Company LOGO UNIFIED WORKFORCE INVESTMENT SYSTEM COMPLAINT PROCESS.
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Transcript of Company LOGO UNIFIED WORKFORCE INVESTMENT SYSTEM COMPLAINT PROCESS.
Company
LOGO
UNIFIED WORKFORCE INVESTMENT SYSTEM COMPLAINT PROCESS
Learning Objectives…
Explain the general requirements for complaint processing procedures.
Explain the general requirements for complaint processing procedures.
Inform complainants of their rights and the appropriate process in filing complaints.
Inform complainants of their rights and the appropriate process in filing complaints.
Distinguish between discrimination complaints and program complaints.
Distinguish between discrimination complaints and program complaints.
Define how the OSCCs comply with Complaint Processing Procedures
Define how the OSCCs comply with Complaint Processing Procedures
Overview of the Complaint System
The Unified Workforce Investment System Complaintprocess provides customers with a formal mechanismto file complaints about the services or treatment thatthey received through the Massachusetts One-StopCareer Center system or to make employment relatedcomplaints about the terms and conditions ofemployment offered at the workplace.
WIA sec. 188 and 29 CFR 37 Discrimination
Complaints
20 CFR, Ch. V, § 667.600 - §
667.640
Title I Activities
20 CFR Ch. V, § 658.400 - §
658.426
Title III (W-P) Activities
Why do we have a Complaint System?
GENERAL REQUIREMENTS
State must adopt & publish procedures for processing complaints including complaints alleging discrimination against any WIA recipient
The SWA, LWIA and OSCC are responsible for developing, publishing and implementing a user friendly complaint system
The SMA / EO Officer are responsible for ensuring SWA / OSCC compliance
Provide option to file locally or with the SWA, for discrimination complaints provide option to file with CRC directly
SWA, LWIBs, OSCCs, Partners, must comply with complaint procedures
All grant sub-recipients must comply with complaint procedures as well.
Who Administers the Complaint System in Massachusetts?
UNIFIED WORKFORCE INVESTMENT SYSTEM COMPLAINT PROCESS
DirectorSICA
Director of
Diversity
State Monitor Advocate
OSCC Director
NOT APPLICABLE TO THE UNIFIED COMPLAINT SYSTEM
The following type of complaints can not be accepted forprocessing:
UI, Welfare, Job Corps, etc. Federal Contractor job listing Complaints from OSCC staff
Handle these complaints according to their respective complaint regulations / procedures or direct customer to the appropriate agency for resolution.
CRIMINAL FRAUD AND ABUSE:
Complaints involving criminal fraud, waste, abuse or other criminal activity must be reported immediately to:
DOL Office of Inspector General, Office of Investigations, Room S5514, 200 Constitution Avenue NW., Washington, D.C. 20210
A copy simultaneously provided to DCS and the Employment and Training Administration.
1 2 3 4
I didn’t get
Paid
correctly,
I wasn’t
referred to a
job opening
that I
believed
I was
qualified for,
It is not fair
that my
training
request
was not
approved
The job I had
(or you sent
me to)
wasn’t safe,
How do You Know When a Customer Has a Complaint
Indicators of potential complaints:
Filing a complaint
In personIn person By LetterBy Letter On the fieldOn the field
A complainant comes into an OSCC to file the complaint, or
SWA / OSCC receives a written complaint signed by the complainant includes sufficient information for complaint officer to initiate the investigation.
BSR / Outreach staff receives complaint from a worker or an employer.
Processing Complaints
When a customer files a complaint, the CO must explain how the complaint system works and the customer’s rights. If the complaint is received in writing, provides sufficient
information and it is signed by the complainant or his / her representative, the complaint shall be treated as if it was a properly completed complainant. - Initiate Investigation -
If the complainant does not provided sufficient information to start the investigation. the CO shall request additional information from the complainant. - Time frames -
The Complaint Officer must send an acknowledgement to the complainant and shall offer to resolve the matter through the informal resolution process.
Complaint Investigation
During the initial conversation with the complainant:
make every effort to obtain all necessary information to investigate the complaint
explain the need to maintain contact during the complaint investigation
offer to assist the complainant through the provision of appropriate W-P / WIA services; and
find out from the complainant what relief is sought.
The Determination Letter
1. 2. 3. 4.
Write in a manner that is clear, concise, and easy to understand;
List issues accepted for review and list any findings;
Include conclusions (determination) regarding issues accepted based on findings, and
Include Right to Appeal information (with contact information).
Processing OSCC-Related Complaint
Determine jurisdiction / type of complaint and:
1. Attempt informal resolution.
If OSCC service related, work with OSCC management to address allegations.
If involves Discrimination, take complaint and forward to EO or State EO officer.
If involves more than one OSCC, elevate to state level Complaints alleging criminal fraud, waste, abuse or other
criminal activity under WIA must be reported immediately to the Department of Labor’s Office of Inspector General
NOTE: Follow timeframes MSFW / Non-MSFW / Discrimination
Processing a Non-OSCC-Related Complaint
If complaint is from a non-MSFW:
Enter the complaint information in the Complaint Log. Provide the appropriate enforcement agency contact
information to the complainant. Include a statement that the complainant needs to
follow up with the enforcement agency and that your responsibility has ended.
Offer appropriate OSCC services. No follow-up contact is required.
Processing Non-OSCC-Related Complaints
If complaint is from a MSFW:
Complainant fills out ETA 8429, CO assist if necessary Enter the complaint information in the Complaint Log, Provide complainant with a signed copy of the
completed ETA 8429 form, Offer appropriate OSCC services, Send the ETA 8429 to the appropriate enforcement
agency and send a copy to the State Monitor Advocate, Conduct follow up as per requirements.
Processing A Complaint By Letter
Provides sufficient information and the letter is signed by the complainant
Does not give sufficient information
Is signed by an attorney representing the complainant
Treats the letter as a formal complaint, notifies complainant of action taken and initiates informal resolution process or refers to appropriate agency for resolution.
Requests additional information (follow time frames)
If it provides sufficient information, it can be processed. If it lacks information request additional information ( follow time frames)
The Director / Complaint OfficerIf the complaint…
Local Resolution Unsuccessful
If you are not waiting for additional information from the complainant and the complaint is not resolved according to time frames(5 days MSFWs / 15 Days Non-MSFWs):
Issue a determination notice and grant appeal rights.
In your letter to the complainant, list the issues resolved and / or list any unresolved issues (if any), explain reasons / action taken and provide contact information for the appeal process.
NOTE: This applies to non-discrimination complaints
Complaints are considered resolved when
Customer indicates satisfaction with the outcome;
Complainant Chooses not to elevate the complaint to the next level
The complainant or the complainant’s authorized representative fails to respond to a written request from the local or state office, within the applicable time frame;
exhausts the final level of review; or
A final determination has been made by the enforcement agency to which the complaint was referred.
Any of the following conditions are met:
APPARENT VIOLATION
“If a OSCC employee observes, has reason to believe, or is in receipt of information regarding a suspected violation of employment related laws or JS regulations by an employer, except as provided at Sec. 653.503 (field checks) or Sec. 658.400 of this chapter (complaints), the employee shall document the suspected violation and refer this information to the local office manager.
Note: This section only applies to agriculture
Manager or designee responsibilities
Has the employer filed job order within the past 12 months?
Does it involve ES regulations or employment-related laws)?
Contact employer Attempt to achieve informal resolution within 5
Working days and document. If the attempt to resolve the matter fails, forward
to appropriate enforcement agency for resolution.
PROCESSING APPARENT VIOLATIONS
Discrimination Processing Guidelines
1. All Career Center customers are required to be notified of their right to file a complaint under the Unified Workforce Investment System Complaint Process.
1. All Career Center customers are required to be notified of their right to file a complaint under the Unified Workforce Investment System Complaint Process.
2. All Discrimination Complaints must be filed within 180 days of
the alleged act (s) of discrimination. This complaint can be filed at
either the local level or with the USDOL CRC in Washington, D.C.
2. All Discrimination Complaints must be filed within 180 days of
the alleged act (s) of discrimination. This complaint can be filed at
either the local level or with the USDOL CRC in Washington, D.C.
3. If a customer alerts a OSCC that he or she (or they) want to file a
discrimination complaint, steps should be taken to connect the
complainant with the local Complaint / Equal Opportunity Officer
3. If a customer alerts a OSCC that he or she (or they) want to file a
discrimination complaint, steps should be taken to connect the
complainant with the local Complaint / Equal Opportunity Officer
One or more individuals, alleging discrimination against another group or individual. have been subjected to discrimination, file this type of complaint.
Individual Complaint
This is an individual alleging that they
have been subjected to discrimination.
Class Action Complaint Third Party Complaint
This is a complaint filed by one or more
individuals. This action is not only on behalf of themselves, but also on
behalf of a group of similarly situated
individuals. In order to file this complaint, the complainant must be part of the affected
class.
TYPES OF COMPLAINTS
Discrimination Complaint v. Program Complaint
Discrimination Complaint
Program Complaint
Elements included
Is the issue a prohibited basis
Is the issue a non-prohibited basis
Procedures to follow
CRC regulations at 29 CFR 37
ETA regulations at 20 CFR Subpart F, Sec. 667.600 [a][b]
Who may file a complaint…
Any person, their authorized representative or any specific class
of individuals, who alleges that they have been or are being subjected to discrimination
prohibited under WIA
Complaint / EO Officer shall…
Personally meet with the complainant (s) in an area of the office that ensures confidentiality.
At this meeting, the Complaint / EO Officer should conduct a preliminary interview and gather the following information:
Complainant’s address and means for contacting him or her. Basis of complaint. Detailed description of allegation. Date of last alleged event of discrimination. Program area representative (s) against whom complaint is
being filed (respondent). Location of program area.
During the initial conversation with the complainant:
1 2 3 4
Make every effort to obtain all necessary information to investigate the complaint
Offer to assist the complainant through the provision of appropriate WIA services; and
Explain the need to maintain contact during the complaint investigation
Find out from the complainant what relief is sought.
Time Frame for Filing a Complaint
FillingFilling After NFAAfter NFA If no NFAIf no NFA
Within 180 days of the alleged discrimination
SWA resolution Process must be completed within 90 days
If the complainant is dissatisfied with
the resolution, He / she may file a
new complaint with CRC within
30 days
the complainant may file a new complaint with CRC within 30 days of the expiration of the 90-day period
Day 1 Within 90180 days
Alleged violation takes place.
C / EO investigates and / or uses ADR.
If dissatisfied with resolution or if ADR terms violated, files new
complaint - CRC.
Complaint is filed, C / EO offers ADR, if not used, starts investigation.
1. C / EO documents ADR resolution, If ADR fails orif investigation is completed,
2. Notice of Final Action is issued.
CRC conducts investigation if complaint filed.
TIMELINES FOR RESOLUTION
All complaints must be filed within 180 days of the alleged discrimination unless CRC (not the State or LWIA) has extended the filing time for good cause.
Day 90 Day 30 After 120
Respondent is a WIA Recipient / Grantee
Complaint has been filed within the 180-day time period, or the Director of CRC has granted an extension - waiver
The complaint issue is covered under Section 188 of WIA
Determining Jurisdiction
EO must send the complainant a Written Notice of Lack of Jurisdiction including:
The reason(s) for the determination
Notice that the complainant has a right to file a complaint with CRC within 30 days of receiving the Written Notice of Lack of Jurisdiction
If no jurisdiction…
Compliant received at OSCC
If jurisdiction, determineDiscrimination / Program
If no jurisdiction…Issue Notice
Acknowledgment Letter Mailed out
Offer mediation - ADR
Review & Evaluate
Case Closed
Determine Jurisdiction If information needed, received
Initial Handling – WIA Complaints
Case ClosedIf ADR not accepted,
proceed to investigate
If information needed, not received…
Steps to follow…
Step 1Step 1 Step 2Step 2 Step 3Step 3
OSCC provides information about the complaint system.
Determine if customer wishes to file locally or directly with CRC (MCAD)
Customer must file within 180 days of the alleged act of discrimination.
If customer wishes to file locally (must be written)
Complaint / EO officer shall meet with the complainant & conduct a preliminary review (basis) of complaint to determine jurisdiction.
If no jurisdiction is determine then notice is sent in writing informing customer they have 30 days to file with CRC
Steps to follow…
Step 4Step 4 Step 5Step 5 Step 6Step 6
If jurisdiction is determined an acknowledgement letter is sent informing customer of 15 days fact finding, offer of alternate dispute resolution (ADR) a Notice of Final action (NFA) to be issued within 90 days of the complaint
If Complaint / EO officer fails to issue the NFA within 90 days the complainant has the right to file complaint with CRC.
DOL issues determination within 120 days
NOTICE OF FINAL ACTION - ELEMENTS
Write in a manner that is clear, concise, and easilyunderstandable:
Statement of jurisdiction; Issues accepted; Findings of fact Legal standard (statute, laws, regulations, etc.); Application of legal standard to facts; Conclusions with regard to issues accepted for
investigation; and Notice of right to file a complaint with the U.S.
Department of Labor’s Civil Rights Center.
Due Process Guarantees
Agencies receiving and processing complaints are required to provide notice to all parties who have a legitimate interest in the complaint.
Decisions should be made strictly on the basis of evidence gathered.
Regulations require that an “impartial” decision-maker investigate and process complaints.
Record Retention Requirements
1. Maintain all complaint records for a period of 3 yearsin a safe and secured location (Confidentiality Policy).
1. Maintain all complaint records for a period of 3 yearsin a safe and secured location (Confidentiality Policy).
2 Complaint Officers must maintain files for all complaints, including discrimination and any non-OSCC related complaints taken from MSFWs.
2 Complaint Officers must maintain files for all complaints, including discrimination and any non-OSCC related complaints taken from MSFWs.
3. Complaint logs and all complaint files must be retained forthree (3) years period from the date of resolution, and thendestroyed.
3. Complaint logs and all complaint files must be retained forthree (3) years period from the date of resolution, and thendestroyed.
REQUIRED POSTERS
Reporting Requirements
Due Date
1st Quarter October 15
2nd Quarter January 15
3rd Quarter April 15
4th Quarter July 15
Complaint Logs are due to
the SMA quarterly (no
later than the 15th day
following the end of the
quarter):
E-mail complaints logs to:
José V. Ocasio,
State Monitor Advocate
at:
Remember….
There shall be a Complaint / EO
officer or back-up available, in
each local office, during regular
office hours to take complaints
or assist customer file
complaints.
Federal regulations specify the
following:
"The identity of the complainant (s) and any persons who furnish information relating to or assisting in, an investigation of a complaint shall be kept confidential to the maximum extent possible, consistent with applicable law and a fair determination of the complaint.“
Forms
The Policy Issuance and all forms associated to the complaint system can be accessed by going to the www.massworkforce.org website. Click on “Issuances”, and then click on “2011 Issuances” under the “Policy Issuances” heading. Look for WIA Communication 11-27 - Unified Workforce Investment System Complaint Process, Revision II
Form ETA 8429 - http://massworkforce.org/_uploads/iss/1127F.doc Complaint Log - http://massworkforce.org/_uploads/iss/1127C.xls Form DL 1-2014a - http://massworkforce.org/_uploads/iss/1127H.pdf
Where to Send
Direct appeals / hearings requests to:
Department of Career Services
19 Staniford Street, 1st Floor
Boston, MA 02114
Attn. Alice Sweeney
Technical Assistance
The regulations pertaining to
the complaint system, at times,
can be complex and it is not
possible to cover every aspect
in a limited amount of time.
This presentation is intended to
provide basic information to
help you become familiar with
DCS policy and Procedures for
handling complaints.
Alice Sweeney, Director Special
Initiatives & Customer Accountability
E-mail: [email protected]
Tel: (617) 626-5587
José V. Ocasio, State Monitor
Advocate
E-mail: [email protected]
Tel: (617) 626-5587
Rex Gerlach-Brown, Acting Director,
Office of Diversity and Equal
Opportunity ADA / 504 Coordinator
E-mail: [email protected]
Tel: (617) 626-5138