Complaint Procedures

ELEMENT 8: Complaint Processing Procedures
[29 CFR Part 37; 37.70 through 37.879]

Background:

The Complaint Processing policy is intended to ensure the Missouri One-Stop system implements procedures in compliance with guidelines provided by the Director, Civil Rights Center, U.S. Department of Labor (USDOL) regarding the nondiscrimination and equal opportunity provisions of the Workforce Investment Act (WIA) of 1998; 29 CFR Part 37.  Section 188 of Title I of WIA prohibits discrimination on the basis of race, color, religion, sex, national origin, age, political affiliation or belief; and against any beneficiary of programs financially assisted under Title I of the Workforce Invest Act of 1998 (WIA) or the basis of the beneficiary’s citizenship/status as a lawfully admitted immigrant authorized to work in the United States or his or her participation in any WIA Title I-financially assisted program or activity.  

Each Local Workforce Investment Area (LWIA) has designated a Local Equal Opportunity (EO) Officer who is responsible for ensuring the complaint processing procedures are made available and followed. All recipients will follow the established complaint processing procedures.

A copy of the Complaint and Grievance Guide for the Missouri One-Stop System is provided to each customer and made a part of each customer’s file, per the regulation. As described in the Complaint and Grievance Guide, anyone may file a formal (written and signed) discrimination complaint with the State Division of Workforce Development or the Civil Rights Center (CRC), U. S. Department of Labor. 

Initial Review of Written Complaints

Written complaints that allege discrimination on the aforementioned bases may be filed at the state or local level, or with the Civil Rights Center either by the complainant or an authorized representative. The local level includes One-Stop operators and service providers. 

When a person wishes to file a discrimination complaint, the recipient will provide him or her with the appropriate form, DWD-101, Discrimination Complaint and Information Form. The procedures for processing the complaint are also provided to the complainant.  The Local EO Officer is responsible for providing local coordination of discrimination complaints by determining whether the complaints are covered by 29 CFR Part 37 and promptly conferring with the State EO Officer.   

A written complaint must include: 1) the complainant’s name and address; 2) the identity of the individual or entity that the complainant alleges is responsible for the discrimination; 3) a description of the complainant’s allegations in enough detail to allow an initial determination of jurisdiction, timeliness and the apparent merit of the complaint; and 4) the complainant’s signature or the signature of the complainant’s authorized representative.     

Record Keeping

Records must be maintained for all complaints and related actions for a period of three years from the date of closure of the complaint and must be made available to the Civil Rights Center, U.S. Department of Labor upon request. All complaints must be logged. Upon receipt of a complaint, the EO Officer will log the complaint. The log will include the name and address of the complainant, the basis for the complaint, a description of the complaint, the disposition and date of the disposition of the complaint and any other pertinent information.  Local complaint logs will be submitted to the State EO Officer on a quarterly basis.  Information that could lead to the identity of the person filing the complaint must be kept confidential, where possible. 

Jurisdiction of the Discrimination Complaint  

In order to have jurisdiction to process the discrimination complaint, the respondent against whom the complaint is filed must be a WIA recipient, the complaint must allege a basis for discrimination that is prohibited by WIA and the complaint must be filed in writing within 180 calendar days of the alleged violation.

1.      Joint (Dual) Jurisdiction- Where the complaint alleges discrimination by an entity that operates a program or activity financially assisted by a Federal grant-making agency other than USDOL, but that participates as a partner in a One-Stop delivery system, the following apply:

• Where the complaint alleges discrimination on a basis that is prohibited both by Section 188 of WIA and by a civil rights law enforced by the federal grant-making agency, i.e., Department of Education, the complaint will be referred to the grant-making agency for processing.      

2.      Sole Jurisdiction- Where the complaint alleges discrimination on a basis that is prohibited by Section 188 of WIA, but not by any civil rights laws enforced by the Federal grant-making agency, then CRC has sole jurisdiction over the complaint and for this purpose, the State EO Officer will retain the complaint for processing.  (Such bases include political affiliation or belief, citizenship and/or participation in a WIA Title-I financially assisted program or activity and religion.) 

Formal Resolution

The State EO Officer will send all written notices/correspondence to complainants regarding the discrimination complaints received within the One-Stop delivery system. Within ten (10) working days of receiving a complaint, an initial written notice will be sent to the complainant. The notice must list issues raised in the complaint and state for each issue whether it has been accepted for investigation or rejected and the reason for rejection. The notice must also advise the complainant his/her right to be represented by an attorney or other person of the complainant’s choice and the notice must provide the complainant the right to choose an Alternative Dispute Resolution (ADR) process. A Mediation Election form will be sent to the complainant as documentation of notice of the mediation request. 

Alternative Dispute Resolution: Mediation Process

Mediation is offered as an alternative means of resolving the discrimination complaint that allows the parties to avoid the traditional investigative or litigation process. The choice whether to use ADR or not, rests with the complainant. In mediation, a neutral third party trained in dispute resolution listens to both the complainant and respondent and then encourages them to reach a voluntary, negotiated settlement of the charges of discrimination. This process gives the parties a chance to discuss the issues raised in the complaint, resolve any misunderstandings, find areas of agreement and incorporate those areas of agreement into solutions. The mediation process should be completed within (45) calendar days from the date the complaint was filed. When mediation fails to result in an agreement or when the agreement is breached, the complainant will be advised of his/her right to file a complaint with CRC; however, the State EO Officer will continue with the investigative process. 

Notice of Final Action 

When jurisdiction exists, the State EO Officer will conduct a fact-finding investigation of the complaint and will issue a written decision called a Notice of Final Action regarding whether or not there exists reasonable cause to believe a violation of a nondiscrimination law has occurred.  This notice must be issued within (90) days of the date on which the complaint is filed.  The Notice of Final Action will identify each issue raised in the complaint and contain a determination on each issue and an explanation of the reasons underlying each determination.   

When the complaint is resolved by mediation, a copy of the mediation agreement will be attached to the Notice of Final Action.  This notice will include the complainant’s right to file a complaint with CRC within (30) days of the date on which the Notice of Final Action is issued, in the event the complainant is dissatisfied with the final action on the complaint. The State EO Officer will review complaint data on a routine basis and provide technical assistance to the Local WIA EO Officers in the complaint process. 

Intimidation and Retaliation Prohibited

A complainant has a right to file a charge of discrimination, have an inquiry conducted, have witnesses participate in the process and obtain a determination as to whether or not discrimination occurred.  A respondent is prohibited by law from retaliating against an individual because he or she has either:

• Filed a complaint;
• Opposed a practice prohibited by the nondiscrimination and equal opportunity provisions of the WIA;
• Furnished information to or assisted in any manner in an investigation, review or hearing or any other activity related to the administration of nondiscrimination and equal opportunity provisions of WIA. 

Any person who believes a respondent has violated this prohibition may file a complaint alleging retaliation.  Retaliation is a separate complaint and respondent can be found guilty of retaliation even when there is no finding of discrimination on the underlying complaint.   

Incomplete Complaints

When a complaint does not contain sufficient information to determine jurisdiction, a request of the complainant to provide the necessary information will occur.  Within five (5) working days of receiving the complaint from the complainant, a notice to the complainant in writing requesting further information needed to process the complaint, will be sent.  When reasonable efforts to contact the complainant are unsuccessful or when the complainant does not respond within the time specified in the request the recipient may close the complainant’s file without prejudice.  Without prejudice means the complainant may resubmit the complaint as long as it is filed within the 180 day deadline. When the file is closed for lack of required information, a written notice of closure is sent to the complainant’s last known address. In the event the complainant later submits the missing information after the file has been closed, the complaint may be reopened provided it has not been more that 180 days since the date of the alleged discriminatory action. The complaint will be logged as received on the date the file is reopened and the 90 calendar day resolution period will commence with the later date. 

Complaints Not Based on Discrimination

A written policy on complaint resolution for complaints not based on discrimination may be found in the Complaint and Grievance Guide, DWD-100.   When a complaint is not based on discrimination but on program or customer service issues, process the complaint in accordance with local policies and procedures as described in form DWD-100.   

Documentation
Attachments for Element 8

Complaint Processing Procedures

VIII-A  Complaint Procedures

VIII-B  Discrimination Complaint and Information Form DWD-101

VIII-C  Discrimination Complaint Log

VIII-D Standard Notices

VIII-E  Mediation Election Form

VIII-F  Complaint and Grievance Guide DWD-100; Complaint and Grievance Guide-Spanish (DWD-100-S)