant request, a review of an employer's decision by the Local Area and the Governor. Employers opting to use their own grievance system must provide copies of the procedures to the Local Area for review and comment. The review will ensure that WIA guidelines and requirements are not compromised.

      2. Complainants will receive complaint information and assistance from an appropriately trained subrecipient staff member when the Program Complaint Resolution Officer is not available.

      3. Hearing Officer

        Local Area shall designate a Hearing Officer to:

        1. regulate the course of the hearing
        2. assure that all relevant issues are considered
        3. rule on the introduction of evidence and testimony
        4. take any other action, consistent with due process, that are necessary to ensure an orderly, impartial and fair hearing
        5. attempt to resolve the dispute by conciliation at any time prior to the conclusion of the hearing
        6. cause the hearing to be recorded

        The Hearing Officer will prepare a written decision, based upon the entire record, including all evidence or oral testimony, presented at the hearing. (For suggested contents for a decision, see Attachment C.)

        The written decision will be mailed to the complainant, the respondent, the Local Area Complaint Resolution Officer in accordance with the specified time periods (see Attachment D, Complaint Resolution Time Frame).

      4. No person may act as Complaint Resolution Officer and Hearing Officer on the same complaint.

    5. Participants Rights

      Intake staff of a Local Area or specified staff of a subrecipient program shall inform participants of the complaint resolution process and shall provide a copy of it or a written summary of the steps and time requirements to the participants upon enrollment in the program (see Attachment E).

    6. WIA related complaints shall be written and signed and logged by the Program Complaint Resolution Officer (see Attachment E, WIA Complaint Log Guide).

    7. Non-WIA related complaints shall be logged by the Program Complaint Resolution Officer and referred to the appropriate agency or agencies. Follow up is not required on non-WIA related complaints.

  4. Complaint Process

    1. Non-criminal complaints must be made within one year of the alleged occurrence. WIA related complaints shall be logged and recorded. If needed, the complainant should be given assistance in the filing of the complaint (see Attachment G for suggested complaints contents). The staff of the WIA office or program taking the complaint shall provide this assistance. If a complainant is joined by several other complainants in filing a formal complaint, their names should appear on the complaint as well.

    2. When a WIA related complaint is filed and this complaint is also a violation of another law or collective bargaining agreement, the grievance procedures of that law or agreement may be used instead of, or in addition to the WIA Complaint Resolution procedure. The Complaint Resolution Officer* shall see that the complainant is informed of the status of the complaint. The complainant maintains the right to a hearing.

      *If the WIA related complaint alleges a violation by the Local Area, then the Complaint Resolution Officer performs the actions outlined for the Program Complaint Resolution Officer.

    3. Resolution - Local Level: Local Area

      1. Initial Investigation

        1. When a complaint has been identified as WIA related, the complainant must be informed of the WIA complaint system and his/her rights within it.

        2. If the complaint received in writing is signed by the complainant and includes enough information for the Program Resolution Officer to initiate an investigation, the document shall be treated as if it were a properly completed resolution form filed in person by the complainant. The Program Complaint Resolution Officer should send an acknowledgement to the complainant and shall begin to investigate the complaint. If the complainant has not provided sufficient information to investigate the complaint, the Program Resolution Officer shall request additional information from the complainant.

        3. During the initial discussion with the complainant:

          1. make every effort to obtain all the information perceived to be necessary to investigate the complaint

          2. explain the need to maintain contact during the complaint investigation

          3. offer to assist the complainant through the provision of appropriate WIA services; and

          4. find out from the complainant what the complainant needs in order to consider the complaint resolved (what relief is sought)

        4. Informal Resolution

          Document all steps taken to resolve the complaint. The methods used in the complaint investigation may include, but are not limited to, analyzing the complaint and available background material, interviewing, examining records, obtaining documents, obtaining written statements, observing and meeting with the complainant and respondent, separately and/or both at the same time. The objective of these efforts is a settlement between the complainant and the respondent.

      2. Complaint Resolution

        This occurs when at least one of the following is true:

        • Complainant indicates satisfaction with the outcome

        • Complainant chooses not to elevate complaint to next level of review

        • Complainant (or complainant's authorized representative) fails to respond to a written request by the Program Resolution Officer or Local Area Complaint Resolution Officer within 10 calendar days

        • A final determination has been made by the responsible agency on a referred WIA related complaint

      3. Hearing

        If the complaint is not resolved within 29 calendar days, then on the 30th calendar day, the complainant shall have a previously scheduled hearing. If circumstances warrant it, a hearing may be scheduled at any time within 30 days of a filed complaint. The complainant shall receive written note of the date, time or place of the hearing, seven days prior to the hearing date. The hearing may only be cancelled or postponed beyond the 30 days, at the request of the complainant. A request for cancellation shall be transmitted to the Hearing Officer through the Program Complaint Resolution Officer with the complainant's written and signed attestation that the complaint has been resolved or withdrawn. (See Attachment G for required Hearing Notice contents and Hearing Guidelines.)