Section 2610.110 Complaint Procedures

Section 2610

Section 2610.110  Complaint

Procedures

Grievance procedures shall be

established in accordance with Section 144 of the Act, and 20 CFR 629.52 -

629.53 (revised as of April 1, 1990). These procedures will be referred to as

"Complaint Procedures".

a)         Grantees under the Act shall maintain a complaint procedure

for resolution of any grievance or complaint about its programs and services

from applicants, participants, subgrantees, subcontractors, staff and other

interested persons.

b)         All persons who are program applicants, participants or staff under

the Job Training Partnership Act (JTPA), all contractors and grantees, and

subrecipients thereof, of JTPA funds, and all interested persons shall be

afforded the opportunity to resolve, by means of an administrative process, any

alleged violation of the Act, federal regulations promulgated pursuant thereto,

any grant, contract or other agreement entered into pursuant to the Act.

Various types of complaints, as outlined in subsections (b)(1), (2), and (3),

may be filed.  Time limits are measured in calendar weeks (seven consecutive

days).  A time limit begins when the person responsible for a specific step

receives the necessary information regarding the complaint.  Time limits have

been established to ensure both expeditious resolution of complaints, and to

provide the necessary time for adequate review of all appropriate material.

Should an aggrieved person(s) or entity neglect to adhere to the time

requirements set throughout this procedure, the aggrieved party(ies) are

considered to have abandoned their complaint and the matter shall be considered

resolved.  In turn, failure by management to render a decision within the

allotted time at any step constitutes denial and the complainant may proceed to

the next step

l.

Should an aggrieved person(s) or entity neglect to adhere to the time

requirements set throughout this procedure, the aggrieved party(ies) are

considered to have abandoned their complaint and the matter shall be considered

resolved.  In turn, failure by management to render a decision within the

allotted time at any step constitutes denial and the complainant may proceed to

the next step.

1)         Civil Rights Complaints – If a complaint concerns civil rights

discrimination on the basis of race, color, national origin, age, sex,

religion, political affiliation or belief, or, as appropriate, citizenship, as

defined by Section 2610.120(b)(1), the complaint shall be filed with the U.S.

Department of Labor (DOL), Directorate of Civil Rights (DCR) (200 Constitution

Avenue, N.W., Room N4123, Washington, D.C. 20210) under the appropriate equal

opportunity and nondiscrimination requirements applicable to the Act.

Complaints must be filed not later than one hundred eighty (180) days from the

date of alleged discrimination.  In complaints of this nature, no entity shall

attempt to prevent or dissuade the complainant from filing such a complaint and

no attempt shall be made to informally resolve the complaint (29 CFR 31.7,

revised as of July 1, 1989).

2)         Handicap Complaints – If, however, a complaint alleges

discrimination on the basis of handicap, as defined by Section 2610.120(b)(3)

and (6), the complaint shall be filed with the Department.  Complaints alleging

discrimination on the ground of handicap in violation of Section 167 of the Act

shall be filed and processed under the procedures outlined in the DOL's current

regulations implementing Section 504 of the Rehabilitation Act of 1973 at 29

CFR 32.45 (revised as of July 1, 1989).  Complaints filed with the Department

must be filed no later than one hundred eighty (180) days from the date of

alleged discrimination

the ground of handicap in violation of Section 167 of the Act

shall be filed and processed under the procedures outlined in the DOL's current

regulations implementing Section 504 of the Rehabilitation Act of 1973 at 29

CFR 32.45 (revised as of July 1, 1989).  Complaints filed with the Department

must be filed no later than one hundred eighty (180) days from the date of

alleged discrimination.  If the complaint is not ameliorated to the

complainant's satisfaction under the state's complaint procedure within sixty

(60) days from the date of filing, the complainant, or his or her

representative, may request to have the complaint independently reviewed

through an independent state review.  An Independent State Review is a process

in which testimony, hearing documents, and other applicable records are

reviewed by an Independent Review Officer when an appeal is made after the

State level hearing. The Independent Review Officer shall be an attorney

licensed to practice law in Illinois under Article VII of the Illinois Supreme

Court Rules. In complaints of this nature, no entity shall attempt to prevent

or dissuade the complainant from filing such a complaint.

3)         Other Complaints – Complaints of any other nature, not related

to civil rights discrimination or handicap discrimination, shall be filed at

the local level within one year of that alleged occurrence (see Section 144(a)

of the Act). However, this one-year limitation does not apply if the complaint

concerns fraud or criminal activity, which must be reported directly and

immediately to the DOL (20 CFR 629.55, revised as of April 1, 1990)

nature, not related

to civil rights discrimination or handicap discrimination, shall be filed at

the local level within one year of that alleged occurrence (see Section 144(a)

of the Act). However, this one-year limitation does not apply if the complaint

concerns fraud or criminal activity, which must be reported directly and

immediately to the DOL (20 CFR 629.55, revised as of April 1, 1990). All

persons who are program applicants, participants and staff under JTPA, all

contractors and grantees, and subrecipients thereof, of JTPA funds, and all

interested persons shall be afforded the opportunity to resolve by means of

administrative process any alleged violation of the Act, federal regulations

promulgated pursuant thereto, any grant, contract or other agreement entered

into pursuant to the Act.

c)         Complainants shall not be punished or penalized for the filing

of a complaint under JTPA. The Department and the DOL shall not disclose the

identity of any person who has furnished information or assistance in the

investigation of a JTPA violation except to the extent necessary to carry out

the purposes of 29 CFR 31, including the conduct of any investigation, hearing,

or judicial proceeding arising thereunder, nor may any person or organization

or agency discharge or in any way discriminate or retaliate against any person

for the filing of a complaint or the rendering of testimony in any proceeding

or investigation (Section 164(g) of the Act).

d)         Informal Resolution – Nothing in the state or federal statute

or regulations precludes the use of informal mechanisms for the resolution of

all complaints and prospective complaints under subsections (b)(2) and (3).

Complainants shall be encouraged, but not required, to informally resolve

complaints

dering of testimony in any proceeding

or investigation (Section 164(g) of the Act).

d)         Informal Resolution – Nothing in the state or federal statute

or regulations precludes the use of informal mechanisms for the resolution of

all complaints and prospective complaints under subsections (b)(2) and (3).

Complainants shall be encouraged, but not required, to informally resolve

complaints.

1)         Applicants, participants, subgrantees, subcontractors, staff

and other interested persons, hereto referred to as the complainant, shall

first provide oral or written notification to the Grant Recipient's or

Administrative Entity's Equal Opportunity Officer (EO Officer) when filing a

complaint. Complainants shall be advised of their right to have the complaint

resolved, either informally or through a formal written complaint.

2)         Upon receipt of a complaint, the EO Officer will log,

investigate and review the allegation prior to a pre-hearing conference so that

an appropriate resolution can take place at the time of the meeting.

3)         Prior to the commencement of investigation, pre-hearing

conference, or hearing activities conducted by the SDA/SSA, attempts shall be

made to resolve a complaint with the involved supervisor, instructor, and

employer's/training agency's complaint procedures.  A complaint shall not be

considered formally lodged with the SDA/SSA until these mediation efforts have

been exhausted or when the complainant notifies the SDA/SSA that he or she will

not be using the informal resolution process.

4)         This pre-hearing conference shall be held within five (5) days

from the date of receipt of the complaint.  If no resolution occurs at the

pre-hearing conference, the EO Officer shall forward to the complainant and

other involved parties a report outlining his/her decision on the issues within

five (5) days of the pre-hearing conference

not be using the informal resolution process.

4)         This pre-hearing conference shall be held within five (5) days

from the date of receipt of the complaint.  If no resolution occurs at the

pre-hearing conference, the EO Officer shall forward to the complainant and

other involved parties a report outlining his/her decision on the issues within

five (5) days of the pre-hearing conference.  The complainant has five (5) days

following receipt of the findings of the pre-hearing conference in which to

file a written request for a formal hearing.

e)         Formal Resolution.

1)         Formal complaints may be filed for the types of complaints

outlined in subsections (b)(2) (at the state level) and (3) (at the local

level).  A formal complaint shall be filed by submitting the State of Illinois

Job Training Partnership Act Complaint Form.  Upon request, the EO Officer of

the Grant Recipient or Administrative Entity shall assist the complainant in

filing a written complaint.

2)         The complaint form shall include the following information:

A)        grantee's name and address;

B)        complainant's name, address, work and home phone numbers;

C)        JTPA office (service provider);

D)        status of complainant (i.e., employee, applicant, participant,

other);

E)        name and telephone number of organization represented;

F)         respondent's name, address, and telephone number;

G)        status of respondent (i.e., service provider, SDA

administrative entity, SDA grant recipient, private employer, PIC);

H)        nature of complaint alleged (i.e., sexual harassment, handicap,

JTPA law, JTPA regulation, JTPA related, non-JTPA related (specify), race,

color, sex, age, religion, national origin, political affiliation or belief,

citizenship);

I)         type of program (i.e., IB, IIA, IIB, III, other (specify));

J)         whether a charge has been filed with:  the Illinois Department

of Rehabilitation Services, the Illinois Department of Human Rights, the U.S

andicap,

JTPA law, JTPA regulation, JTPA related, non-JTPA related (specify), race,

color, sex, age, religion, national origin, political affiliation or belief,

citizenship);

I)         type of program (i.e., IB, IIA, IIB, III, other (specify));

J)         whether a charge has been filed with:  the Illinois Department

of Rehabilitation Services, the Illinois Department of Human Rights, the U.S.

DOL/DCR, and/or the U.S. Equal Employment Opportunity Commission;

K)        date(s), time(s) and place(s) alleged violation occurred;

L)        date and manner in which the complaint was presented to

immediate supervisor (oral/written);

M)       dated signature of immediate supervisor acknowledging discussion

of complaint;

N)        whether an attempt has been made to resolve the complaint;

O)        facts concerning alleged complaint, including:  pertinent

dates; names and titles of those involved; details of how person(s) were

treated differently from complainant; written documentation/material to support

complaint; provisions of the Act, regulations, grant, contract, or other

agreements under the Act believed to have been violated;

P)         remedy sought by complainant; and

Q)        dated signatures of complainant, JTPA EO Officer, and Executive

Director.

f)         Hearing Activities.

1)         Request for a Hearing at the Local Level – Upon receipt of the

written request, the SDA/SSA shall appoint an impartial Hearing Officer to hear

the complaint.  All Hearing Officers shall possess knowledge and information

regarding the JTPA rules and applicable laws and shall be selected on the basis

that current oversight responsibility does not include that of the SDA/SSA. The

Hearing Officer shall schedule a hearing to convene within thirty (30) calendar

days of receipt of a written complaint.  Written notification shall be sent by

the Hearing Officer to all parties stating the date, time and place of the

formal hearing and the issues to be heard

laws and shall be selected on the basis

that current oversight responsibility does not include that of the SDA/SSA. The

Hearing Officer shall schedule a hearing to convene within thirty (30) calendar

days of receipt of a written complaint.  Written notification shall be sent by

the Hearing Officer to all parties stating the date, time and place of the

formal hearing and the issues to be heard.  A follow-up notice shall be sent to

all parties five (5) days prior to the date the hearing is scheduled to confirm

the appointment.

2)         Request for a Hearing at the State Level – Upon receipt of the

written request, the Department shall appoint an impartial Hearing Officer to

hear the complaint.  All Hearing Officers shall possess knowledge and

information regarding the JTPA rules and applicable laws.  Hearing Officers

appointed by the Department shall be attorneys licensed to practice law in

Illinois under Article VII of the Illinois Supreme Court Rules.  The Hearing

Officer appointed shall conduct the hearing on the issue(s) and render an

independent decision.  The Hearing Officer shall schedule a hearing to convene

within thirty (30) calendar days of receipt of a written complaint.  Written

notification shall be sent by the Hearing Officer to all parties stating the

date, time and place of the formal hearing and the issues to be heard.  A

follow-up notice shall be sent to all parties five (5) days prior to the date

the hearing is scheduled to confirm the appointment.

3)         Conduct of Hearing

A)        Complainants and respondents shall make every effort possible

to be present at the hearing. However, if they are unable to be present, a

forty-eight (48) hour prior written notice must be given to the Hearing

Officer

ard.  A

follow-up notice shall be sent to all parties five (5) days prior to the date

the hearing is scheduled to confirm the appointment.

3)         Conduct of Hearing

A)        Complainants and respondents shall make every effort possible

to be present at the hearing. However, if they are unable to be present, a

forty-eight (48) hour prior written notice must be given to the Hearing

Officer.  In the event circumstances arise prior to the hearing which, in the

opinion of the Hearing Officer, are such as to be beyond the reasonable control

of the complainant or respondent and prevent their attendance at the hearing,

the Hearing Officer shall reschedule the proceedings.  Examples of factors

beyond reasonable control may include but are not limited to:

i)          Serious illness of the complainant or respondent or member of

their immediate family.

ii)         Hazardous weather restricting travel to the hearing site.

B)        If the Hearing Officer determines that the complainant's or

respondent's failure to attend the hearing is not beyond his or her reasonable

control, the hearing shall be held in his or her absence.  The rules of

evidence for contested cases, set forth in Section 10-40 of the Illinois

Administrative Procedure Act (Ill. Rev. Stat. 1991, ch. 127, par. 1010-40),

shall be followed in connection with each hearing.  All parties involved shall

have the right to be accompanied by an attorney or other duly authorized

representative; and the right of presenting any witness(es) or to introduce any

evidence desired, subject to the approval of the Hearing Officer.  The

complainant shall be permitted access to SDA/SSA files which would be germane

to the complainant's allegations. Complainants may be questioned and may also

question any of the parties or witnesses at the hearing

ttorney or other duly authorized

representative; and the right of presenting any witness(es) or to introduce any

evidence desired, subject to the approval of the Hearing Officer.  The

complainant shall be permitted access to SDA/SSA files which would be germane

to the complainant's allegations. Complainants may be questioned and may also

question any of the parties or witnesses at the hearing.

4)         Hearing Officer's Decision - A written decision shall be

prepared and distributed by the Hearing Officer to the complainant and all

parties who attended the hearing within sixty (60) days of the filing of the

complaint.  The conclusions or opinions of the decision shall be based upon

facts and evidence presented during the hearing.  The decision of the Hearing

Officer shall contain a statement of the issues; synopsis of facts; a statement

of reasons for the decision; remedies; and an aggrieved party's right to appeal

the decision.  All correspondence shall be mailed certified with a return

receipt requested.

g)         Appeal of the Decision.

1)         Appeal of Decision When Complaint is Filed at Local Level

A)        If an aggrieved party is not satisfied with the decision of the

Hearing Officer, or the decision is not received within sixty (60) days of

filing the complaint, an aggrieved party may request a Department review of the

complaint.  Appeals shall be addressed to the Department's Equal Employment

Opportunity/Affirmative Action (EEO/AA) Office.  Upon submittal to the

Department, all supporting documentation shall be attached to all appeals.  An

appeal shall be filed within ten (10) days of receipt of the adverse decision

or ten (10) days from the date on which the decision should have been received

from the Hearing Officer

Appeals shall be addressed to the Department's Equal Employment

Opportunity/Affirmative Action (EEO/AA) Office.  Upon submittal to the

Department, all supporting documentation shall be attached to all appeals.  An

appeal shall be filed within ten (10) days of receipt of the adverse decision

or ten (10) days from the date on which the decision should have been received

from the Hearing Officer.  Appeals shall be submitted on the State of Illinois

Job Training Partnership Act Appeal Form and shall contain the following

information:  complainant's name and address; respondent's name and address;

nature of complaint; remedy sought; and answers to questions which address the

following areas:  informal resolution, request for hearing, conduct of hearing,

Hearing Officer's decision, appeal of decision, dated signature of aggrieved

party.

B)        If an aggrieved party does not appeal to the Department or the

appeal is not timely made, the decision of the Hearing Officer shall be

considered final.  The Department's Legal Office shall be responsible for

determining whether the complaint being appealed is a complaint filed pursuant

to Section 144(a) of the Act or is an appeal based on civil rights

discrimination.  If the Legal Office determines that the complaint being

appealed concerns discrimination on the basis of race, color, national origin,

age, sex, religion, political affiliation or belief, or, as appropriate,

citizenship, the aggrieved parties shall be advised to file their appeal

directly with the DCR of the DOL under the appropriate equal opportunity and

nondiscrimination requirements applicable to the Act.  The Department shall

conduct a review of all other types of complaints and issue a decision within

thirty (30) days from the date of receipt of the appeal request.  The decision

rendered by the Department's Legal Office (on behalf of the Governor) shall be

final

directly with the DCR of the DOL under the appropriate equal opportunity and

nondiscrimination requirements applicable to the Act.  The Department shall

conduct a review of all other types of complaints and issue a decision within

thirty (30) days from the date of receipt of the appeal request.  The decision

rendered by the Department's Legal Office (on behalf of the Governor) shall be

final.

C)        If the Department fails to issue a decision within thirty (30)

days from the date of receipt of the appeal, an aggrieved party may request a

determination from the Secretary of the U.S. DOL (Secretary), where reasonable

cause exists to believe that the Act or regulations have been violated.  The

request for a determination shall be submitted to the Secretary within ten (10)

days of the date on which the Department's decision should have been issued. In

accordance with 20 CFR 629.52(d)(2) (revised as of April 1, 1990), the

Secretary shall act within ninety (90) days and, as appropriate, direct the

Department to take further action pursuant to state and local procedures, where

there is reasonable cause to believe the Act or regulations have been violated.

2)         Appeal of Decision When Complaint is Initially Filed at State

Level

A)        If an aggrieved party is not satisfied with the decision of the

Hearing Officer, or the decision is not received within sixty (60) days of

filing the complaint, an aggrieved party may request to have the complaint

independently reviewed.  The Department shall provide for the Independent State

Review by an Independent Review Officer.  If an aggrieved party files an

appeal, all supporting documentation shall be attached to the appeal.

B)        The appeal shall be filed within ten (10) days of receipt of

the adverse decision or ten (10) days from the date on which the decision

should have been received from the Hearing Officer

.  The Department shall provide for the Independent State

Review by an Independent Review Officer.  If an aggrieved party files an

appeal, all supporting documentation shall be attached to the appeal.

B)        The appeal shall be filed within ten (10) days of receipt of

the adverse decision or ten (10) days from the date on which the decision

should have been received from the Hearing Officer.  If an aggrieved party does

not appeal under the independent review process or the appeal is not timely

made, the decision of the Hearing Officer (on behalf of the Governor) shall be

final.  A decision based on the Independent State Review shall be issued within

thirty (30) days from the date of receipt of the complaint appeal request.  The

decision rendered by the Independent Review Officer (on behalf of the Governor)

shall be final.

C)        If the Independent Review Officer fails to issue a decision

within thirty (30) days from the date of receipt of the appeal, an aggrieved

party may request a determination from the Secretary as to whether there is

reasonable cause to believe that the Act or regulations have been violated.

The request for a determination shall be submitted to the Secretary within ten

(10) days of the date on which the Independent Review Officer's decision should

have been issued.  In accordance with 20 CFR 629.52(d)(2) (revised as of April

1, 1990) of the JTPA regulations, the Secretary shall act within ninety (90)

days and, as appropriate, direct the Department to take further action pursuant

to state and local procedures, where there is reasonable cause to believe the

Act or regulations have been violated.