1 Complaint Processing Procedures

2 Laws Applicable to USDOL Financial Assistance Recipients  Title VI of the Civil Rights Act of 1964, as amended  Race, color, national origin  Section 504 of the Rehabilitation Act of 1973, as amended  Disability  Title II Subpart A of the Americans with Disabilities Act of 1990, as amended (ADA)  Disability  Title IX of the Education Amendments Act of 1972, as amended  Sex  Age Discrimination Act of 1975, as amended  Any age  Section 188 of the Workforce Investment Act  Race, color, national origin, sex, religion, disability, political affiliation or belief, age, and for (beneficiaries only citizenship or participation in any WIA Title I program or activity  All of the above laws  Retaliation/ Reprisal

3 Who is a Recipient? All entities that receive Federal financial assistance from the Department of Labor, either directly or indirectly, through a grant, contract or subcontract are considered recipients.

4 Who is a Recipient? Primary Recipients are Governors

5 Federal Financial Assistance  Grants and loans of Federal funds;  Grants or donations of Federal property; and  Details of Federal personnel.

6 A List of Recipients  State-level agencies that administer, or are financed, in whole or in part with, WIA Title I funds  State Employment Security Agencies  State Unemployment Insurance Agencies  State and local Workforce Investment Boards  Local Workforce Investment Areas grant recipients

7 A List of Recipients  One-Stop operators  Service providers, including eligible training providers  On-the-Job Training (OJT) employers  Job Corps contractors and center operators  Outreach and admissions agencies, including Job Corps contractors that perform these functions

8 Laws Applicable to Recipients of DOL Financial Assistance

9 Title VI of the Civil Rights Act of 1964 Prohibits discrimination based on:  Race  Color  National Origin 29 CFR Part 31

10 Section 504 of the Rehabilitation Act of 1973 Prohibits discrimination based on:  Disability  Failure to provide reasonable accommodations 29 CFR Part 32

11 Title II of the Americans with Disabilities Act Prohibits discrimination based on:  Disability and failure to accommodate State & local government entities State & local government entities (Recently Amended (ADAAA)) 28 CFR 35

12 Title IX of the Education Amendments Act of 1972 Prohibits discrimination based on:  Sex 20 U.S.C. Sections

13 Age Discrimination Act of 1975 Prohibits discrimination based on:  Age Any Age Any Age 29 CFR Part 35

14 Workforce Investment Act (WIA) of 1998 Section 188 All Programs and Activities offered BY or THROUGH One Stop Partners All Programs and Activities offered BY or THROUGH One Stop Partners Doesn’t matter if program/activity is not labeled as “WIA” or physically located in One-Stop Center Doesn’t matter if program/activity is not labeled as “WIA” or physically located in One-Stop Center 29 CFR Part 37

15 Section 188 of the Workforce Investment Act of 1998 Prohibits discrimination based on: -Race -Disability -Color -Religion -Sex-Age -National -Political Origin Affiliation

16 Section 188 of the Workforce Investment Act of 1998 Prohibits discrimination based on:  Citizenship  Participation in any WIA program or activity For Beneficiaries Only

17 All of the Laws Prohibit Retaliation for having participated in the complaint process

18 Complaint Processing Requirements

19 Complaint Processing Requirements  Each state must adopt and publish procedures for processing complaints alleging discrimination against any WIA recipient  The Governor, LWIA, and the EO Officers are responsible for developing and publishing complaint processing procedures 29 CFR and 29 CFR 37.25(d)

20 Complaint Processing Requirements  The EO Officer is responsible for ensuring that recipients follow procedures for processing discrimination complaints under 29 CFR – CFR (d) 29 CFR (d)

21 Complaint Processing Requirements Complaint Processing must be accessible to all customers:  With disabilities  Who are limited English proficient (LEP) all vital forms and correspondence all vital forms and correspondence

22 Complaint Processing Requirements  The procedures must provide the complainant with the option to file with the Recipient or directly with CRC 29 CFR 37.71

23 The Complaint

24 Filing A Complaint  Who May File a Complaint  Types of Complaints  Information Required for Complaint  Acceptable Formats  Time Frames for Filing

25 Who May File A Complaint Any person, or any specific class of individuals, who alleges that they have been or are being subjected to discrimination prohibited under WIA 29 CFR 37.70

26 Who May File - Examples  Applicant/registrant for aid, benefits, services, or training  Participants  Employees  Applicants for employment  Eligible service providers

27 Types of Complaints  Individual – Complaint filed by one person  Class Action – Complaint filed by one or more similarly situated individuals on behalf of himself/herself or others  Third Party – Complaint filed by an individual, advocacy group or a group on the behalf of others

28 Information Required  Complainant’s name, address, or another means of contacting the complainant  Identity of respondent (individual or entity alleged to have discriminated) 29 CFR CFR 37.73

29 Information Required  Allegations described in sufficient detail to determine whether:  Complaint falls under CRC’s or the Recipient’s jurisdiction  Filed within 180 days of the most recent occurrence  Complaint has apparent merit  Signature of the complainant or their authorized representative

30 Acceptable Formats  Any document that includes the required information (i.e. written letter)  Complaint form developed by the state  Complaint Information Form (CIF) developed by the CRC 29 CFR 37.74

31 Time Frame for Filing  Must be filed within 180 days of the alleged discrimination  Only the Director of CRC can grant an extension of the 180-day filing period for good cause shown by the complainant 29 CFR 37.72

32 Recipient Complaint Processing

33 Recipient Complaint Processing  Evaluating Complaints  Processing Jurisdictional Complaints  Complaints Against One-Stop Partners  Time Frames  Jurisdiction  Record Keeping Requirements

34 Evaluating Complaints Discrimination vs. Program  WIA complaints can be divided into two categories  Discrimination complaints, processed according to CRC regulations  Program complaints, processed according to ETA regulations

35 Evaluating Complaints Discrimination vs. Program Discrimination Complaint Discrimination Complaint Program Complaint Program Complaint Elements -An issue -A prohibited basis (i.e. race, color, disability, etc.) -An Issue -A non- prohibited basis Procedures CRC regulations at 29 CFR 37 ETA regulations at 20 CFR Subpart F, Sec [a][b]

36 Evaluating Complaints Determining Jurisdiction  Respondent is a WIA Recipient  The complaint basis is covered under WIA/CRC Regulations  Complaint has been filed within the 180- day time period, or the Director of CRC has granted an extension

37 Evaluating Complaints No Jurisdiction  Recipient must send the complainant a written notice of lack of jurisdiction  Reason(s) for the determination  Notice of right to file a complaint with CRC within 30 days of receiving written notice of lack of jurisdiction

38 Complaints Against One-Stop Partners

39 Who is a One-Stop Partner? Other federal grant making agencies that participate as partners in a one-stop delivery system

40 Examples of One-Stop Partners Department of Education Department of Education Department of Health and Human Services Department of Health and Human Services Department of Housing and Urban Development Department of Housing and Urban Development Department of Agriculture Department of Agriculture Department of Transportation Department of Transportation

41 Handling Complaints Against One-Stop Partners  Laws enforced by One-Stop partners:  Title VI  Title IX  Section 504 of the Rehabilitation Act  Title II of the ADA  Age Discrimination Act  One-Stop partners are also subject to the non- discrimination provisions of WIA Section 188

42 Handling Complaints Filed Against One-Stop Partners  Sole Jurisdiction Processed by CRC: The basis of the complaint is only covered by WIA (i.e. political affiliation, citizenship, status as a WIA participant)  Joint Jurisdiction Processed by grant- making agencies: The basis of the complaint is covered by laws enforced by both CRC and the Partners

43 Joint Jurisdiction  Refer the complaint to the Federal grant- making agency’s National Civil Rights office to be processed in accordance with the agency’s complaint investigation procedures

44 Required Elements Processing Jurisdictional Complaints

45 Due Process Elements  Notice to all parties  Impartial decision-maker  Rights of each party:  Right to representation  Right to present evidence  Decision made strictly on the recorded evidence

46 Jurisdictional Complaints  Initial written notice  Written statement of issues  Process for fact-finding  Alternative Dispute Resolution process  Written Notice of Final Action 29 CFR 37.76

47 Initial Written Notice  Acknowledgment of the written complaint  Notice to the complainant of his or her right to be represented in the complaint process  Notice to the complainant of his or her right to file with CRC after 90 days or after receipt of final action (within 30 days)

48 Written Statement of Issues  List of the issues raised in the complaint  Statement whether the issues are accepted or rejected for investigation with explanations

49 Process for Investigation or Fact-Finding  An investigation of the issues through fact-finding  Develop procedures for process of investigating

50 Alternative Dispute Resolution Process (Mediation Process)  Choice for the complainant to use ADR or the traditional process  Provision for any party to file a complaint with the CRC Director if ADR agreement is breached

51 Written Notice of Final Action  The decision and explanation (investigation or fact-finding) or a description of the resolution (ADR).  A notice stating that if the complainant is dissatisfied with the resolution of the complaint, he or she has the right to file a complaint with CRC within 30 days

52 Recipient Timeframes

53 Timeframe Requirements  State’s 90-day Processing timeframe  Complainant’s 30-day timeframe for filing with CRC  Extension of complainant’s 30-day timeframe to file with CRC

54 State’s 90-day Processing Timeframe  Issue a written notice of lack of jurisdiction  Refer the complainant to another federal grant-making agency for investigation where there is joint jurisdiction  Issue a written notice of final action

55 Complainant’s 30-Day Timeframe to File with CRC  State issues a written notice of lack of jurisdiction  State fails to issue either a written notice of lack of jurisdiction, a written notice of final action, or to refer to another federal grant- making agency within the 90-day timeframe  An ADR process fails to produce an agreement  An agreement is breached

56 Extension of Complainant’s 30-Day Timeframe CRC Director may extend the complainant’s 30-day timeframe if the complainant can show good cause.

57 Record-Keeping Requirements  Name and address of the complainant  Bases in the complaint  Description of the complaint  Date when the compliant was filed  Disposition of the complaint and the date the disposition was issued  Other pertinent information

58 Record-Keeping Requirements Record maintenance period Records regarding complaints and actions taken on the complaints must be maintained for a period of not less than three (3) years from the date of resolution of the complaint Records regarding complaints and actions taken on the complaints must be maintained for a period of not less than three (3) years from the date of resolution of the complaint 29 CFR 37.39(b)

59 CRC Compliance Assistance CRC is always available to help  CRC Main Page (202) (202)  Toolkit for New EO Officers  Regulations Enforced by CRC

60 Office External Enforcement Staff Julia Mankata-Tamakloe - Chief  Bill Adams  Carlton Brown  Clarice Crutchfield  Lorraine Dawson  Denise Delhotal  James Hobgood  Adoria Johnson  Margo McDaniel  Margaret Montoya  Judy Ragland  Linda Ramseur