CC Complaint Manual 0111
Transcript of CC Complaint Manual 0111
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Customer Complaint Resolution Manual
January 2011
The Maine Department of Labor provides equal opportunity in employment and programs.
Auxiliary aids and services are available to individuals with disabilities upon request.
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Maine CareerCenter Customer Complaint Resolution Manual January 2011 1
Table of Contents
Maine CareerCenter Customer Complaint Resolution Manual. . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Customer Complaint Resolution Policy 4
LocalOfceResponsibilities 5
Complaint File Requirements 7
Quarterly Complaint Log Sheet 8
Completion of the Quarterly Log Sheet 9
Sample of Completed Log Sheet 11
Types of Complaints 12
Complaint Type 12
Conditions 12
How to Handle Complaints Locally 13
How to Handle Complaints at State Level 15
ETA Form 8429 16
Completion of ETA Form 8429 17
Complaint Resolution 18
Specic CareerCenter-Related Programs and Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Veterans Services 20
H-2A Programs 22
Migrant and Seasonal Farmworkers 24
Apparent or Field Check Violation 25
Apparent or Field Check Violation Form 26
Trade Adjustment Assistance 28
Competitive Skills Scholarship Program 29
Referred Complaints. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
DepartmentofLaborPersonnel 32
Discrimination 34
AmericanswithDisabilitiesAct 38
Wage and Hour Division 39
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DivisionofVocationalRehabilitation 40
Division of the Blind and Visually Impaired 43
State Complaint System Administration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
State Complaint Resolution Administrator 46
Hearings 48
Discontinuation of Services to Employers 51
Appendix A Master List of Personnel and Contacts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
State Agencies 56
Equal Opportunity Contacts 57
Federal Agencies 58
Appendix B Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .59
Appendix C Sample Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
Appendix D Posters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .73
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Maine CareerCenter Customer Complaint Resolution Manual January 2011 3
Maine CareerCenter Customer
Complaint Resolution ManualThe Maine CareerCenter system strives to assure that every customers needs are met and that customers
aresatisedwiththeservicestheyreceive.Fromtimetotime,customersoftheemploymentservices
systemmayhavecomplaintsaboutprocesses,violationsofemploymentlaws,employerpractices,
discrimination,unsafeworkingconditions,andthelike.Thismanual is designed to help CareerCenter
staffrespondtothesecomplaintsinatimelyandefcientmanner.UnderFederallaw,itisourdutytodo
so within certain time constraints
The processes described in this manual are intended for use for all customer complaints regarding
programs and services offered by CareerCenters. This includes ofces of Service Providers who
administer the Workforce Investment Act programs, as well as CareerCenter Service Points.
Exceptincaseswherecomplaintsneedtobereferredtoadifferentorhigherentityimmediately,
complaintsshouldberesolvedatthelocalCareerCenterlevel,andguidanceisgivenhereabouthow
complaintsareexpectedtobehandled.Detailsarealsoincludedinthismanualabouthowcomplaints
notresolvedatthelocallevelshouldbereferredtotheappropriateagencyorperson.
Thismanualappliesto,andismadeavailableto,allCareerCenterandServiceProvidermanagement
and staff
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Customer Complaint Resolution Policy
Policy Objectives
Respondtoandattempttoresolvecustomercomplaintsatthelocallevelasquicklyaspossible,
whenever appropriate
Ensurecomplaintsareresolvedtothecustomerssatisfactionwheneverpossible.
Provide CareerCenter managers and staff with an understanding of the formal complaint process for
all programs operating within the CareerCenter
Denejointsupervisor/managerialresponsibilitiesforprocessingandresolvingcustomercomplaints.
Responsibility of CareerCenter Managers
ItwillbethejointresponsibilityoftheCareerCenterManagersandServiceProviderManagersto
workcollaborativelytoensurethecomplaintresolutionprocessiscarriedoutinauniform,timely,and
consistentmanner.TheBESCareerCenterManagersareresponsibleforforwardingallcomplaintresolution documentation to the State Complaint Resolution Administrator for their related Service
Provider locations
Guidelines
Whenpossible,complaintsandgrievanceswillberesolvedlocallywithoutinvokingthemoreformal
processes.TheoverallobjectiveoftheCareerCenterComplaintResolutionProcessistoresolve
complaintsquicklytothesatisfactionofthecomplainantwheneverpossible.Theprocessforhandlingand
responding to customer complaints is detailed in this manual
Condentiality
Theidentityofthecomplainant(s)andanypersonswhofurnishinformationrelatingto,orassistingin,an
investigationofacomplaintshallbekeptcondentialtothemaximumextentpossible,consistentwith
applicablelawandafairdeterminationofthecomplaint.
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Local Ofce Responsibilities
1 AllcomplaintsbeingreferredtoanenforcementagencyortotheStateComplaintResolution
AdministratorshouldbesubmittedimmediatelywithacopyofcompletedETAForm8429and
allsupportingdocumentation.Insomecases,thereisaveryshorttimeallowedforresolvingthe
complaint
2 AteachlocalofcewheretheServiceProviderisco-located,theBESManagershallberesponsiblefor the management of the complaint system
If the complaint concerns an employee of the service provider or a program service provided by service
provider staff, the BES manager will collaborate with the service provider manager on resolving or
referring the complaint.
Allcomplaints,regardlessofthestaffemployer,shouldberecordedontheLogSheetandhavean
ETA Form 8429 completed
3 Inastand-aloneWIAofce,theprovidermanagerwillberesponsibleforcarryingoutthecomplaint
system
4 InformationpertainingtotheuseoftheCareerCentercomplaintsystemispublicized.Thisshall
include the prominent display of a complaint system poster (If You Have a Complaint) in each
localofce,satelliteordistrictofce.
5 CareerCenter-relatedcomplaintsmaybeledinanyCareerCenterofceorwiththeBES
administrativeofce.
AllCareerCenter-relatedandnon-CareerCenterrelatedcomplaints,otherthanthoseinvolving
discriminationandWIA-relatedmatters,shallrstbehandledbythelocalCareerCenterManagers
orassignedbytheCareerCenterManagertoalocalofceemployeetrainedintheprocess.
The local WIA service provider manager will attempt to resolve WIA Title I related complaints Any
WIATitleIrelatedcomplaintsunresolvedbythelocalWIAserviceprovidermanagementmustbe
referredtotheLocalWorkforceInvestmentBoard(LWIB)ExecutiveDirectorfornallocallevel
resolution.Ifthecomplaintremainsunresolved,thecomplaintwillbereferredbytheExecutive
Director to the State Complaint Resolution Administrator
6 Thereshallbeanappropriateofcialavailableduringregularofcehourstotakecomplaintsin
eachlocalofce.
7 IfaCareerCenterofcialreceivesacomplaintinanyformwhichissignedbythecomplainantand
includessufcientinformationtoinitiateaninvestigation(DoesitansweralltheETA8429complainan
questions?),thedocumentshallbetreatedasifitwereaproperlycompletedComplaint/Referral
Form(ETA8429)ledinpersonbythecomplainant.
a. Thelocalofceofcialshallsendaconrminglettertothiseffecttothecomplainant(Seesample
inAppendixCNoticationofComplaintReferral).
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b. Ifthecomplainanthasnotprovidedsufcientinformationtoinvestigatethematterexpeditiously,
thelocalofceofcialshallrequestadditionalinformationfromthecomplainant.
8 Withinvedaysoftheendofeachquarter,thelocalofceManagerwillsubmittheLogSheetfor
thepreviousquartertotheStateComplaintResolutionAdministratorattheBESadministrativeofce,
forsubmissiontotheU.S.DOLRegionalofce.
9. Reporting Schedule
First Quarter JulySeptember ReportdueOctober5
Second Quarter OctoberDecember Report due January 5
Third Quarter January March Report due April 5
Fourth Quarter April June ReportduebyJuly5
10. Record retention
Recordsregardingcomplaintsandactionstakenonthecomplaintsmustbemaintainedforaperiod
of not less than three years from the date of resolution of the complaintSource: 29 CFR 37.39
11. Equal Opportunity
Duringeachpresentationtoorientnewparticipants,newemployees,and/orthegeneralpublictoits
WIATitleInanciallyassistedprogramsoractivity,theCareerCenterorWIAserviceprovidermust
include a discussion of rights under the nondiscrimination and equal opportunity provisions of WIA
andtherighttoleacomplaintofdiscriminationwiththeEqualOpportunityOfcer.(SeelistofEO
OfcialsintheMasterPersonnelListinAppendixA)
Source: 29 CFR 37.36
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Complaint File Requirements
Local CareerCenters must:
1 Createalefolderforeachcomplaint.
2 Keeplefoldersbyprogramyear,thenbyquarter(JulytoSeptember,OctobertoDecember,
JanuarytoMarch,ApriltoJune).
3 Ataminimum,thelefoldershouldcontain:
The completed ETA 8429
Allhand-writtennotesofconversationsorphonecallsaboutthecomplaint.
IfthecomplaintwasreferredtotheStatelevelortoanotheragency:
Documentation of where the complaint was referred
Programinformation.Forinstance,ifaTAAorWIArequestwasdenied,includeacopyofthat
decision document
Any other information or documentation relevant to the complaint
4 Filesaretobekeptforthreeyearsfromthedateoflastactivity.
5 Thesearecondentialrecordsandshouldbekeptsecured.
NOTE: For each complaint listed on the Log Sheet, there should be corresponding documentation of
the complaint and its resolution/referral.
A copy of the contents of the folder should be included with the quarterly Log Sheet sent to the State
Complaint Resolution Administrator.
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Quarterly Complaint Log Sheet[Sample form only. Find usable form in Appendix B]
Complaint#
ComplainantName:
personmakingcomplaint
RespondentName:
w
ho/whatcomplaintisagainst
DateFiled
MSFW
H-2AWorker
AgainstEmployer
AgainstCareerCenter
ProgramDecision
WorkplaceSafety
H-2ARegulations/Law
Wages/Hours/UI/TANF/etc.
Disability
Discrimination
MSFWRegulations/Laws
Other
StateComplaintAdministrator
UI/TANF/OSHA
Wage&Hour,USDOL(H-2A)
BureauofLaborStandards
DBVI/DVR
EOStateOffice(discrimination)
StateMonitorAdvocate(MSFW)
Other
1 2 3 4 5 6 7 8 9 10
11
12
13
14
15
16
17
18
19
20
ResolvedLocally
Staff
PersonTaking
Complaint
Quarter:
ProgramY
ear:
CareerCenter-
Related
Non-CareerCenter-
Related
ReferredTo:
MaineDepartmentofLabor
CustomerComp
laintResolutionSystem
QuarterlyLog
LocalOffice:
rev.
12/10
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Completion of the Quarterly Log Sheet
TheQuarterlyLogrepresentstheaggregatehistoryofcomplaintsledduringthereportingperiod.
EachindividualcomplaintdocumentedonanETSForm8429mustberecordedonthelogsheet
(including those resolved locally)
Thelogsheethasmandatorydataeldsthatmustbecompleted.Alltextentriesmustbeprintedina
completelylegiblemanner.AnexamplecopyofacorrectlycompletedQuarterlyLogisavailableforreference on page 11 of this manual It is recommended that immediately upon completion of the ETA
Form8429,thecomplaintinformationbeenteredonthequarterlylogsheet.
Note:Someunresolvedcomplaintsmaycarryovertothenextquarterandneedtobeaccountedforin
the next report period This is particularly true for complaints received near the end of the reporting
period.Individualunresolvedcasesshouldbecarriedovertothenewreportperiod.
Each log sheet must include the following entries:
Local Ofce
Program Year
AlwaysJuly1,20XXtoJune30,20XX,writtenasPY20XX.
Quarter
Q1=July1September30
Q2=October1December31
Q3 = January 1 March 31
Q4 = April 1 June 30
(seepage6,#9Local Ofce Responsibilities for further information on quarters and reporting schedule)
Complaint Number
Eachcomplaintisassignedacomplaintnumber.Eachlogsheethasdataeldsforupto20individual
complaints.Yourrstcomplaintshouldbeenteredonline#1,secondcomplaintonline#2andsoon.
Complainant Name
Enterthenameofthepersonlingthecomplaint.ThenameshouldmatchPartI,#1ontheETS8429.
Respondent Name
Identifythewhoorwhatthiscomplaintisledagainst(seecomplainttype/conditionspage12forentry
options and refer to the sample of the completed log sheet on page 11)
Date Filed
ThisisthedatethecomplaintwasreceivedandissameasthedateenteredonformETSForm8429,top
of the page under Date Received
Type of Complaint
Placeanxinthebox(es)fortheappropriatetypeofcomplaint(CareerCenter-Relatedand/orNon-
CareerCenter-Related)
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Referred To
Placeacheckmarkinthebox(es)toidentifywhothecomplaintwasreferredto(ifapplicable).
Resolved Locally
Placeanxintheboxif/whenthecasewasresolvedlocally.
Staff Person Taking Complaint
Enterthenameofthepersontakingthecomplaintonbehalfofthecomplainant.
Documentation of local complaint resolution
Providedocumentationintheindividualcasele(notes,lettertocomplainant)oftheresolutionreached,
dateresolved,anddatecomplainantwasnotied.
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Sample of Completed Log Sheet
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Types of Complaints
Complaint Type Conditions
CareerCenter-Related
MSFW or H-2A Worker ComplaintsbyMSFWorH-2AworkersregardingCareerCenterservices
Alleged incident occurred less than one year ago
Employer ByapplicantwhowasreferredtothejobbyMDOL
Alleged incident occurred less than one year ago
Involvingallegedviolationsofthetermsandconditionsofthejoborderor
alleged violations of employment-related law
CareerCenter AboutCareerCenterstaffactionsoromissionsunderprogramregulations
ComplaintsbyveteransinvolvingPriorityofService
Alleged incident occurred less than one year ago
Program Decision InvolvingWagner-Peyser,employmentservices,orCareerCenterprogram
decisions Alleged incident occurred less than one year ago
Non-CareerCenter-related
MSFW or H-2A
Regulations/Law
ComplaintsbyMSFWaboutregulationsoremployer.
ComplaintsbyH-2Aworkeraboutregulationsoremployer.
All Others Complaintledmorethan12monthsaftertheallegedincident.
Complaint against an employer where complainant was not referred to
thejobbyMDOL.
Aboutallegedviolationsoftheregulations/lawsgoverningprograms
themselves
ComplaintsinvolvingUnemploymentInsurance,OSHA,TANF,orother
agencies
Complaints of discrimination
Complaintsinvolvingwages,hours,FamilyLeaveLaw,whistleblower
violation,etc.
Complaintsaboutdisabilityservices.
ComplaintshandleddirectlybytheStateComplaintResolution
Administrator
ComplaintsaboutmultipleCareerCentersortheentiresystem.
Complaints from another agency
Complaints from other states
ComplaintsreceiveddirectlybytheStateofce.
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How to Handle Complaints Locally
Type of Complaint
Steps to Handling Complaints LocallyAttempt a local resolution When not resolved or handled locally
ManagerorDesignee
ExplainProcess
OfferCCServices
FilloutETAForm8
429
FilloutDL1-2014a
RecordonLogSheet
Timetoresolve(inworkingd
ays)
[*denotescalendardays]
Refer to Submit8429toStateCompla
int
ResolutionAdministrator
SubmitDL1-2014ato
StateEO
Coordinator
RecordreferralonLogSheet
Notifycomplainantofreferra
l
CareerCenter-Related
Against an employer
(whenjobreferralwas
byMDOL)
x x x x x 15 x x x
Actionoromissionby
local staffx x x x x 15 x x x
Program decisions x x x x x 15 x x x
TAA x x x x x 15 TAA Coordinator x
CSSP x x x 15 CSSP Program Manager
Veterans Services x x x x x 15 x x xMSFW x x x x x 5 State Monitor Advocate x x x
H-2A x x x x x 5 ForeignLaborCertication x x x
WIA (Title I)x x x x x 60*
IncludingLWIBnal
resolution attemptsx x x
Non-CareerCenter-Related
Laws or regulations x x x x x x x x
Complaint more than 12
months oldx x x x x x x x
Against an employer(whenjobreferralwas
NOTbyMDOL)
x x x x x x x x
From another state or
agencyx x x x x
Against more than one
CareerCenter locationx x x x x
Discrimination x LocalEOOfcer x
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Type of Complaint
Steps to Handling Complaints LocallyAttempt a local resolution When not resolved or handled locally
ManagerorDesignee
ExplainProcess
OfferCCServices
FilloutETAForm8
429
FilloutDL1-2014a
RecordonLogSheet
Timetoresolve(inworkingdays)
[*denotescalendardays]
Refer to Submit8429toStateCompla
int
ResolutionAdministrator
SubmitDL1-2014ato
StateEO
Coordinator
RecordreferralonLogSheet
Notifycomplainantofreferral
Discriminationbystaff
x 15
State EO Coordinator
andMDOLOfceofthe
Commissioner
x
DisabilityServices
x x x x
MDOLDisablity
Coordinator(Ofceofthe
Commissioner) or Maine
Human Rights Commission
x x
Workplace Safety x x NearestOSHAOfce x x
Unemployment
Compensationx x
BureauofUnemployment
Compensationx x
TANF x x DHHS x x
MSFW law x x State Monitor Advocate x x
H-2A law x x ForeignLaborCertication x x
DVRx x
Division of Vocational
Rehabiliationx x
Housing x x x BureauofLaborStandards x x
Family Leave Law x x x BureauofLaborStandards x x
Minimum wage or
overtimex x x
BureauofLaborStandardsx x
ChildLaborLawviolations
x x x BureauofLaborStandards x x
Whistleblowerissues x x x BureauofLaborStandards x x
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Type of Complaint
Steps to Handling Complaints at State LevelPerson who
handles
When not resolved or handled at State
Sta
teComplaintResolution
Ad
ministrator
Sta
teEO
Coordinator
Sta
teMonitorAdvocate
ForeignLaborCertication
Inv
estigatecomplaintasneeded
Tim
etoresolve(inworkingdays)
[*d
enotescalendardays]
Offerhearing
Refer to GivechoiceofAlternativeDispu
te
Resolution/Mediation
Ad
ministratorinitiatesprocedure
for
discontinuationofservices
RecordreferralonLogSheet
No
tifycomplainantandLocal
Ofceofresult/referral
CareerCenter-Related
Non-MSFW x x 30 x x x x
MSFW x x 20 x x
WIA-related x x 60 x x x x
Non-CareerCenter-Related
Non-MSFW x x 30 U.S.DOLRegion1ETA x x
MSFW x x 20 OSHAorU.S.DOL x x
H-2A x x U.S.DOLWage&Hour x x
VeteranorEligible
Spouse
(includesUSERRA)
U.S.DOLRegional
Director Veterans
Employment Training
Service
x x
Discrimination
x 90*
Complainantmayle
with Civil Rights Center
U.S.DOL
x** x
Employer found to have
violated employment
law (referred toenforcement agency)
x x x x x
Employer found to have
violated employment
law (NOT referred to
enforcement agency)
x x 20 x x x x
Against MDOL x x 20 x Administrative Hearings x
**Complainant my appeal State decision to CRC
How to Handle Complaints at State Level
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ETA Form 8429
ETA 8429Revised 11/25/2008
Expiration Date: 02/29/2012
One Stop Career Center (OSCC) Complaint/ U.S. Department of LaborReferral Record Employment and Training AdministrationFor OSCC Use Only OMB Approval No. 1205-0039
Expiration Date: 02/29/2012Complaint No.
Date Received
Part I. Complainants Information Respondents Information1. Name of Complainant (Last, First, Middle Initial) 4. Name of Person Complaint Made Against
2a. Permanent Address (No., St., City, State, ZIP Code) 5. Name of Employer/OSCC Office
b. Temporary Address (if Appropriate) 6. Address of Employer/OSCC Office
3a. Permanent Telephone
( ) -
b. Temporary Telephone
( ) -
7. Telephone Number of Employer/OSCC Office
( ) -8. Description of Compl aint (If additional space is needed, use separate sheet(s) of paper and attach to this form)
I CERTIFY that the information furnished is true and accurately stated to the best of my knowledge. I AUTHORIZE the disclosure of
Certification this information to other enforcement agencies for the proper investigation of my complaint. I UNDERSTAND t hat my identity willbe kept confidential to the maximum extent possible, consistent with applicable law and a fair determination of my complaint.
9. Signature of Complainant 10. Date Signed
/ /
Part II. For OSCC Use Only1. Migrant or Seasonal Farmworker?
Yes No
2. Type of Complaint (X AppropriateBox(es))
WIA Related Job Order No.
Against Job S ervice
Against Employer
Alleged Violation of W IA
Regulations
Alleged Violation of Employment
Law(s)
Non-WIA Related
3. If non-WIA-related, does Complaint concern lawsenforced by U.S. Employment Standards Administration
(Wage and Hour) or OSHA? Yes No
4. Kind of complaint (X Appropriate Box(es))
Wage Related Housing
Child Labor Pesticides
Working Conditions Health/Safety
Migrant and Season DisabilityAgricultural Worker Discrimination
Protection Act (MSPA)Discrimination*
Other (Specify)
5. H-2a/Criteria Employer
U.S./Domestic Worker
H-2a Worker
Wages
Transportation
MealsHousing
Other
6. *For DISCRIMINATION COMPLAINTS ONLY. Persons wishing to file complaints of discrimination may file either with the State Workforce Agency, or with the Directorate of CivilRights (DCR), U. S. Department of Labor, 200 Constitution Avenue, NW, Room N-4123, Washington, D.C. 20210.
7a. Referrals To Other Agencies (X one)
Wage & Hour ESA/U.S. DOL. OSHA
Other
b. Follow-Up (X one) Monthly
Yes No Quarterly
c. Follow-up Date
/ /
8. Address of Referral Agency (No., St., City, State, ZIP Code andTelephone No.)
( ) -
9. Comments (If additional space is needed, use separate sheet of paper) Provide OSCC Services? Yes No If No, explain.
10a. Name and Title of Person Receiving Complaint 11. Office Address (No., St., City, State, ZIP Code)
b. Phone No.
( ) -
12a. Signature b. Date
/ /Public Burden StatementPersons are not required to respond to this collection of information unless it displays a currently valid OMB C ontrol Number. Obligation to reply is required toobtain or retain benefits (44 USC 5301). Public reporting burden for this collection is estimated to average 8 minutes per response, including the time to reviewinstructions, search existing data sources, gather and maintain the data needed, and compl ete and review the collection of information. Send commentsregarding this burden estimate or any other aspect of this collection, including suggestions for reducing this burden, to the U.S. Department of Labor, Migrantand Seasonal Farmworker Program, Room S4209, 200 Constitution Avenue, NW, Washington, DC 20210.
[Sample form only. Find usable form in Appendix B]
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Completion of ETA Form 8429
For OSCC Use Only section (at top of form)
The CareerCenter Manager, or their designee, is required to complete this section. This information
should correspond to the information entered on the Quarterly Log.
Part I (Complainants Information)
1. Lines 1 7
Thissectionshouldbelledouteitherbythecomplainantorthestaffpersonreceivingthecomplaint.
2. Line 8 (Description of Complaint)
TheComplainantmustdescribethecomplaint,indicatingtheexpectedresults.Ifthecomplainantis
unabletolloutthissectionandassistanceisgiven,thestatementshouldbewrittenintherstperson
Anadditionalsheetofpapershouldbeprovidedifextraspaceisnecessary.Additionalsheetsare
tobeidentiedwiththenameandsignatureofthecomplainant.Toensurethatnofurthercomments
areaddedtotheoriginalstatement,adiagonallineshouldbedrawnfromthelastwordofthestatement to the end of the page
3. Line 9 (Signature of Complainant)
Forlocalresolution,thecomplainantdoesnothavetosign.However,theformmustbesignedbyat
leastonecomplainantforthecomplainttobereferredtoahigherlevel.Ifthecomplainantrefuses
todoso,astatementbytheCareerCenterofcialtakingthecomplaintwillbewrittentothiseffect.
Thecomplainantwillbefurtheradvised,inwritingbytheCareerCenterManager,thatsincehe/she
refusestosignthecomplaint,nofurtheractioncanbetakenonthecomplaint(seesampleletterin
AppendixCRequestforComplainantsSignature).Thecomplainantssignatureshouldbeoneach
additional sheet used for line 8 (Description of Complaint)
Part II (For OSCC Use Only)
1. The CareerCenter Manager, or their designee, is required to complete lines 1 through 5. This
information should correspond to the information entered on the Quarterly Log.
2. Lines 7 through 9 should be completely if the complaint cannot be handled locally.
3. The person taking the complaint must sign and complete lines 10 through 12 of this form.
4. Make four copies of completed and signed form:
OriginalandonecopyshallbekeptinthelocalCareerCentercomplaintle.
Onecopyshallbegiventothecomplainant.
OnecopyshallbesenttotheStateComplaintResolutionAdministratororotherreferredagency
with copies of all other documents related to that claim
FormsforlocallyresolvedcomplaintswillbeforwardedtotheStateComplaintResolution
AdministratoratthetimeofQuarterlyLogsubmission.
FormsforcomplaintsnotresolvedatthelocallevelmustbeforwardedtotheStateComplaint
Resolution Administrator immediately upon determination
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Complaint Resolution
A CareerCenter-related complaint is considered resolved when any of the following occurs:
The complainant indicates satisfaction with the outcome
Thecomplainantorthecomplainantsauthorizedrepresentativefailstorespondwithin20working
days[orincaseswherethecomplainantisaMSFW,40workingdays]ofawrittenrequestfor
informationbytheappropriatelocalorStateofce.
Thecomplaintexhauststhenallevelofreview.
Analdeterminationhasbeenmadebytheenforcementagencytowhichthecomplaintwas
referred
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Specic CareerCenter-Related
Programs and ServicesCertain CareerCenter-related programs and services have complaint processes that differ from the
standard CareerCenter customer complaint resolution process. This section contains background
information and supportive documents for the following programs and services:
PriorityofServiceforVeteransandEligibleSpouses
Migrant and Seasonal Farmworkers (MSFW) H-2A Programs
Trade Adjustment Assistance (TAA)
Competitive Skills Scholarship Program (CSSP)
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Veterans Services
Priority of Service for Veterans and Eligible Spouses
Veteransandeligiblespousesaregivenpriorityofserviceforthereceiptofemployment,training,
andplacementservicesprovidedunderallU.S.DepartmentofLabor-fundedprograms.Veteransand
eligiblespousesareentitledtopreferenceforsuchservices.Thismeansthataveteranoreligiblespouse
eitherreceivesaccesstoaserviceearlierthanothersor,ifresourcesarelimited,theveteranoreligiblespouse receives access to the service instead of others
Aveteranoreligiblespouseshouldidentifyhimself/herselfassuchwheninquiringaboutanyDepartment
ofLaborprogram.Bydoingso,theywillbeabletotakefulladvantageofthispriority.
A Veteran is dened as:
Apersonwhoservedatleast180daysintheactivemilitary,andwhowasdischargedorreleased
underconditionsotherthandishonorable,asspeciedin38U.S.C.101(2).Activeserviceincludesfull-
timeFederalserviceintheNationalGuardoraReserveComponent.Thedenitionofactiveservice
doesnotincludefull-timedutyperformedstrictlyfortrainingpurposes(i.e.,thatwhichisreferredtoas
weekendorannualtraining),nordoesitincludefull-timeactivedutyperformedbyNationalGuardpersonnelwhoaremobilizedbyStateratherthanFederalauthorities.
An Eligible Spouse is dened as:
Asdenedin38U.S.C.4215(a),meansthespouseofanyofthefollowing:
1 AnyVeteranwhodiedofaservice-connecteddisability
2 AnymemberoftheArmedForcesservingonactivedutywho,atthetimeofapplicationforthe
priority,islistedinoneormoreofthefollowingcategoriesandhasbeensolistedforatotalofmore
than90days:
Missing in action
Capturedinthelineofdutybyahostileforce
Forciblydetainedorinternedinthelineofdutybyaforeigngovernmentorpower
3 AnyVeteranwhohasatotaldisabilityresultingfromaservice-connected,asevaluatedbythe
Department of Veterans Affairs
Complaints by a veteran or eligible spouse alleging violations of the priority of service provisions
should be led with their local CareerCenter representative.
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Uniformed Services Employment and Reemployment Rights Act (USERRA)
USERRAcoversvirtuallyeveryindividualinthecountrywhoservesinorhasservedintheuniformed
servicesandappliestoallemployersinthepublicandprivatesectors,includingFederalemployers.The
lawseekstoensurethatthosewhoservetheircountrycanretaintheircivilianemploymentandbenets,
andcanseekemploymentfreefromdiscriminationbecauseoftheirservice.USERRAprovidesprotectionfordisabledveterans,requiringemployerstomakereasonableeffortstoaccommodatethedisability.
USERRAisadministeredbytheUnitedStatesDepartmentofLabor,throughtheVeteransEmployment
and Training Service (VETS) VETS provides assistance to those persons experiencing service connected
problemswiththeircivilianemploymentandprovidesinformationabouttheActtoemployers.
ContactinformationforVETScanbefoundintheFederalAgenciessectionofAppendixA.
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H-2A Programs
Immigration and Nationality Act
TheImmigrationandNationalityAct(INA)wascreatedin1952.BeforetheINA,avarietyofstatutes
governedimmigrationlawbutwerenotorganizedinonelocation.TheMcCarran-Walterbillof1952,
PublicLawNo.82-414,collectedandcodiedmanyexistingprovisionsandreorganizedthestructure
ofimmigrationlaw.TheActhasbeenamendedmanytimesovertheyears,butisstillthebasicbodyofimmigration law
TheINAisdividedintotitles,chapters,andsections.Althoughitstandsaloneasabodyoflaw,theAct
isalsocontainedintheUnitedStatesCode(U.S.C.).ThecodeisacollectionofallthelawsoftheUnited
States.Itisarrangedinftysubjecttitlesbygeneralalphabeticorder.Title8oftheU.S.Codeisbut
oneoftheftytitlesanddealswithAliensandNationality.WhenbrowsingtheINAorotherstatutes
youwilloftenseereferencedtotheU.S.Codecitation.Forexample,Section208oftheINAdealswith
asylum,andisalsocontainedin8U.S.C.1158.Althoughitiscorrecttorefertoaspecicsectionby
eitheritsINAcitationoritsU.S.code,theINAcitationismorecommonlyused.
Who is Covered
Theworktobeperformedmustbeofatemporary(orseasonal)nature,meaningemploymentthatis
performedduringcertainseasonsoftheyear,usuallyinrelationtotheproductionand/orharvestingof
a crop or for a limited time period of less than one year when an employer can show that the need for
the foreign workers is truly temporary
Note: Foreign workers employed under the H-2A Programs are not covered under the Migrant and
Seasonal Agricultural Worker Protection Act.
Basic Provisions/Requirements
TheH-2Atemporaryagriculturalprogramestablishesameansforagriculturalemployerswho
anticipateashortageofdomesticworkerstobringnonimmigrantforeignworkerstotheU.S.to
performagriculturallabororservicesofatemporaryorseasonalnature.
BeforetheU.S.CitizenshipandImmigrationServicescanapproveanemployerspetitionforsuch
workers,theemployermustleanapplicationwiththedepartmentstatingthattherearenot
sufcientworkerswhoareable,willing,qualied,andavailable,andthattheemploymentofaliens
willnotadverselyaffectthewagesandworkingconditionsofsimilarlyemployedU.S.workers.
ThestatuteandU.S.DepartmentofLaborregulationsprovidefornumerousworkerprotections
and employer requirements with respect to wages and working conditions that do not apply to
nonagriculturalprograms.ThedepartmentsWageandHourDivisionhasresponsibilityforenforcingprovisions of worker contracts
TheDepartmentofLaborsregulationsgoverningtheH-2AProgramalsoapplytotheemploymentof
U.S.workersbyanemployerofH-2AworkersinanyworkincludedintheETA-approvedjoborder
orinanyagriculturalworkperformedbytheH-2Aworkersduringtheperiodofthejoborder.
EmployersmustofferU.S.workerstermsandworkingconditionswhicharenotlessfavorablethan
those offered to H-2A workers
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Employee Rights
AnemployerwholesanapplicationfortemporaryforeignlaborcerticationpursuanttoH-2A
regulationsmustmeetspecicconditions,includingthoseconcerningrecruitment,wages,housing,meals,
transportation,workerscompensationinsurance,toolsandsupplies,certicationfees,labordisputes,and
other conditions
WorkerswhobelievethattheirrightswereviolatedundertheH-2Aregulationsmayletheircomplaints
through the CareerCenter Complaint System
H-2AworkersandtheU.S.workershiredunderthejobordersystemmustlecomplaintsaboutnon-
compliancewithH-2AlaborstandardswiththeForeignLaborCerticationSpecialist.Acomplaintthat
comesintotheStateofcewillbeforwardedforappropriateaction.
Poster
PosterslistingH-2AworkerrightscanbefoundinAppendixDorprintedoffinEnglishfromwww.dol.gov/whd/posters/pdf/WHD1491Eng_H2A.pdf
TheSpanishversioncanbeprintedofffrom
www.dol.gov/whd/posters/pdf/WHD1491Span_H2A.pdf
Important Notice
AllprogramusersandotherinterestedpartiesshouldfrequentlyconsulttheOfceofForeignLabor
Certicationwebsitewww.foreignlaborcert.doleta.govwheretheDepartmentofLaborwillpost
updatesconcerningtheH-2Atemporaryagriculturallaborcerticationprogram.
Filing a Complaint
H-2A workers and U.S. workers hired under the job order may le complaints about non-compliance
with H-2A labor standards with:
ForeignLaborCertication
MaineDept.ofLabor
55 State House Station
Augusta,ME04333-0055
207-623-7981
If complaints are not resolved at the State level, they are referred to:
ManchesterAreaOfce
U.S.Dept.ofLabor
Wage&HourDivision
1750ElmStreet,Suite111
Manchester,NH03104-2907
603-666-7716 or 1-866-487-9243
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Migrant and Seasonal Farmworkers
Migrant and Seasonal Farmworkers (MSFWs) are dened as:
Seasonal Farm Worker Works 25 or more days in farm work
50% or more of annual earnings are from farm work
Migrant Farm Worker Works 25 or more days in farm work
50% or more of annual earnings are from farm work
Hasjob-relatedtravel
Unabletoreturnhomethesameday
Migrant Food Processing Worker Works 25 or more days in food processing work
50% or more of annual earnings from farm work
Hasjob-relatedtravel
Unabletoreturnhomethesameday
States are required to ensure that the services provided to Migrant and Seasonal Farmworkers are
qualitativelyequivalentandquantitativelyproportionatetotheservicesprovidedtootherjobseekers.
ThismeansthatMSFWsshouldreceiveallworkforcedevelopmentservices,benets,andprotectionson
anequitableandnon-discriminatorybasis(i.e.,careerguidance,testing,jobdevelopment,training,and
jobreferral).
Complaints from Migrant and Seasonal Farmworkers
Complaintsallegingviolationsofemployment-relatedlawsareenforcedbythe Wage and Hour
Division, U.S. DOL or OSHAandshallbetakeninwritingbytheCareerCenterandreferredtoWage
and Hour Division or OSHASource: 658.414 and 658.422
Wage and Hour Division-related violations are
thosedealingwithwages,hoursworked,Migrant
andSeasonalAgriculturalWorkerProtectionAct,
and temporary foreign farm workers
OSHA violations are those related to on-the-job
safety.
U.S.DepartmentofLabor
Wage and Hour Division
66PearlStreet,Room324
Portland,ME04101207-780-3344
U.S.DepartmentofLabor
Occupational Safety and Health Administration
JFKFederalBuilding,RoomE340
Boston,MA02203617-565-9860,Fax:617-565-9827
IfthecomplaintisnotresolvedlocallyattheCareerCenterwithinvedays,complainantshouldsignthe
ETAForm8429.TheformandanyadditionaldocumentationshouldbeforwardedtotheStateMonitor
Advocate for resolution and recorded on the Log Sheet
TheStateMonitorAdvocatesresponsibilityistoensurethatalllegalprotectionsareaffordedtofarm
workers and that their complaints are promptly resolved
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Apparent Violation
Anapparentviolationisanallegationmadebyadepartmentemployeewhoobserves,hasreasonto
believe,orisinreceiptofinformationregardingsuspectedviolationofemployment-relatedlaws,or
EmploymentService(ES)regulationsbyanemployeronlyinvolvingamigrantandseasonalfarmworker.
Field Check Violation
Aeldcheckviolationistheobservation,orreceiptofinformation,orotherwiseareasontobelieveby
adepartmentemployeethatconditionsarenotasstatedinthejoborder(maybeH-2Arelated),orthat
anemployerisviolatinganemployment-relatedlawarisingfromaeldcheckatanagriculturalwork
site
Processing Violations
Source:20 CFR 653.113
1 IfaStateAgencyemployeeobserves,hasreasontobelieve,orisinreceiptofinformationregarding
asuspectedviolationofemploymentrelatedlawsorESregulationsbyanemployer,exceptas
providedat20CFR653.503(eldchecksofH-2Aorders)or20CFR658.400(complaintsas
referredtointhismanual),theemployeeshalldocumentthesuspectedviolationandreferthis
informationtothelocalofcemanager.
2 IftheemployerhasledajoborderwithMainesJobBankwithinthepast12months,thelocalofce
shallattemptinformalresolution.Iftheemployerdoesnotremedythesuspectedviolationwithinve
workingdays,proceduresatpart658.subpartF(DiscontinuationofServices)shallbeinitiatedby
theStateComplaintResolutionAdministratorand,ifaviolationofanemployment-relatedlawis
involved,theviolationshallbereferredtotheappropriateenforcementagencyinwriting.
3 IftheemployerhasnotledajoborderwithMainesJobBankduringthepast12months,the
suspectedviolationofanemployment-relatedlawshallbereferredtoeithertheComplaint
Resolution Administrator or the MSFW State Monitor Advocate who will forward it to the appropriate
enforcement agency in writing
Using the Apparent of Field Check Violation Form
UseofthisformisprimarilylimitedtoForeignLaborCerticationorMigrantandSeasonalFarmworker
StateMonitorAdvocatestaff.Therefore,contentontheuseofthisformisforinformationalpurposes
only.However,theApparentViolationformneednotberestrictedtoMSFWorH-2Aprograms.ApparentViolationcanbefromobservationsbyMDOLstaffintheCareerCenter,andemployerservices
representative,oranoutreachworker.PleasecontacttheComplaintResolutionAdministratorortheState
Monitor Advocate with questions
Apparent or Field Check Violation
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Apparent or Field Check Violation Form[Sample form only. Find usable form in Appendix B]
APPARENT or FIELD CHECK VIOLATION
FORM
Apparent violation is an allegation made by a department employee who observes, has reason to believe, or is in receipt of information regarding asuspected violation of employment related laws, or Employment Service (ES) regulations by an employer only involving a migrant seasonal farmworker.
Field check violation is the observation, or receipt of information, or otherwise a reason to believe by a department employee that conditions are not asstated in the job order, or that an employer is violating an employment related law arising from a field check at an agricultural work site.
In addition to the employers name, address and phone number, to the extent possible, please include addresses and phone numbers of any persons involved in or able tocorroborate the information alleged in the apparent violation.
A. Employer: B. Employers Addr ess and Telephone Number(include e-mail address, if available):
C. Source of Information (customer, outreach, consultant observation, telephone call, field check, etc):
D. Indicate what happened &/or descri be the situation:
E. Identify and attach all documentation and related materials:
VIOLATION
1. a. Does this employer have a current listing with MaineDepartment of Labor? N0 YES
b. Has this employer had a listing with Maine Department ofLabor within the last 12 months? N0 YES
c. Does the current situation suggest violations of the job listing?
d. Does the current situation suggest violations of EmploymentService regulations?
e. Does the current situation suggest violations of employmentrelated laws?
N0 YES
N0 YES
N0 YES
2. If 1.a. is NO check the Non ES related box
If1.a. or, 1.b. and 1.c. are BOTH YES, check the ES- Relatedbox
NO Non ES-Related YES ES-Related
3. Does the violation involve a Migrant Seasonal Farm Worker(MSFW)?
Non-MSFW MSFW
4. Indicate all the issues involved and/or alleged:
Wages- Field Sanitation- Health/Safety- Child Labor- Migrant Seasonal Protection Act- State FLC license- Other - :
Date Received: ______________________________
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2
5. Does the complaint involve Temporary Labor Certification, Agricultural (H2A) or other workers? Indicate which:
H2A Worker H2A Employer ________Other Worker _______Other Employer
IfH2A related, please indicate all of the issues involved and/or alleged:
Transportation- Housing- Wages- H2A Job Listing Assurances- Meals- Working Conditions- Other-
NOTE:Apparent or field check violations alleging unlawful discrimination are to be forwarded immediately to the State Equal Opportunity Officer (c/o LaborComplaint Specialist).
E. Was the apparent violation or f ield check violation resolved by the local office? N0 YESIndicate actions taken at local office- include a summary of actions taken, attempts to resolve the violation and comments orrecommendations that may assist in the investigation and contribute to the agency determination of the apparent violation or field checkviolation:
Referral made to :
State Wageand Hour
State MonitorAdvocate
State EO Officer Federal Wage & Hour OSHA Federal ETA
Anne L. Harriman, Director
Wage and Hour DivisionMaine Department of Labor45 State House StationAugusta, Maine 04333207-623-7926
Juan Perez-Febles
Bureau of Employment ServicesMaine Department of Labor55 State House StationAugusta, ME 04333-0055207-623-7929 or [email protected]
Michaela Loisel
SESC108 State House StationAugusta, ME 04333-0108207-623-6735TTI: [email protected]
Urgent Note: IfMigrant Seasonal
Farmworkers are involved and the complaintinvolves laws enforced by Federal Wage &Hour, such as farm labor contractor, fieldsanitation, housing or transportation laws,immediately refer all documentation by faxorelectronic copy with transmittal or e-mailcoverto the Federal Wage & Hour office in:
George RiouxManchester Area OfficeUS Dept. of LaborWage & Hour Division1750 Elm Street, Suite 111Manchester, NH 03104-2907603-666-77161-866-4-USWAGE(1-866-487-9243)
William J. Coffin
Augusta Area DirectorOccupational Safety &Health AdministrationJohn F. Kennedy FederalBuilding, Room E340Boston, MA 02203617-565-9860
George Kincannon
Regional Monitor AdvocateJFK Federal BuildingRoom E-350Boston, MA 02203Tel: 617-788-0135Fax: 617-788-0125
Name and Title of Maine Department of Labor Employee: Local Office and Phone Number:
Signature Date Signed:
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Trade Adjustment Assistance
The CareerCenter Case Manager shall notify the individual in writing of any decision as to entitlements
fortheTradeAdjustmentAssistance(TAA)program,including,butnotlimitedto,decisionswithrespectto
eligibilityforservices,subsistence,transportation,re-employmentservicesandallowances.Eachdecision
shallinformtheindividualofthereasonforthedecisionandoftherightofappealundertheapplicable
Mainelaw.Theindividualshallhave15daysfromthedateofthedecisiontoleawrittenappeal,using
ETAForm8429,withtheBESCareerCenterManager.Ifnoappealisled,thedecisionshallbecome
nalagencyaction.
1 Iftheindividualappealsadecision,theBESCareerCenterManagershallforwardthenoticeof
appeal and all other documentation regarding the decision to the TAA Coordinator at BES The TAA
Coordinatorshallreviewthedocumentationandinvestigatethendingscontainedinthedecision.
TheTAACoordinatorshallhavetheauthoritytoreverse,modifyortakeotherappropriateaction
regardingthedecision.IftheTAACoordinatordetermines,afterinvestigation,totakenoaction,he/
sheshallimmediatelyprovidethenoticeofappeal,alongwithallappropriatedocumentationto
aBESrepresentative,whoshalltracktherequestforappealandforwardalldocumentationtothe
Division of Administrative Hearings
2 Theindividualandallpartiesshallbenotiedinwritingofthedateandtimeofhearing,whichmay
beconductedbytelephone.AhearingshallbeconductedbeforeanAdministrativeHearingOfcer,
who shall render a written decision
3 IfapartyisdissatisedwiththedecisionoftheAdministrativeHearingOfcer,he/sheshallhavethe
righttoappealinwritingwithin15daystotheUnemploymentInsuranceCommission.Ifahearing
isheld,thepartiesshallbenotiedinwritingofthedateandtimeofsuchhearing,whichmaybe
conductedbytelephone.ThepartiesshallreceivewrittennoticeoftheCommissionsdecision.
4 IfapartyisdissatisedwiththedecisionoftheCommission,he/shemayrequesttheCommissionto
reconsideritsdecision,butonlyifsuchrequestforreconsiderationisledinwritingwithin10daysof
receiptoftheoriginalCommissiondecision.Unlessaninterestedpartyappearsatthehearingbefore
theDivisionofAdministrativeHearingsorattheCommissionhearing,ifonewasheld,heorshemay
notrequestreconsiderationoftheCommissiondecision,unlesssuchnonappearancewasforgood
causeasdeterminedbytheCommission.
5 WhentheperiodduringwhichanappealmaybeledunderthisChapterendsonaSaturday,
Sundayorholiday,theappealperiodshallendonthenextdaywhichisnotaSaturday,Sundayor
holidayiftheappealisledbydeliveryandisreceivedin-handbytheagency.Iftheappealifled
bymailing,however,theappealperiodwillnotbeextended,andtheappealmustbepostmarked
withinthestatutoryappealperiod,unlesstheappealperiodfallsonaSundayoraholiday,inwhichcasetheappealperiodwillbeextendeduntilthenextdaywhichisnotaSundayorholiday.
6 AnydecisionoftheCommissionbecomesnal10daysafterreceiptofwrittennoticationandany
personaggrievedbythedecisionmayappealbycommencinganactionpursuanttotheMaine
Administrative Procedure Act
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Competitive Skills Scholarship Program
Appeal to CSSP Program Manager
AnapplicantorparticipantwhoisdissatisedwithaCareerCentersdecisionrelatedtotheeligibilityfor
ortheprovisionofCSSPserviceshastherighttoleawrittenappealwiththeCSSPProgramManager
within30daysofthedecision.Thiswrittenappealmaytakeanyform,suchasasignedletter,emailor
fax.Ifthecustomerlesawrittenappealwithin10daysofadecisiontoterminatetheparticipantfrom
the program or terminate or reduce assistance provided for in a currently effective Individual Service
Strategy,thenthedecisionwillnotbeimplementedpendingtheoutcomeoftheadministrativeappeal
process.TheCSSPProgramManagerwillissueawrittendecisionwithin15daysofthelingofthe
appeal.Thedecisionmayreectanagreedresolutiontotheappealor,ifnoagreedresolutionwas
reached,itwillreecttheCSSPProgramManagersdecision.
Appeal of CSSP Program Managers Decision
ThecustomermayappealtheCSSPProgramManagersdecisionbylingawrittenrequestforahearing
byahearingofcer.TherequestmustbeledwiththeProgramManagerwithin30daysofthedateof
issuanceoftheCSSPProgramManagersDecision.The30-dayappealperiodmaybeextendedupto
15 additional days if the individual can show good cause for failing to appeal within the initial 30-dayperiod.Uponreceivingarequestforahearing,theProgramManagershallforwardit,togetherwitha
copyofthedecisionbeingappealed,tothehearingauthoritydesignatedbytheDepartment.
TheAdministrativeHearingOfcershallconductahearinginaccordancetheMaineAdministrative
ProceduresAct5M.R.S.A.ch.375,subchapter2andrenderadecisionwithin30daysofthehearing
request.TheHearingOfcermayafrm,setaside,modifyorremandtheCSSPProgramManagers
decision.Ahearingdecisionafrming,settingasideormodifyingtheCSSPProgramManagersdecision
pursuanttothissectionisnalagencyactionandmaybeappealedtotheSuperiorCourt.
Notices
AlldecisionsregardingeligibilityforCSSPorregardingthebenetsprovidedunderCSSP,includingtheISS,mustbeinwritingandmustprovidenoticetotheparticipantofhisorherrighttoappealto
theProgramManager,andifdissatisedwiththatdecision,toappealbyrequestingafairhearing.
CareerCenterstaffshallassistcustomerswhoexpressadesiretoleanappealorhearingrequestwith
the process
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Referred Complaints
Some complaints must be referred immediately to other agencies. This section contains background
information and supportive documents concerning complaints involving the following topics:
DepartmentofLaborPersonnel
Discrimination
AmericanswithDisabilitiesAct(ADA)
WageandHourDivision,BureauofLaborStandards
DivisionofVocationalRehabilitation,BureauofRehabilitationServices
DivisionoftheBlindandVisuallyImpaired,BureauofRehabilitationServices
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Department of Labor Personnel
State of Maine, Department of Labor Policy No. 008
Source: PL 2003, Chapter 230
Purpose
ArelationshipoftrustandcondencebetweenemployeesoftheMaineDepartmentofLaborandthecommunities that they serve is essential to the effective operation of state government Department
employeesmustbefreetoexercisetheirbestjudgmentintheperformanceoftheirduties.Department
employeesalsohaveaspecialobligationtorespecttherightsofallpersons.TheDepartmentofLabor
acknowledgesitsresponsibilitytoestablishacomplaintsystemandproceduresthatnotonlywillsubject
DepartmentofLaboremployeestocorrectiveactionwhenimproperconducthasoccurred,butwillalso
protectDepartmentofLaboremployeesfromunwarrantedorspuriouscriticismwhentheydischarge
theirdutiesproperly.Thepurposeoftheseproceduresistoprovideprompt,just,andopendispositionof
complaintsregardingtheconductofDepartmentofLaboremployees.
ItisthepolicyoftheDepartmentofLabortoencouragethepublictocommentwhentheconductofthe
employeeisbelievedtobeimproper.TheDepartmentofLaborwillmakeeveryefforttoensurethatnoadverseconsequencesoccurtoanypersonorwitnessasaresultofhavingbroughtacomplaintor
forprovidinginformationconcerningacomplaint.AnyDepartmentofLaboremployeewhosubjectsa
complainantorwitnesstosuchrecriminationwillbesubjecttoappropriatedisciplinaryaction.
Procedure
1 TheDepartmentofLaborencouragesthepublictobringforwardlegitimatecomplaintsregarding
misconductbyitsemployees.Tothisend,acopyofHowtoFileaPersonnelComplaintwillbe
postedatDepartmentworksitesandondepartmentwebsitesandwillbegiventoanyonerequesting
thisinformation.AcopyofthisdocumentcanbefoundinAppendixD.Complaints,regardlessof
nature,canbelodgedinperson,bymail,orbytelephone.2 AnyemployeeoftheDepartmentofLaborwhoreceivesacomplaintaboutaDepartmentemployee
shall,assoonaspracticable,notifytheCommissionersOfce,ofthedetailsofthecomplaintfor
evaluation and assignment
3 Uponreceiptofacomplaint,theCommissionersOfceshalldeterminewhetherthecomplaintshould
beinvestigatedandbywhom.ComplaintsofcriminalconductshouldbeforwardedtotheBureauof
EmployeeRelationsand/ortheAttorneyGeneralsOfcetoensurecooperationwithappropriate
law enforcement authorities
4 Complainantsshallbemadeawarethatitmaybeimpossibletokeeptheiridentitycondential.
5 Investigationsofcomplaintsshallbecompletedwithin15days.
6 Intheeventareportiswarranted,allrelevantinformationobtainedbytheinvestigatorshallbe
included
7 Allinvestigationsshallcomplywiththeprovisionsoftheapplicablecollectivebargainingagreement.
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Notication to the Complainant
Uponnaldisposition,thecomplainantwillbenotiedoftheoutcomeoftheinvestigationtotheextent
permittedbycivilserviceandagencycondentialitylaws.TheCommissionersOfcewillconsultwiththe
BureauofEmployeeRelationstodeterminewhatmaybedisclosedtothecomplainant.
Administrative ResponsibilitiesTheOfceoftheCommissionershallensurethat:
Each complaint and corresponding investigation is documented
An annual summary report is prepared for each Bureau Director that includes statistical data that wil
aidinidentifyingthepossibleneedfortraining,supervision,orotherpertinentissues.
Ifacustomerwishestomakeacomplaintabouttheactionsofanyemployee/employeesofthe
DepartmentofLaborhe/sheshouldcontacttheOfceoftheCommissioneroftheMaineDepartmentof
Laborbyphone,mailoremail.
Thecomplainantmustidentifyhim/herself,providecontactinformationandcontainspecicdetailsaboutthecomplaint.Thereceiptofthecomplaintwillbeformallyacknowledgedinwritingorbyphoneand
thecomplaintwillthenbeinvestigatedandprocessedasexpeditiouslyaspossible.Thecomplainantmay
becontactedtoprovideadditionalinformationaboutthecomplaint.
Whentheinvestigationofthecomplainthasbeencompleted,he/shewillreceiveawrittenexplanation
ofthenaldispositionofthematter,withinthelimitsofcondentialitylaws.
Ofce of the Commissioner
MaineDepartmentofLabor
54 Statehouse StationAugusta,ME04333-0054
207-621-5095
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Discrimination
The Civil Rights Act of 1964 and regulations of 29 CFR Part 37 of the Workforce Investment Act of
1998statethatnopersonintheUnitedStatesshall,onthegroundsofrace,color,ornationalorigin,be
excludedfromparticipationin,bedeniedthebenetsof,orbeotherwisesubjectedtodiscrimination
underanyprogramoractivityreceivingfederalnancialassistancefromtheDepartmentofLabor.
CareerCentersareprohibitedfromdiscriminatingagainstmembersofthepublic,applicantsforservices,registrants,participants,claimants,applicantsforemploymentandemployeesonthebasisofrace, color,
religion, sex, national origin, age, disability, political afliation or belief.Inaddition,itisprohibited
todiscriminateagainstanyindividualorbeneciaryofWIAprogramsbasedonthebeneciarys
citizenship statusasalawfullyadmittedimmigrantauthorizedtoworkintheUnitedStates.Finally,it
isprohibitedtodiscriminateagainstanyindividualorbeneciaryofWIAprogramsbasedonhisorher
participation of any WIA Title I nancially assisted program or activity
Time Frames
Acomplainanthasarighttoleacomplaintwithin180daysoftheallegedact(s)ofdiscrimination.
Where to le
Local Level: EOOfcial(SeeMasterPersonnelListinAppendixA)
or
MaineDepartmentofLaborEOCoordinatorand/orMHRC
National Level: U.S.DOLCivilRightsCenter
Director,RoomN4123
200 Constitution Avenue NW
Washington,DC20210
Therecipientofacomplaint,whichmayinthisinstancemeanthelocalEOOfcer,MDOLEO
Coordinator or MHRC must issue a written Notice of Final Action on discrimination complaint within
90daysofthedateonwhichthecomplaintisled.Thecomplainantmayleactionagainwiththe
CRCifhe/sheisdissatisedwiththeNoticeofFinalActionorifaNoticeofFinalActionisnotissued
withinthe90-dayperiod.Inthisregard,thecomplainanthas30daysfromthedateoftheNoticeof
FinalActionorfromtheendofthe90daystolewithCRC.OnlytheUSDOL-CRChastheauthority
toacceptcomplaintsledbeyondthe30daysdiscussedabove.TheCRCmayextendthistimelimitif
theNoticeofFinalActiondidnotprovidecompletelinginstructionsorforothergoodcauseshownby
thecomplainant.ThesameauthorityrestswiththeCRCwhenacomplaintisledbeyondtheabove-
mentioned 180-day period
PosterTheEOnotice,EqualOpportunityistheLawprovidescomplainantswithbasicinstructionsonling
complaintsofdiscrimination.ThispostercanbefoundinAppendixD.
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Processing Discrimination Complaints
1 WhenanyonealertstheCareerCenterthathe/she(orthey)wantstoleadiscriminationcomplaint,
stepsshouldbetakentoconnectthecomplainantwiththelocalEOOfcer.IfthelocalEOOfceris
notavailableimmediately,theManagershouldarrangeaface-to-facemeetingwiththecomplainant
andlocalEOOfcerattheearliestpossibledate.TheManagershouldcontacttheMDOLEOCoordinatoriftheEOOfcerwillnotbeavailableforanextendedperiod.
2 Inallpossibleinstances,thelocalEOOfcershouldmeetpersonallywiththecomplainant(s)ina
privatearea,ensuringcondentiality.
3 Atthismeeting,theEOOfcershouldexplaintheprocessandifthecomplainantintendstolea
formalcomplaint,providethecomplainantwithacopyoftheUSDOLCivilRightsCenterComplaint
Information Form DL 1-2014a found in Appendix B
4 IfthecomplainantdoesnotcompletetheComplaintInformationFormduringthismeeting,EOOfcer
shouldobtainthefollowinginformationataminimum:
Complainantsaddressandmeansforcontactinghim/her/them
Basis of complaint
Detailed description of allegation(s)
Dates of alleged events of discrimination
Representativeandentityorprogramagainstwhichcomplaintisbeingled(respondent)
Address or town location or entity or program
Signed consent statement
5 Oncetheinformationisgathered,thedocumentshouldbesignedanddatedbythecomplainantorthecomplainantsauthorizedrepresentative.Thesigned/datedconsentstatement
shouldindicatethatthecomplainantallowsthelocalEOOfcertodisclosethecomplainantsidentity
ifnecessarytoinvestigatehis/hercomplaint.Inaddition,acopyofthewrittencomplaintwillbe
provided to the complainant and to the MDOL EO Coordinator
6 Oncethecomplainthasbeenledandreceived,thelocalEOOfcershouldaskthecomplainant
whetherhe/shewouldpreferthecomplaintprocessedthrough:
AlternativeDisputeResolution/Mediation(ADR)
InvestigationbythelocalEOOfcer,MDOLEOCoordinatororMHRC InvestigationbytheU.S.DOLCivilRightsCenterinWashington,D.C.(Thefulladdressappearson
theEONotice,EqualOpportunityistheLaw.)
Thecomplainantshouldindicatehis/herdecisiononthesignedcomplaintdocument.The
complainantmustbeinformedthatifADRfails,thecomplaintcanstillbeledwithCRC.
NOTE: If an employee of the State of Maine committed the alleged discriminatory act, the
MDOL EO Coordinator must be contacted immediately. In those instances, the Complaints
and Investigations Article of the Collective Bargaining Agreements will be followed.
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7 The choice to use Alternative Dispute Resolution (ADR) or investigation rests with the complainant If
thechoiceisADR,theMDOLEOCoordinatorwillcontacttheDirector,OfceofHumanResources,
who will assign a mediator to assist with an ADR conference
8 IfADRissuccessful,asettlementagreementispreparedattheendoftheconferenceandsignedby
theinvolvedparties.IfADRisunsuccessful,thecomplainantisapprisedofhis/herrightstolethecomplaintwithUSDOLCRCwithin30daysaftertheissuanceofaNoticeofnalAction.
9 CaseswhenADRisnotappropriateincludecomplaintsthatarehighprole,involvelegalissues,
involvepolicy,areprecedentsetting,orimpactothersinaprotectedgroup.
10 IfthecomplainantelectstoresolvethecomplaintusingtheinvestigationbytheMDOLEO
Coordinator,theMDOLEOCoordinatorwillprovideanacknowledgementlettertothecomplainant
containingthefollowing:
Noticethatthecomplainthasbeenreceived
Restatement of the issues raised in the complaint Noticeofwhichissueshavebeenacceptedforinvestigation
Explanation,ifnecessary,ofissuesnotbeinginvestigated
Noticeofthecomplainantsrighttorepresentationbyanyindividualhe/shechoosesduring
thecomplaintprocess.Legalfees(ifanattorneyisselected)aretheresponsibilitiesofthe
complainant
Noticethatcomplaintprocessingwillbecompletedwithin90daysofthedatethatthecomplaint
wasledatthelocallevelandaNoticeofFinalActionissued.
Noticethatthecomplainanthastherighttore-lehis/hercomplaintwithin30daysoftheendof
the90dayscitedabove,iftheLocalEOOfcerfailstoissuethenoticewithinthatperiod.
11 Inaddition,theMDOLEOCoordinatormust:contactandwriteto(returnreceiptrequested)the
respondentidentiedinthecomplaint;advisetherespondentthatacomplaintallegingdiscrimination
hasbeenledandisbeingprocessed;provideasummaryofthecomplaintandnoticethatanyform
or retaliation is against the law
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Complaint investigation or fact-nding may include the following elements:
Holding an interview with complainant to gather facts
Collecting any evidence the complainant may have to support allegations
Interviewingtherespondent,obtainingasignedpositionstatement,andanyevidencesupportingtheresponse to the complaint
Inspectinglocationofwhereallegeddiscriminationoccurred(thisappliesspecicallytoallegationsof
sexualharassmentandinaccessibilitytoindividualswithadisability
Interviewingwitnesses,ifany,andobtainingsignedstatements
Reviewingdocumentsdata,reports,correspondence,contracts,plans,personnelorparticipant
records,policies/proceduresrelatedtoactivitieswhichgaverisetoallegationsofdiscrimination
Preparinganinvestigatoryreportthatincludesstatementofbasisofcomplaint,specicallegations,
respondentresponseandwitnessstatements,ndingsoffact,rationaleandconclusion(probable
causeornoprobablecausethatrespondentmayhavediscriminated)andappealrights Maintainingacomplaintle
It should be noted that the MDOL EO Coordinator is available for technical assistance at any time to the
local EO Ofcers.
Final Action
ANoticeofFinalActionmustbeprovidedtothecomplainantwithacopytotherespondentandLocal
EOOfcerwithin90daysofthedatethatthecomplaintwasledwiththeMDOLEOCoordinator.The
Noticemustbesentreturnreceiptrequested.TheNoticemustprovidetherecipientsdecisionand
explanation on each issue of discrimination that was accepted for processing and resolution Clearlystatewhatspecicactionhasbeentakenorwillbetaken(andwhen)tocompletetheresolution.
IfthecomplainantisdissatisedwiththeNoticeofFinalAction,he/shehas30daysfromthedatethe
nalnoticeisissuedtolewiththeCRC.IfaNoticeisneverissued,thecomplainanthas30daysfrom
thedatethatthenoticeshouldhavebeenissuedtolewiththeCRC.
Maine Human Rights Commission
EORepresentativeswillinformallcomplainantsoftheirrighttolewiththeMaineHumanRights
Commissioninadditiontotheaboveprocedure.
Maine Human Rights Commission51 State House Station
Augusta,ME04333-0051
207-624-6050
Civil Rights CenterUSDOL
200ConstitutionAvenueNW,RoomN412
Washington,DC20210
The complaint procedures outlined here are effective immediately. Equal opportunity Ofcers are to
become familiar with these procedures and to share this information with directors, managers, and
supervisors within his/her jurisdiction.
Source: 29 CFR Part 31; 29 CFR Part 37
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Americans with Disabilities Act
Title I and Title II of the Americans with Disabilities Act of 1990,asamended,protectqualied
individualsfromdiscriminationonthebasisofdisabilityinhiring,promotion,discharge,pay,fringe
benets,jobtraining,classication,referral,andotheraspectsofemployment.Disabilitydiscrimination
includesfailingtomakereasonableaccommodationtotheknownphysicalormentallimitationsofan
otherwisequaliedindividualwithadisabilitywhoisanapplicantoremployee,barringunduehardship.
ItisthepolicyoftheStateofMainethatnoqualiedindividualwithadisabilityshall,onthebasisof
disability,beexcludedfromparticipationinorbedeniedthebenetsoftheservices,programs,or
activitiesoftheStateofMaineorbesubjectedtodiscriminationbytheState.Allprograms,services,
andactivities,includinggrantsandcontracts,shallbeavailable,withorwithoutaccommodations,to
individualswithdisabilities,astheyareforotherpersons.Accommodationscouldincludechangesto
policies,practices,orprocedures;removingarchitectural,communication,ortransportationbarriers;and
providingauxiliaryaidsandservices,suchasinterpreters.
Anattemptshouldbemadeatthelocalleveltoresolvedisabilitycomplaints.IftheCareerCenter
Managerordesigneeisunabletoresolvethecomplainttothecomplainantssatisfaction,thecomplainant
ortheCareerCenterManager(ordesignee)shouldlloutETAForm8429.Oncethecomplaintislogged,
acopyoftheformmustbesenttotheDepartmentofLaborsAccessibilityCoordinator.Thecomplainant
may also take the issue to the Maine Human Rights Commission
Accessibility Coordinator
Ofce of the Commissioner
Maine Department of Labor
54 State House Station
Augusta,ME04333-0054
OrMaine Human Rights Commission
51 State House Station
Augusta,ME04333-0051
207-624-6290
TTY:1-888-577-6690
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Wage and Hour Division
Referrals to the Wage and Hour Division, Bureau of Labor Standards (BLS)
The Wage and Hour Division of BLS investigates and interprets the following complaints:
Severance pay in plant closings
Complaintsabout
restbreaks
time off to deal with domestic violence at home
wage issues related to plant closures
overtime and minimum wages
timely payment of wages
Family Leave Law
unfairagreements(illegalwagedeductionsorpaybacks)
requirement for written reason for termination
whistleblowerviolations
requeststoreviewpersonnellesbyemployee
childlaborissues
equal pay
housing complaints (ask for BLS Housing Inspectors)
BLS does not have legal authority over:
fringebenets(exceptpaymentofearnedvacationuponterminationofemployment)
workingconditions(schedules,dresscodes,typesofworkperformed,part-timeorfull-timestatus)
hiringorringpractices
dischargenotices,warning,disciplinaryactions
minimum/maximumhoursperdayorweek(exceptforminorsunder18)
union or other contract agreements
Maine is an at will state, which means that employees can legally be hired or red at
the employers discretion, provided there is no illegal discrimination, contract or collectivebargaining agreement involved. If a customer feels there is discrimination, the process for ling a
discrimination complaint should be followed.
Bureau of Labor Standards
MaineDepartmentofLabor
45 State House Station
Augusta,ME04333-0045
207-623-7900
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Division of Vocational Rehabilitation
Appeals Process for the Division of Vocational Rehabilitation, Bureau of Rehabilitation Services
Anapplicantfororrecipientofvocationalrehabilitationserviceswhoisdissatisedwithany
determinationmadebyarehabilitationcounselorconcerningthefurnishingordenialofservicesmay
request(or,ifappropriate,mayrequestthroughtheindividualsrepresentative)atimelyreviewofthe
determination.MaineDivisionofVocationalRehabilitation(DVR)shallmakereasonableaccommodationtotheindividualsdisabilityintheconductoftheappealsprocess.
Informal Review
Wheneverpossible,MaineDVRwillattempttoresolveconictsinformallypriortoMediationoraDue
ProcessHearing,butanindividualmayrequestaDueProcessHearingimmediatelywithouthavingto
gothroughotherappealsteps.Anindividualmayrequestameetingwiththecounselor,theappropriate
supervisor,andaClientAssistanceProgramrepresentative,ifdesired,toexploreoptionsforresolving
anyconicts.
Continuation of Services Pending Completion of the Hearing
Pendinganaldeterminationofanappealhearing,theDVRmaynotsuspend,reduce,orterminateservicesbeingprovidedunderanIndividualizedPlanofEmployment(IPE),unlesstheserviceswere
obtainedthroughmisrepresentation,fraudorcollusionoftheindividual,orauthorizedrepresentative,
requestssuspension,reduction,orterminationofservices.
Time Frames
ThetimeframeslistedunderSectionsMediationandDueProcessHearingmaybewaivedifbothparties
agree to an extension of time in order to conduct the Mediation or Hearing and render a decision
Mediation
TheDepartmentofLaborMediationprocessisanoptiontoresolveconictswhenaresolutionisnot
possibleinformally.Mediationisvoluntaryforbothpartiesandeitherpartymaywithdrawatanytime.Themediatordoesnothavetheauthoritytoimposeasettlementonthepartiesbutwillattempttohelp
them reach a mutually satisfactory resolution of their dispute
An individual must request Mediation within 30 calendar days of the agency notice regarding the
provisionordenialofservicesthatisinquestion.Therequestshallbeinwritingandtherequestshall
describethecomplaint.TherequestshouldbesenttotheDirectorofDVRwhowillimmediatelyforward
ittotheDepartmentofLabor,DivisionofAdministrativeHearings.
The Division of Administrative Hearings will commence a mediation meeting within 15 calendar days of
receiptoftherequestandshallbeheldinalocationthatisconvenienttothepartiesinthedispute.
MediationwillbeconductedinaccordancewiththeCourtAlternativeDisputeResolutionServices
(CADRES) standards on ethics and neutrality
Anagreementreachedinthemediationprocessshallbesetforthinawrittenmediationagreement.
Discussionsthatoccurduringthemediationprocessshallbecondentialandmaynotbeusedas
evidenceinanysubsequentdueprocesshearingorcivilproceedinginaccordancewithCADRES
condentialitystandards.
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Theindividualmayberepresentedatthemediation,includingbutnotlimitedto,representationbythe
Client Assistance Program
Due Process Hearing
ADueProcessHearingisaprocedurewherebyanindividualwhoisdissatisedwithanydeterminations
concerningtheprovisionordenialofDVRservicesmayseekare-determinationofagencyactionbeforeanimpartialhearingofcer.
The individual must request a Due Process Hearing within 30 calendar days of the agency notice
regarding the provision or denial of service if Mediation was not requested
IfnorequestforDueProcessHearingismadewithin30calendardays,theagencydecisionis
considerednal.
TherequestforDueProcessHearingshallbeinwritingandshalldescribethecomplaint.MaineDVRwill
accommodateanindividualsdisabilityandofferassistance,ifappropriate,inthisprocess.Therequest
shouldbesenttotheDirectorofDVRwhowillimmediatelyforwardtherequesttotheDepartmentofLabor,DivisionofAdministrativeHearings.
Apre-hearingconferencewillbeheld.Atthattimemediationwillbeexploredasanoptionforresolving
the dispute
TheDueProcessHearingshallbeconductedwithin45calendardaysofreceiptoftherequestforDue
Process Hearing
ADueProcessHearingshallbeconductedbyanimpartialhearingofcerfromthepoolofqualied
personsidentiedjointlybytheDirectorofMaineDVRandtheStateRehabilitationCouncil.
MaineDVRmaynotdenyordismissarequestforDueProcessHearingunlesstheindividualorhis/herrepresentative:
withdraws the request in writing or
isadjudgedbytheDueProcessHearingofcertobeindefaultforfailuretoappearatthehearing
without good cause
TheDueProcessHearingshallbeconductedandarecommendeddecisionshallbeissuedinaccordance
withMainesAdministrativeProceduresAct,5M.R.S.A.Chapter375,subchapterIV.
TheDueProcessHearingOfcershallissueadecisionwithin30daysofthecompletionofthehearing.
IftheCommissioneroftheDepartmentofLaborortheCommissionersdesigneedecidestoreviewthedecisionoftheimpartialhearingofcer,he/shewillnotifytheindividualor,ifappropriate,the
individualsrepresentative,ofthatintentwithin20daysofthemailingoftheimpartialhearingofcers
decision.TheCommissionerorhis/herdesigneeshallgivetheindividualorindividualsrepresentative
10calendardaystosubmitadditionalevidenceandinformationrelevanttothenaldecision.Ifthe
Commissionerorhis/herdesigneedoesnotnotifytheapplicant/clientoftheintenttoreviewthe
decision,thedecisionoftheimpartialhearingofcerbecomesthenaldecision.
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Within30daysofprovidingnoticeofintenttoreviewtheimpartialhearingofcersdecision,the
Commissionerordesigneeshallmakeanaldecisionandprovideafullreportinwritingofthedecision,
includingndingsandthestatutory,regulatory,orpolicygroundsforthedecision,totheindividualor,if
appropriate,theindividualsrepresentative.
TheCommissionerordesigneemaynotoverturnormodifyadecision,orpartofadecision,ofanimpartialhearingofcerunlesstheCommissionerordesigneeconcludes,basedonclearandconvincing
evidence,thatthedecisionisclearlyerroneousbecauseitiscontrarytotheapprovedStatePlan,theAct,
Federal Regulations or State Policy
TheDueProcessHearingdecisionshallbeconsiderednalbytheagencypendingtheoutcomeoffurther
appeal procedures
Judicial Review
InthewrittendecisionfromtheCommissionerordesigneeonaDueProcessHearing,theindividualshall
beadvisedonhis/herrighttoleapetitioninSuperiorCourtunderRule80CoftheMaineRulesofCivil
Procedure
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Division of the Blind and Visually Impaired
Appeals Process for the Division of the Blind and Visually Impaired, Bureau of Rehabilitation Services
Anapplicantfororrecipientofvocationalrehabilitation(VR)serviceswhoisdissatisedwithany
determinationmadebyarehabilitationcounselorconcerningthefurnishingordenialofservicesmay
request(or,ifappropriate,mayrequestthroughtheindividualsrepresentative)atimelyreviewof
thedetermination.TheDivisionoftheBlindandVisuallyImpaired(DBVI)shallmakereasonableaCareerCenteraccommodationtotheindividualsdisabilityintheconductoftheappealsprocess.Written
noticationofappealrightswillbeprovidedtotheindividualatthetimeofapplication,whenassigned
anorderofselectioncategory,whenanIndividualPlanofEmployment(IPE)isdeveloped,andwhenever
DBVIVRservicesarereduced,suspended,orterminated.Noticationwillincludethenameandaddress
ofthepersonwithwhomanappealmaybeledandinformationregardingtheClientAssistance
Program
Mediationand/ordueprocesshearingsareprovidedatnocosttotheindividual;however,costsrelated
tolegalrepresentationarenotcoveredbyDBVI.
Informal ReviewWheneverpossible,DBVIwillattempttoresolveconictsinformallypriortomediationoradueprocess
hearing.Anindividualmayrequestameetingwiththecounselor,theappropriatesupervisor,and/ora
ClientAssistanceProgramrepresentative,ifdesired,toexploreoptionsforresolvinganyconicts.An
individual may request mediation or due process hearing immediately without having to participate in
the informal process
Continuation of Services Pending Appeal
Pendinganaldeterminationfollowinganappealhearing,theDivisionmaynotsuspend,reduce,
orterminateservicesbeingprovidedunderanIPE,unlesstheserviceswereobtainedthrough
misrepresentation,fraudorcollusionortheindividual,ortheindividualsauthorizedrepresentativerequestssuspension,reductionorterminationofservices.
Mediation
Mediationisavoluntaryprocessconductedbyaqualiedandimpartialmediator.Mediationisprovided
atnocosttotheindividual,butcostsrelatedtolegalrepresentationarenotcoveredbyDBVI.
An individual must request mediation within 30 calendar days of the agency notice regarding the
provisionordenialofservicesthatareinquestion.Therequestshallbeinwritingandshalldescribethe
basisforthegrievance.TherequestshouldbesenttotheDirectorofDBVIwhowillimmediatelyforward
ittotheDepartmentofLabor,DivisionofAdministrativeHearings.
The Division of Administrative Hearings shall convene a mediation within 15 calendar days of receipt oftherequest.Themediationshallbeheldatalocationthatisconvenienttothepartiestothedispute.
MediationshallbeconductedinaccordancewiththeCourtAlternativeDisputeResolutionServices
(CADRES)standardsonethicsandneutrality.Atanypointduringthemediationprocess,eitherpartyor
the mediator may elect to terminate the mediation
Anyagreementreachedinthemediationprocessshallbesetforthinawrittenmediationagreementand
shallbesignedbybothparties.
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Discussionsthatoccurduringthemediationprocessshallbecondentialandmaynotbeusedas
evidenceinanysubsequentdueprocesshearingorcivilproceedinginaccordancewithCADRES
condentialitystandards.
Theindividualmayberepresentedatthemediation,includingbutnotlimitedtorepresentationbythe
ClientAssistanceProgram.DBVIisnotobligatedtocoverthecostofapplicantslegalrepresentative.
Themediationprocessmaynotbeusedtodenyordelaytheindividualsrighttopursueresolutionofthe
disputethroughadueprocesshearingwithinthespeciedtimeperiod.
Due Process Hearing
Adueprocesshearingisaproceedingwherebyanindividualwhoisdissatisedwithanydetermination
concerningtheprovisionordenialofVRservicesmayseekareviewofagencyactionbeforeahearing
ofcer.
The individual must request due process hearing within thirty (30) calendar days of the agency notice
regarding the provision or denial of service if mediation is not requested If no request for due processhearingismadewithin30calendardays,theagencydecisionbecomesnal.
Therequestfordueprocesshearingshallbeinwritingandshalldescribethebasisforthegrievance.
DBVIwillaccommodateanindividualsdisabilityandofferassistance,ifappropriate,inthisprocess.
TherequestshouldbesenttotheDirectorofDBVIwhowillimmediatelyforwardtherequesttothe
DepartmentofLabor,DivisionofAdministrativeHearings.
Apre-hearingconferenceshallbeheldtoclarifyissuesandexploreoptionsforresolvinggrievances.
Thedueprocesshearingshallbeconductedwithin60calendardaysofreceiptoftherequestfordue
processhearing.Adueprocesshearingshallbeconductedbyanimpartialhearingofcerassignedona
randombasisfromthepoolofqualiedpersonsidentiedjointlybytheDirectorofDBVIandtheState
RehabilitationCouncilofDBVI.
The DBVI VR program may not deny or dismiss a request for due process hearing unless the individual or
his/herrepresentative:
withdraws the request in writing or
isadjudgedbythehearingofcertobeindefaultforfailuretoappearatthehearingwithoutgood
cause
Thedueprocesshearingshallbeconductedandwillincludeanopportunityfortheindividualortheindividualsrepresentativetopresentwitnessesandrelevantevidence.Adecisionwillbeissuedin
accordance with The Maine Administrative Procedure Act
Thedueprocesshearingofcershallissueawrittendecisioncontainingndingsandgroundsforthe
decisionwithin30daysofthecompletionofthehearing.Thehearingofcersdecisionbecomesnal
unless one of the parties requests a Judicial Review
Judicial Review
Anypartywhodisagreeswiththedecisionresultingfromthedueprocesshearinghastherighttolea
petition in Superior Court under Rule 80C of the Maine Rules of Civil Procedure
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State Complaint System
AdministrationThe purpose of this section is to make transparent to the CareerCenters and customers how
complaints are handled at the State level. The source of the regulations is cited.
State Complaint Resolution Administrator
Hearings
Discontinuation of Services
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State Complaint Resolution Administrator
The State Complaint Resolution Administrator has overall responsibility for the operation of the
CareerCenter complaint resolution system.
Responsibilities
TheMaineDepartmentofLaborensuresthatcentralizedcontrolproceduresareestablishedforthe
handlingofcomplaintsandlesrelatingtothehandlingofcomplaints.TheStateComplaintResolution
Administratorshallensurethatacentralcomplaintlogismaintained,listingallcomplaintsreceived.
The State Complaint Resolution Administrator shall receive a quarterly Log Sheet and related paperwork
fromeachCareerCenterofceandwillsubmitarepo