UNIFIED WORKFORCE INVESTMENT SYSTEM
COMPLAINT PROCESS
Company
LOGO
Learning Objectives…
Explain the general requirements for complaint processing
procedures.
Inform complainants of their rights and the appropriate
process in filing complaints.
Distinguish between discrimination complaints and
program complaints.
Define how the OSCCs comply with Complaint
Processing Procedures
Overview of the Complaint System
The Unified Workforce Investment System Complaint
process provides customers with a formal mechanism
to file complaints about the services or treatment that
they received through the Massachusetts One-Stop
Career Center system or to make employment related
complaints about the terms and conditions of
employment offered at the workplace.
Why do we have a Complaint System?
20 CFR, Ch. V, §
667.600 - §
667.640
Title I Activities
20 CFR Ch. V, §
658.400 - §
658.426
Title III (W-P)
Activities
WIA sec. 188
and 29 CFR 37
Discrimination
Complaints
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
Director
SICA
State
Monitor
Advocate
Director
of
Diversity
OSCC
Director
NOT APPLICABLE TO THE UNIFIED COMPLAINT
SYSTEM
The following type of complaints can not be accepted for
processing:
 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.
How do You Know When a Customer Has a Complaint
Indicators of potential complaints:
1
I didn’t get
Paid
correctly,
2
It is not fair
that my
training
request
was not
approved
3
I wasn’t
referred to a
job opening
that I
believed
I was
qualified for,
4
The job I had
(or you sent
me to)
wasn’t safe,
Filing a complaint
In person
A complainant
comes into an
OSCC to file the
complaint, or
By Letter
SWA / OSCC
receives a written
complaint signed
by the complainant
includes sufficient
information for
complaint officer to
initiate the
investigation.
On the field
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.
Write in a
manner that
is clear,
concise, and
easy to
understand;
2.
List issues
accepted
for review
and list any
findings;
3.
Include
conclusions
(determination)
regarding
issues accepted
based on
findings, and
4.
Include Right
to Appeal
information
(with contact
information).
Processing OSCC-Related Complaint
Determine jurisdiction / type of complaint and:
Attempt informal resolution.
1.




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
If the complaint…
The Director / Complaint Officer
 Provides sufficient information and
the letter is signed by 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.
 Does not give sufficient
information
 Requests additional information
(follow time frames)
 Is signed by an attorney
representing the complainant
 If it provides sufficient information,
it can be processed. If it lacks
information request additional
information ( follow time frames)
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
Any of the following conditions are met:
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.
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
PROCESSING APPARENT VIOLATIONS
Manager or designee responsibilities
 Has the employer filed job order within the past
12 months?
 Does it involve ES regulations or employmentrelated 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.
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.
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
TYPES OF COMPLAINTS
This is an individual
alleging that they
have been subjected
to discrimination.
Individual 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.
One or more
individuals, alleging
discrimination
against another
group or individual.
have been
subjected to
discrimination, file
this type of
complaint.
Class Action Complaint
Third Party Complaint
Discrimination Complaint v. Program Complaint
Discrimination
Complaint
Program
Complaint
Elements
included
Is the issue a
prohibited basis
Is the issue a nonprohibited 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
Make every
effort to
obtain all
necessary
information to
investigate
the complaint
2
Explain the
need to
maintain
contact
during the
complaint
investigation
3
Offer to assist
the
complainant
through the
provision of
appropriate
WIA services;
and
4
Find out
from the
complainant
what relief is
sought.
Time Frame for Filing a Complaint
Filling
Within 180
days of the
alleged
discrimination
SWA resolution
Process must
be completed
within 90 days
After NFA
If no NFA
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
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.
C / EO investigates
and / or uses ADR.
Alleged violation
takes place.
180 days
If dissatisfied with
resolution or if
ADR terms
violated, files new
complaint - CRC.
Day 1
Complaint is filed,
C / EO offers ADR,
if not used, starts
investigation.
Within 90
Day 90
1. C / EO documents
ADR resolution,
If ADR fails or
if investigation is
completed,
2. Notice of Final
Action is issued.
Day 30
After 120
CRC conducts
investigation if
complaint filed.
Determining Jurisdiction



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
If no 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
Initial Handling – WIA Complaints
Compliant
received at OSCC
Review & Evaluate
Determine Jurisdiction
If jurisdiction, determine
Discrimination / Program
If no jurisdiction…
Issue Notice
If information needed,
not received…
Case Closed
Case Closed
If information needed, received
Acknowledgment
Letter Mailed out
Offer mediation - ADR
If ADR not accepted,
proceed to investigate
Steps to follow…
Step 1
OSCC provides
information about the
complaint system.
Step 2
If customer wishes to
file locally (must be
written)
Complaint / EO officer
Determine if customer
shall meet with the
wishes to file locally or
directly with CRC (MCAD) complainant &
conduct a preliminary
Customer must file within review (basis) of
180 days of the alleged act complaint to
of discrimination.
determine jurisdiction.
Step 3
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 4
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
Step 5
If Complaint / EO
officer fails to issue
the NFA within 90
days the complainant
has the right to file
complaint with CRC.
Step 6
DOL issues
determination
within 120 days
NOTICE OF FINAL ACTION - ELEMENTS
Write in a manner that is clear, concise, and easily
understandable:
 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” decisionmaker investigate and process complaints.
Record Retention Requirements
1. Maintain all complaint records for a period of 3 years
in 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.
3. Complaint logs and all complaint files must be retained for
three (3) years period from the date of resolution, and then
destroyed.
REQUIRED POSTERS
Reporting Requirements
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:
jocasio@detma.org
Due Date
1st Quarter
October 15
2nd Quarter
January 15
3rd Quarter
April 15
4th Quarter
July 15
Remember….
Federal regulations specify the
following:
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.
"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: asweeney@detma.org
Tel: (617) 626-5587
José V. Ocasio, State Monitor
Advocate
E-mail: jocasio@detma.org
Tel: (617) 626-5587
Rex Gerlach-Brown, Acting Director,
Office of Diversity and Equal
Opportunity ADA / 504 Coordinator
E-mail: RGerlach-Brown@detma.org
Tel: (617) 626-5138