Subpart F—Grievance Procedures,Complaints, and State AppealsProcesses
§ 683.600 What local area, State, and directrecipient grievance procedures must beestablished?
(a) Each local area, State, outlyingarea, and direct recipient of funds undertitle I of WIOA, except for Job Corps,must establish and maintain aprocedure for participants and otherinterested parties to file grievances andcomplaints alleging violations of therequirements of title I of WIOA,according to the requirements of thissection. The grievance procedurerequirements applicable to Job Corps areset forth at §§ 686.960 and 686.965 ofthis chapter.
(b) Each local area, State, and directrecipient must:
(1) Provide information about thecontent of the grievance and complaintprocedures required by this section toparticipants and other interested partiesaffected by the local workforcedevelopment system, including one-stoppartners and service providers;
(2) Require that every entity to whichit awards title I funds provide theinformation referred to in paragraph(b)(1) of this section to participantsreceiving title I-funded services fromsuch entities; and
(3) Must make reasonable efforts toassure that the information referred to inparagraph (b)(1) of this section will beunderstood by affected participants andother individuals, including youth andthose who are limited-English speakingindividuals. Such efforts must complywith the language requirements of 29CFR 37.35 regarding the provision ofservices and information in languagesother than English.
(c) Local area procedures mustprovide:
(1) A process for dealing withgrievances and complaints fromparticipants and other interested partiesaffected by the local workforcedevelopment system, including one-stoppartners and service providers;
(2) An opportunity for an informalresolution and a hearing to becompleted within 60 days of the filingof the grievance or complaint;
(3) A process which allows anindividual alleging a labor standardsviolation to submit the grievance to abinding arbitration procedure, if acollective bargaining agreementcovering the parties to the grievance soprovides; and
(4) An opportunity for a local levelappeal to a State entity when:
(i) No decision is reached within 60days; or
(ii) Either party is dissatisfied withthe local hearing decision.
(d) State procedures must provide:
(1) A process for dealing withgrievances and complaints fromparticipants and other interested partiesaffected by the statewide WorkforceInvestment programs;
(2) A process for resolving appealsmade under paragraph (c)(4) of thissection;
(3) A process for remandinggrievances and complaints related to thelocal Workforce Innovation andOpportunity Act programs to the localarea grievance process; and
(4) An opportunity for an informalresolution and a hearing to becompleted within 60 days of the filingof the grievance or complaint; and
(5) An opportunity for appeal to theSecretary under the circumstancesdescribed in § 683.610(a).
(e) Procedures of direct recipientsmust provide:
(1) A process for dealing withgrievance and complaints fromparticipants and other interested partiesaffected by the recipient’s WorkforceInnovation and Opportunity Actprograms; and
(2) An opportunity for an informalresolution and a hearing to becompleted within 60 days of the filingof the grievance or complaint.
(f) The remedies that may be imposedunder local, State, and direct recipientgrievance procedures are enumerated atWIOA sec. 181(c)(3).
(g)
(1) The provisions of this sectionon grievance procedures do not apply todiscrimination complaints broughtunder WIOA sec. 188 and/or 29 CFRpart 38. Such complaints must behandled in accordance with theprocedures set forth in that regulatorypart.
(2) Questions about or complaintsalleging a violation of thenondiscrimination provisions of WIOAsec. 188 may be directed or mailed tothe Director, Civil Rights Center, U.S.Department of Labor, Room N4123, 200Constitution Avenue NW., Washington,DC 20210, for processing.
(h) Nothing in this subpart precludesa grievant or complainant from pursuinga remedy authorized under anotherFederal, State, or local law.
§ 683.610 What processes does theSecretary use to review grievances andcomplaints of Workforce Innovation andOpportunity Act title I recipients?
(a) The Secretary investigatesallegations arising through the grievanceprocedures described in § 683.600when:
(1) A decision on a grievance orcomplaint under § 683.600(d) has notbeen reached within 60 days of receiptof the grievance or complaint or within60 days of receipt of the request forappeal of a local level grievance andeither party appeals to the Secretary; or
(2) A decision on a grievance orcomplaint under § 683.600(d) has beenreached and the party to which suchdecision is adverse appeals to theSecretary.
(b) The Secretary must make a finaldecision on an appeal under paragraph(a) of this section no later than 120 daysafter receiving the appeal.
(c) Appeals made under paragraph(a)(2) of this section must be filedwithin 60 days of the receipt of thedecision being appealed. Appeals madeunder paragraph (a)(1) of this sectionmust be filed within 120 days of thefiling of the grievance with the State, orthe filing of the appeal of a localgrievance with the State. All appealsmust be submitted by certified mail,return receipt requested, to theSecretary, U.S. Department of Labor,200 Constitution Ave. NW.,Washington, DC 20210, Attention:
ASET. A copy of the appeal must besimultaneously provided to theappropriate ETA RegionalAdministrator and the opposing party.
(d) Except for complaints arisingunder WIOA sec. 184(f) or sec. 188,grievances or complaints made directlyto the Secretary will be referred to theappropriate State or local area forresolution in accordance with thissection, unless the Department notifiesthe parties that the Department of Laborwill investigate the grievance under theprocedures at § 683.430. Discriminationcomplaints brought under WIOA sec.184(f) or sec. 188 or 29 CFR part 38 willbe referred to the Director of the Civil
Rights Center.
(e) Complaints and grievances fromparticipants receiving services under the Wagner-Peyser Act will follow theprocedures outlined at part 658 of thischapter.
§ 683.620 How are complaints and reportsof criminal fraud and abuse addressedunder the Workforce Innovation andOpportunity Act?
(a) Information and complaintsinvolving criminal fraud, waste, abuseor other criminal activity must bereported immediately through theDepartment’s Incident Reporting Systemto the Department of Labor Office ofInspector General, Office ofInvestigations, Room S5514, 200Constitution Avenue NW., Washington,DC 20210, or to the correspondingRegional Inspector General forInvestigations, with a copysimultaneously provided to theEmployment and TrainingAdministration. The Hotline number is1–800–347–3756. The Web site is
(b) Complaints of a non-criminalnature may be handled under theprocedures set forth in § 683.600 orthrough the Department’s IncidentReporting System.
§ 683.630 What additional appealprocesses or systems must a State have forthe Workforce Innovation and OpportunityAct program?
(a) Non-designation of local areas:
(1) The State must establish, andinclude in its State Plan, due processprocedures which provide expeditiousappeal to the State WDB for a unit ofgeneral local government (including acombination of such units) or grantrecipient that requests, but is notgranted, initial or subsequentdesignation of an area as a local areaunder WIOA sec. 106(b)(2) or 106(b)(3)and § 679.250 of this chapter.
(2) These procedures must provide anopportunity for a hearing and prescribeappropriate time limits to ensureprompt resolution of the appeal.
(3) If the appeal to the State WDBdoes not result in designation, theappellant may request review by theSecretary under § 683.640.
(b) Denial or termination of eligibilityas a training provider:
(1) A State must establish procedureswhich allow providers of trainingservices the opportunity to appeal:
(i) Denial of eligibility by a LocalWDB or the designated State agencyunder WIOA sec. 122(b), 122(c), or122(d).
(ii) Termination of eligibility or otheraction by a Local WDB or State agencyunder WIOA sec. 122(f); or
(iii) Denial of eligibility as a providerof on-the-job training (OJT) orcustomized training by a one-stopoperator under WIOA sec. 122(h).
(2) Such procedures must provide anopportunity for a hearing and prescribeappropriate time limits to ensureprompt resolution of the appeal.
(3) A decision under this State appealprocess may not be appealed to theSecretary.
(c) Testing and sanctioning for use ofcontrolled substances.
(1) A State must establish due processprocedures, in accordance with WIOAsec. 181(f), which provide expeditiousappeal for:
(i) Participants in programs under titleI, subtitle B of WIOA subject to testingfor use of controlled substances,imposed under a State policyestablished under WIOA sec. 181(f)(1);and
(ii) Participants in programs undertitle I, subtitle B of WIOA who aresanctioned, in accordance with WIOAsec. 181(f)(2), after testing positive forthe use of controlled substances, underthe policy described in paragraph(c)(1)(i) of this section.
(2) A decision under this State appealprocess may not be appealed to theSecretary.
§ 683.640 What procedures apply to theappeals of non-designation of local areas?
(a) A unit of general local government(including a combination of such units)or grant recipient whose appeal of thedenial of a request for initial orsubsequent designation as a local area tothe State WDB has not resulted in suchdesignation, may appeal the StateWDB’s denial to the Secretary.
(b) Appeals made under paragraph (a)of this section must be filed no laterthan 30 days after receipt of writtennotification of the denial from the StateWDB, and must be submitted bycertified mail, return receipt requested,to the Secretary, U.S. Department ofLabor, 200 Constitution Ave. NW.,Washington, DC 20210, Attention:ASET. A copy of the appeal must besimultaneously provided to the StateWDB.
(c) The appellant must establish thatit was not accorded procedural rightsunder the appeal process set forth in theState Plan, or establish that it meets therequirements for designation in WIOAsec. 106(b)(2) or 106(b)(3) and § 679.250of this chapter.
(d) If the Secretary determines that theappellant has met its burden ofestablishing that it was not accordedprocedural rights under the appealprocess set forth in the State Plan, orthat it meets the requirements fordesignation in WIOA sec. 106(b)(2) or
106(b)(3) and § 679.250 of this chapter,the Secretary may require that the areabe designated as a local area. In makingthis determination, the Secretary mayconsider any comments submitted bythe State WDB in response to the appealmade under paragraph (a) of thissection.
(e) The Secretary must issue a writtendecision to the Governor and theappellant.
§ 683.650 What procedures apply to theappeals of the Governor’s imposition ofsanctions for substantial violations orperformance failures by a local area?
(a) A local area which has been foundin substantial violation of WIOA title I,and has received notice from theGovernor that either all or part of thelocal plan will be revoked or that areorganization will occur, may appealsuch sanctions to the Secretary underWIOA sec. 184(b). The appeal must befiled no later than 30 days after receiptof written notification of the revokedplan or imposed reorganization.
(b) The sanctions described inparagraph (a) of this section do notbecome effective until:
(1) The time for appeal has expired;or
(2) The Secretary has issued thedecision described in paragraph (e) ofthis section.
(c) A local area which has failed tomeet local performance indicators for 3consecutive program years, and hasreceived the Governor’s notice of intentto impose a reorganization plan, mayappeal to the Governor to rescind orrevise such plan, in accordance with§ 677.225 of this chapter.
(d) Appeals to the Secretary madeunder paragraph (a) of this section mustbe submitted by certified mail, returnreceipt requested, to the Secretary, U.S.Department of Labor, 200 ConstitutionAve. NW., Washington, DC 20210,Attention: ASET. A copy of the appealmust be simultaneously provided to theGovernor.
(e) The Secretary will notify theGovernor and the appellant in writing ofthe Secretary’s decision underparagraph (a) of this section within 45days after receipt of the appeal. Inmaking this determination, theSecretary may consider any commentssubmitted by the Governor in responseto the appeals.
Subpart A–D—[Reserved]
Subpart E—Employment Service andEmployment-Related Law ComplaintSystem (Complaint System)
§ 658.400 Purpose and scope of subpart.
(a) This subpart sets forth theregulations governing the ComplaintSystem for the Wagner-Peyser ActEmployment Service (ES) at the Stateand Federal levels. Specifically, theComplaint System handles complaintsagainst an employer about the specificjob to which the applicant was referredthrough the ES and complaintsinvolving the failure to comply with theES regulations under parts 651, 652,653, and 654 of this chapter and thispart. As noted in § 658.411(d)(6), thissubpart only covers ES-relatedcomplaints made within 2 years of thealleged violation.
(b) Any complaints alleging violationsunder the Unemployment Insuranceprogram, under Workforce Innovationand Opportunity Act (WIOA) title Iprograms, or complaints by veteransalleging employer violations of themandatory listing requirements under38 U.S.C. 4212 are not covered by thissubpart and must be referred to theappropriate administering agency whichwould follow the procedures set forth inthe respective regulations.
(c) The Complaint System alsoaccepts, refers, and, under certaincircumstances, tracks complaintsinvolving employment-related laws asdefined in § 651.10 of this chapter.
(d) A complainant may designate anindividual to act as his/herrepresentative.
Complaints Filed at the Local and StateLevel
§ 658.410 Establishment of local and Statecomplaint systems.
(a) Each State Workforce Agency(SWA) must establish and maintain aComplaint System pursuant to thissubpart.
(b) The State Administrator must haveoverall responsibility for the operationof the Complaint System. At the ESoffice level the manager must beresponsible for the operation of theComplaint System.
(c) SWAs must ensure centralizedcontrol procedures are established forthe processing of complaints. Themanager of the ES office and the SWAAdministrator must ensure a centralcomplaint log is maintained, listing allcomplaints taken by the ES office or theSWA, and specifying for eachcomplaint:
(1) The name of the complainant;
(2) The name of the respondent(employer or State agency);
(3) The date the complaint is filed;
(4) Whether the complaint is by or onbehalf of a migrant and seasonalfarmworker (MSFW);
(5) Whether the complaint concernsan employment-related law or the ESregulations; and
(6) The action taken and whether thecomplaint has been resolved.
(d) State agencies must ensureinformation pertaining to the use of theComplaint System is publicized, whichmust include, but is not limited to, theprominent display of an Employmentand Training Administration (ETA)-approved Complaint System poster ineach one-stop center.
(e) Each one-stop center must ensurethere is appropriate staff availableduring regular office hours to takecomplaints.
(f) Complaints may be accepted in anyone-stop center, or by a State WorkforceAgency, or elsewhere by an outreachworker.
(g) All complaints filed through thelocal ES office must be handled by atrained Complaint Systemrepresentative.
(h) All complaints received by a SWAmust be assigned to a State agencyofficial designated by the StateAdministrator, provided that the Stateagency official designated to handleMSFW complaints must be the StateMonitor Advocate (SMA).
(i) State agencies must ensure anyaction taken by the Complaint Systemrepresentative, including referral on acomplaint from an MSFW is fullydocumented containing all relevantinformation, including a notation of thetype of each complaint pursuant toDepartment guidance, a copy of theoriginal complaint form, a copy of anyES-related reports, any relevantcorrespondence, a list of actions taken,a record of pertinent telephone calls andall correspondence relating thereto.
(j) Within 1 month after the end of thecalendar quarter, the ES office managermust transmit an electronic copy of thequarterly Complaint System logdescribed in paragraph (c) of thissection to the SMA. These logs must bemade available to the Department uponrequest.
(k) The appropriate SWA or ES officerepresentative handling a complaintmust offer to assist the complainantthrough the provision of appropriateservices.
(l) The State Administrator mustestablish a referral system for caseswhere a complaint is filed alleging aviolation that occurred in the same Statebut through a different ES office.
(m) Follow-up on unresolvedcomplaints. When a complaint issubmitted or referred to a SWA, theComplaint System representative (wherethe complainant is an MSFW, theComplaint System representative will bethe SMA), must follow-up monthlyregarding MSFW complaints, and mustinform the complainant of the status ofthe complaint. No follow-up with thecomplainant is required for non-MSFWcomplaints.
(n) When a complainant is an EnglishLanguage Learner (ELL), all writtencorrespondence with the complainantunder part 658, subpart E must includea translation into the complainant’snative language.
(o) A complainant may designate anindividual to act as his/herrepresentative throughout the filing andprocessing of a complaint.
§ 658.411 Action on complaints.
(a) Filing complaints.
(1) Whenever anindividual indicates an interest in filinga complaint under this subpart with an
ES office or SWA representative, or anoutreach worker, the individualreceiving the complaint must offer toexplain the operation of the ComplaintSystem and must offer to take thecomplaint in writing.
(2) During the initial discussion withthe complainant, the staff taking thecomplaint must:
(i) Make every effort to obtain all theinformation he/she perceives to benecessary to investigate the complaint;
(ii) Request that the complainantindicate all of the physical addresses,email, and telephone numbers throughwhich he/she might be contacted duringthe investigation of the complaint; and
(iii) Request that the complainantcontact the Complaint Systemrepresentative before leaving the area ifpossible, and explain the need tomaintain contact during theinvestigation.
(3) The staff must ensure thecomplainant (or his/her representative)submits the complaint on theComplaint/Referral Form or anothercomplaint form prescribed or approvedby the Department or submits complaintinformation which satisfies paragraph(a)(4) of this section. The Complaint/Referral Form must be used for allcomplaints, including complaints aboutunlawful discrimination, except asprovided in paragraph (a)(4) of thissection. The staff must offer to assist thecomplainant in filling out the form andsubmitting all necessary information,and must do so if the complainantdesires such assistance. If thecomplainant also represents severalother complainants, all suchcomplainants must be named. Thecomplainant, or his/her representative,must sign the completed form in writingor electronically. The identity of thecomplainant(s) and any persons whofurnish information relating to, orassisting in, an investigation of acomplaint must be kept confidential tothe maximum extent possible,consistent with applicable law and a fairdetermination of the complaint. A copyof the completed complaint submissionmust be given to the complainant(s),and the complaint form must be givento the appropriate Complaint Systemrepresentative described in § 658.410(g).
(4) Any complaint in a reasonableform (letter or email) which is signed bythe complainant, or his/herrepresentative, and includes sufficientinformation to initiate an investigationmust be treated as if it were a properlycompleted Complaint/Referral Formfiled in person. A letter (via hard copyor email) confirming the complaint wasreceived must be sent to thecomplainant and the document must besent to the appropriate ComplaintSystem representative. The ComplaintSystem representative must requestadditional information from thecomplainant if the complainant has notprovided sufficient information toinvestigate the matter expeditiously.
(b) Complaints regarding anemployment-related law.
(1) When acomplaint is filed regarding anemployment-related law with a ESoffice or a SWA the office mustdetermine if the complainant is anMSFW.
(i) If the complainant is a non-MSFW,the office must immediately refer thecomplainant to the appropriateenforcement agency, another publicagency, a legal aid organization, and/ora consumer advocate organization, asappropriate, for assistance. Uponcompleting the referral the local or Staterepresentative is not required to follow-upwith the complainant.
(ii) If the complainant is a MSFW, theES office or SWA Complaint Systemrepresentative must:
(A) Take from the MSFW or his/herrepresentative, in writing (hard copy orelectronic), the complaint(s) describingthe alleged violation(s) of theemployment-related law(s); and
(B) Attempt to resolve the issueinformally at the local level, except incases where the complaint wassubmitted to the SWA and the SMAdetermines that he/she must takeimmediate action and except in caseswhere informal resolution at the locallevel would be detrimental to thecomplainant(s). In cases where informalresolution at the local level would bedetrimental to the complainant(s), theComplaint System Representative orSMA (depending on where thecomplaint was filed) must immediatelyrefer the complaint to the appropriateenforcement agency. Concurrently, theComplaint System representative mustoffer to refer the MSFW to otheremployment services should the MSFWbe interested.