Date of Issue:

June 8, 2007
Office of Issue:
AWI FG 00-004 rev06/08/07
Reference:
WFI/AWI and RWB Grievance/Complaint and
Hearing/Appeal Procedures

FINAL GUIDANCE
Grievance/Complaint And Hearing/Appeal Procedures Under The
Workforce Investment Act (WIA), Trade Adjustment Assistance (TAA),
Temporary Assistance for Needy Families (TANF) and Welfare
Transition (WT), Food Stamp Employment And Training (FSET) And
Wagner-Peyser (WP) Programs

OF INTEREST TO
Workforce Florida, Inc., all Regional Workforce Boards (RWBs), and other entities
engaged in implementing workforce programs under the Workforce Investment Act
(WIA), the Trade Adjustment Assistance (TAA) Program, Temporary Assistance for
Needy Families (TANF) and Welfare Transition Program (WT), Food Stamp
Employment and Training (FSET) Program and the Wagner-Peyser Program.

SUBJECT
Workforce Programs Grievance/Complaint and Hearing/Appeal Procedures.

EFFECTIVE DATE
Upon Issuance.

A. WIA, TAA, TANF/WT, AND FSET, GRIEVANCE/ COMPLAINT AND

HEARING/APPEAL PROCEDURES

Background - Underlying State/Federal Policy

The WIA, TANF/WT and the FSET programs require the State, the local areas, and
direct recipients of program funds to establish and maintain grievance/complaint and
hearing/appeal procedures for handling program-related complaints. The
grievance/complaint requirements may vary from program to program.

To simplify instructions and to have a unified format, the following grievance/complaint

and hearing/appeal procedures will be essentially the same for WIA, TAA, FSET, and
TANF/WT workforce programs.

An equal opportunity employer/program. Auxiliary aids and services are available upon request to
individuals with disabilities. All voice telephone numbers on this document may be reached by persons
using TTY/TDD equipment via the Florida Relay Service at 711.

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I. Regional Workforce System Original Grievance/Complaint and Hearing/Appeal
Process

a. Filing Grievance/Complaint at the Local Level

1. Any participant or other interested party adversely affected by a decision or action by

the local workforce system, including decisions by career center partners and
service partners, has the right to file a grievance/complaint with the RWB, with the
exception of complaints alleging unlawful discrimination. Discrimination complaints
must be filed in accordance with the Agency of Workforce Innovation Discrimination-
Complaint Procedures. The discrimination complaint procedures are available on
line at: www.floridajobs.org/civilrights/moa/tabs/8-A-1.doc .

2. TANF/WT work activity and support services grievances/complaints shall be filed

with the local RWB (work activity is defined in Chapter 445, Florida Statutes).
Pursuant to 45 CFR 261.56(c)(2) the local RWB will inform customers of and provide
a fair hearing regarding non-compliance with work requirements. TANF cash
assistance eligibility or benefit entitlement grievances/complaints shall be filed with
the local Department of Children and Families (DCF) office, the cognizant agency
responsible for administering this part of TANF (20 CFR 662.280), except for
complaints alleging unlawful discrimination.

3. Food stamp eligibility or benefit entitlement grievances/complaints shall be filed with

the local DCF office (See 7 CFR 271.6 and 273.15), except for complaints alleging
unlawful discrimination. The FSET reimbursement shall be treated as a support
service, and grievances/complaints shall be filed with the local RWB.

4. Grievance/complaints, except complaints alleging unlawful discrimination, shall be

filed at the State level only when based upon actions or decisions made by the State
recipient or administrative entity. Any grievance/complaint filed with an inappropriate
entity will be forwarded to the proper entity/agency for action. The entitys/agencys
60-day timeframe to handle the grievance will start upon receipt of
grievance/complaint.

5. A grievance may be filed by regular employees regarding displacement by a WIA,

TAA, TANF/WT, or FSET program participants and by program participants
regarding displacement for reasons other than unlawful discrimination.
Displacement action prohibitions and available relief specifications are described in
WIA (20 CFR 667.600), TANF (45 CFR 261.70), and FSET (7 CFR Parts 271 and
273).

The filing of all other grievances/complaints alleging, employment, and health and
safety violations shall be filed as described in Section I. b., Process for Filing a
Grievance/Complaint With RWB. As noted above, discrimination complaints must be
filed in accordance with the Agency for Workforce Innovation Discrimination-Complaint
Procedures.

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 All local workforce grievances/complaints shall be filed with the relevant RWB using
their established procedures. The exceptions are Job Corps grievances/complaints that
are processed according to requirements of 20 CFR 670.990.

The chart below includes WIA, TAA, FSET and TANF/WT grievances/complaints (for
reasons other than unlawful discrimination) or hearing/appeal actions that may be filed
with the RWB, AWI acting as the administrative entity for the State Board, or U. S.
Department of Labor (USDOL).

WIA, TAA, FSET, AND TANF/WT HEARING/APPEALS CHART

Local State Federal

Hearing/Appeal Issue Hearing/ Hearing/ Hearing/Appeal
Appeal Appeal
DENIAL OR TERMINATION OF ELIGIBILITY AS A Yes Yes No
TRAINING PROVIDER (WIA AND TAA)
DENIAL OF ELIGIBILITY AS AN OJT OR Yes Yes No
CUSTOMIZED TRAINING PROVIDER BY A ONE-
STOP OPERATOR (WIA AND TAA)
RWB SUBSTANTIAL VIOLATION No Yes Yes
(WIA )
RWB PERFORMANCE FAILURE/ SANCTIONS No Yes Yes
(WIA AND TAA)
PARTICIPANT SANCTIONED FOR USING Yes Yes No
CONTROLLED SUBSTANCES (WIA AND TAA)
DISPLACEMENT OF REGULAR EMPLOYEE OR Yes Yes Yes
PROGRAM PARTICIPANT (WIA, TAA, WT,
AND FSET)
SANCTION FOR NON-COMPLIANCE WITH Yes Yes No
WORK ACTIVITIES (TANF/WT, FSET)

As specified in Rule 65A-4.205, the DCF has delegated to the RWB the responsibility
for TANF/WT work activity non-compliance determinations. This rule is incorporated
herein by reference. A copy of any rule referenced in this paper may be obtained from
AWI, Office of General Counsel, 107 East Madison Street, MSC 110, Tallahassee,
Florida, 32399-4128.

Additionally, in the TANF State Plan, DCF has assigned to WFI/AWI the responsibility
for providing a grievance process for WT participants to use when filing grievances
related to the following: service delivery of TANF-funded work activities, alternative Plan
Requirements, support services, diversion programs, and other workforce functions
provided in the Workforce Innovation Act of 2000, Chapter 445, Florida Statutes.

b. Process for Filing a Grievance/Complaint with RWB

Under WIA, TAA, TANF/WT and FSET, career center partners, service providers,
participants, and other interested parties affected by the local workforce system have
the right to file a grievance/complaint.

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Grievances/complaints that do not allege unlawful discrimination shall be filed at the
local level using the procedures established by the individual RWB.

The RWB shall receive, review, and attempt to informally resolve the initial WIA, TAA,
TANF/WT, and FSET grievance/complaint. If the grievance/complaint cannot be
resolved informally, then a hearing shall be held and a decision issued within the
required 60 calendar days from receipt of complaint/grievance.

Employment, and health and safety complaints/alleged violations for reasons other than
unlawful discrimination may be forwarded to the Agency for Workforce Innovation,
Office of General Counsel, 107 East Madison Street, MSC 110, Tallahassee, Florida,
32399-4128, or may be mailed directly to the appropriate federal agency as allowed by
federal regulation. The last page of Section C has a list of addresses for federal
agencies. A copy of the complaint/alleged violation report shall also be mailed to AWI
at the above address.

c. Grievance/Complaint Review and Hearing Process at Local Level

After the RWB has received and reviewed the complaint, they shall designate a Hearing
Officer(s), schedule a hearing, and notify the grievant/complainant by certified mail,
return receipt, at a minimum of 15 calendar days prior to the hearing. The hearing
notice shall advise the following:

The date, time, and place of the hearing;

The pertinent sections of the WIA, TAA, TANF/WT, and FSET, or any other
federal regulations involved;

Affected parties may present witnesses or documentary evidence at the hearing;

Affected parties may be represented at the hearing by an attorney or other

representative; and

The parties will receive the RWB decision within 60 calendar days from receipt of
the grievance or complaint.

The hearing should be conducted according to the procedures established by the

individual RWB. However, a complainant who alleges a labor standard violation may
submit the complaint for binding arbitration if the collective bargaining agreement covers
the parties involved.

General procedures: If a hearing is conducted, the RWB should ensure that the
process, including the contents of the hearing dialogue, is transcribed or has the
potential of being transcribed. For example, the hearing can be taped for transcription
purposes. The recording/documentation of the hearing will allow for transcription if the
grievance is appealed or escalated to a higher level.

If the RWB has: 1) conducted a hearing but the grievant/complainant is dissatisfied with
or has been adversely affected by the Hearing Officers decision; 2) not conducted a

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hearing within the 60 calendar days from receipt of the grievance/complaint; or 3)
conducted the hearing but has not issued a decision within the mandated 60 calendar
day timeframe, then the grievant/complainant may file an appeal with AWI.

d. Process for Filing an Appeal of RWB Decision or Lack of Action

The appeal should be concise (if possible, not to exceed five pages not including
exhibits and attachments) and shall be sent by certified mail (return receipt), to the
Agency for Workforce Innovation, Office of General Counsel, 107 East Madison Street,
MSC 110, Tallahassee, Florida 32399-4128.

The appeal request shall state the facts, laws, procedures, etc. that the
grievant/complainant believes to be relevant for review. The appeal must be filed with
AWI within 30 calendar days of receipt of the RWB Hearing Officers decision or within
30 calendar days after the required 60-calendar day timeframe for the RWB to act has
elapsed.

The request shall include the grievants/complainants address where official notices will
be mailed.

The state can remand the grievance/complaint back to the RWB to hold a hearing or
impose other remedies to resolve the grievance/complaint.

II. State Level Original Grievance/Complaint and Hearing/Appeal Process for

WIA, TAA, TANF/WT, and FSET Programs

Any individual or entity, including the RWB, adversely affected by a decision or action of
the State Workforce System or administrative entity for reasons other than alleged
unlawful discrimination may file a grievance/complaint with the State Administrative
Agency. The grievance/complaint shall be filed with Agency for Workforce Innovation,
Office of General Counsel, 107 East Madison Street, MSC 110, Tallahassee, Florida,
32399-4128. Complaints alleging that the decision or action was based on unlawful
discrimination should be filed in accordance with the Agency for Workforce Innovation
Discrimination-Complaint Procedures.

At the state administrative entity level, the Agency Head or his/her designee is the
presiding officer and shall conduct all hearings of original state level complaints.

a. Grievance/Complaint Review and Hearing Process at State Level

The state administrative entity will hear initial complaints or grievances regarding
actions taken or decisions made by the state administrative agency for reasons other
than alleged unlawful discrimination. Upon receipt, the state shall review and attempt to
informally resolve the WIA, TAA, TANF/WT, and FSET grievance/complaint. The
Agency Head or his/her designee will review the grievance/complaint and contact the
grievant/complainant within five working days of receipt of complaint. The Agency Head
or designee shall contact the parties and proceed with the informal resolution process.

If the State cannot resolve the grievance/complaint informally, then the Agency Head or
designee will act as Presiding Officer and hear the grievance/ complaint.
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The hearing notice shall advise the following:

The date, time, and place of the hearing;

The pertinent sections of the WIA, TAA, TANF/WT, and FSET, or any other
federal regulations involved;

Affected parties may present witnesses or documentary evidence at the hearing;

Affected parties may be represented at the hearing by an attorney or other

representative; and

The parties will receive the decision within 60 calendar days from receipt of the
grievance or complaint.

The hearing shall be conducted in compliance with rules of procedure as contained in

Chapter 28-106, Parts I, II, and III, Florida Administrative Code, incorporated herein by
reference. The Presiding Officer will schedule a hearing, complete the hearing, and
issue a decision within the required 60 calendar days of receipt of complaint/grievance.

Individuals with a disability needing reasonable accommodations shall call the State
Administrative Entity Process Manager at (850) 245-7105 at a minimum of five working
days prior to the hearing and indicate what special accommodations are needed in
order to participate in the hearing.

b. Remedies

1. The remedies that may be imposed under WIA grievances/complaints (other than
those alleging unlawful discrimination) shall be limited to:

a. Suspension or termination of payments under WIA;

b. Prohibition of placement of participant with an employer that has violated any
requirement under WIA;
c. Reinstatement of an employee, payment of lost wages and benefits, and
reestablishment of other relevant terms, conditions, and privileges of
employment, where applicable.

2. Other WIA, TAA, TANF/WT, and FSET grievance/complaint remedies including

other equitable relief to be imposed as appropriate.

c. Appeal Review of RWB Hearing Officers Decision

This section shall apply to appeals of RWB decisions filed with the state administrative
entity, other than appeals alleging that the decision was based on unlawful
discrimination. The latter appeals should be filed in accordance with the Agency for
Workforce Innovation Discrimination-Complaint Procedures.

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Within five working days of receipt of appeal notice, the AWI Agency Head or his/her
designee shall notify each party that an appeal has been filed. Each party shall be
given 15 calendar days from the date of the notice to submit written argument and
provide supporting documentation. Only unaltered, verbatim transcripts of the original
hearing evidence and other proof introduced at the initial hearing will be considered for
purposes of the appeal.

The party submitting the transcript must bear all expenses of the transcription and
deliver a copy of the transcript to the Agency Head and the opposing party. If a
stenographer authorized to administer oaths has not recorded the proceedings and
prepared the transcript, an exact copy of the tape recording, video, or other recording
must also be delivered to the Agency Head and the parties, along with the transcript.
The party submitting the transcript and the recording must include a certification that the
transcript is verbatim and the recording is of the entire proceeding and has not been
altered. The Agency Head will not consider a transcript when the foregoing procedure
has not been followed.

The Agency Head or his/her designee shall issue a decision within 60 calendar days of
receipt of the appeal request.

d. Appeal of State Decision/Final Order

A grievant/complainant may file an appeal of the State decision/final order if the

grievant/complainant is dissatisfied with or has been adversely affected by the State
Hearing Officers decision for reasons other than unlawful discrimination; or the State
has not conducted a hearing; or the State has conducted the hearing, but has not
issued a decision within the mandated 60 calendar- day timeframe. The appeal must
be filed within 30 calendar days of receipt of the States decision; or after the mandated
60 calendar days has elapsed for the State to have issued a decision. The appeal shall
be filed with the following agency/entity:

WIA and TAA appeals of state decisions for reasons other than unlawful
discrimination may be filed with the USDOL using the Federal Level Appeal
Procedures included in the next section.

TANF work activity and support services appeals for reasons other than unlawful
discrimination may be filed according to Rules of Appellate Procedure, Rules 9.110
and 9.190 (b). (See next section.)

e. Judicial Review of Final Orders

The final order issued by the AWI Hearing Officer will be signed by the Hearing Officer
and dated on the day it is mailed. The period for judicial review will run from the date
the order is mailed. The final order will include a notice that provides the individual with
the opportunity for judicial review. Rules 9.110 and 9.190, Florida Rules of Appellate
Procedure, set forth the procedures for an individual to appeal a final department
(agency) decision or action.

f. Federal Level Appeal Process

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Under WIA regulations, 20 CFR Section 667.600, if the RWB or the State has not
issued a decision on a case that does not deal with allegations of unlawful
discrimination within the required 60 calendar-day timeframe, the grievant/complainant
can file an appeal to the USDOL. The appeal must be filed with the USDOL no later
than 120 calendar days of the filing of the grievance with the State, or the filing of the
appeal of a local grievance with the State. A copy of the appeal must be simultaneously
provided to the appropriate Regional Administrator and the opposing party.

An appeal must be filed within 60 days of the receipt of the decision being appealed in
cases where a decision has been reached and the party to which such a decision has
been adversely impacted wishes to appeal to the Secretary. A copy of the appeal must
be simultaneously provided to the appropriate USDOL Regional Administrator and the
opposing party.

Section 667.650 states that a local area found in substantial violation of WIA Title I and
which has received a notice from the Governor that either all or part of the local plan will
be revoked or that a reorganization will occur, may appeal such sanctions to the
USDOL Secretary under WIA Section 184(b). These appeals must be filed no later than
30 days after receipt of written notification of the revoked plan or imposed
reorganization. A copy of the appeal must be simultaneously provided to the Governor.

The Request for Review/Appeal must be submitted by certified mail (return receipt) to:
Secretary, U. S. Department of Labor, Washington, D.C. 20210, Attention: ASET.

B. COMPLAINT PROCEDURES FOR WAGNER-PEYSER EMPLOYMENT

SERVICE (ES) ACTIVITIES

Background/Underlying State and Federal Policy

Federal regulations at 20 CFR Part 658, Subpart E, provide that each state shall
establish and maintain an employment service complaint system that includes
procedures at the local, State and Federal level for processing these complaints.

In addition, any person who believes he or she, or any specific class of individuals, has
been subjected to unlawful discrimination in a Wagner-Peyser program (including
employees or and applicants for employment with the agency administering the
program) may file discrimination complaints by following the procedures in the Agency
for Workforce Innovation Discrimination-Complaint Procedures.

Special handling procedures are required for complaints filled by Migrant and Seasonal
Farm Workers (MSFW) that do not allege unlawful discrimination. The RWB shall
attempt to resolve the MSFW complaint. IF MSFW complaints cannot be resolved
within five working days of receipt of complaint by the RWB, the complaint form and
copies of all documents in the complaint file are forwarded to the Agency for Workforce
Innovation, Monitor Advocate Office, Caldwell Building-Suite 150, 170 East Madison
Street, Tallahassee, Florida 32399-4133. Attention: Senior Monitor Advocate.
Complaints alleging unlawful discrimination in the MSFW program may be filed in
accordance with the Agency for Workforce Innovation Discrimination-Complaint
Procedures.

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Federal regulations at 20 CFR 658.415 state that non-ES related complaints
(employment, health and safety, etc.) must be forwarded as soon as possible after
being received. These complaints shall be sent to Agency for Workforce Innovation,
Office of General Counsel, 107 East Madison Street, MSC 110, Tallahassee, Florida,
32399-4128, or to the appropriate federal agency with a copy of the complaint sent to
AWI Office of General Counsel. (See Section C for federal agencies and addresses.)

I. Regional Workforce Board/One-Stop ES Complaint/Resolution Procedures

Complaints that are related to the Wagner-Peyser employment services that do not
allege unlawful discrimination are handled by the career center manager or complaint
specialist. The manager/specialist will maintain a separate file for each complaint and
enter the complaint on the complaint log. The local RWB will attempt to resolve all ES-
related complaints.

The complaint is resolved when the complainant is satisfied with the outcome; the
complainant chooses not to elevate to the next level; or when the complainant has not
responded within 20 working days after correspondence has been mailed for ES
complaints and within 40 working days for MSFW complaints.

If the ES complaint is not resolved within 15 working days, then the complaint and
associated file documents are forwarded to the Agency for Workforce Innovation, Office
of One-Stop and Program Support, Caldwell Building-Suite 105, 107 East Madison
Street, Tallahassee, Florida, 32399-4133, Attention: ES Complaint Coordinator.

Within five days after the end of the quarter, the local career center manager will mail
the Complaint Logs to the Senior Monitor Advocate at the address included in the
MSFW procedures above.

The MSFW complaints involving an allegation of noncompliance with assurances

regarding wage and hour law or other employment conditions are to be forwarded to the
nearest USDOL Wage and Hour office. Check the USDOL web site at
http://www.dol.gov/esa/whd/ to find the local office nearest you.

For MSFW violations of Occupational Safety and Health Administration (OSHA)

Directives, complaints should be forwarded to the USDOL, Occupational Safety and
Health Administration. (See address in the chart on the last page of Section C.)

The following conditions are identified in 20 CFR 658.501(a) as the basis for
discontinuation of services to employers:

1. Employer submits and refuses to alter or withdraw job orders containing

specifications which are contrary to employment related laws;

2. Employer submits job order and refuses to provide assurances that the jobs
offered are in compliance with employment-related laws;

3. Employer is found through field checks or otherwise to have misrepresented the

terms or conditions of employment specified on the job order or to have failed to
comply fully with assurances made on the job orders;
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 4. The career center is notified by enforcement agency that the employer has
violated an employment related law;

5. Employer, following investigation of complaint, is found to have violated

employment service regulations;

6. Employer refuses to accept qualified workers referred;

7. Employer refuses to cooperate in field checks; and

8. Employer repeatedly causes discontinuation proceedings to be initiated.

More detail on the ES Complaint System (20 CFR sections 658.411-418) can be found
in the Complaint Resolution Handbook, e.g., the completion of the complaint filing,
assigning, and handling ES-related complaints, complaint resolution, referrals, hearings,
etc. Also, a list of referral agencies is available in the Complaint Resolution System
Handbook that has been provided to each RWB, local Representative, and career
center.

Note: Nothing included in this paper precludes a grievant/complainant from

pursuing a remedy authorized under another federal, State, or local law.

C. REPORTING CRIMINAL FRAUD AND ABUSE, DISCRIMINATION, HEALTH

AND SAFETY, AND EMPLOYMENT COMPLAINTS/VIOLATIONS

Criminal fraud and abuse, discrimination, health and safety, and employment,
complaints that violate federal laws, regulations, and directives are handled differently
than the program related complaints/grievances handled by local and state hearing and
appeal procedures.

I. Reporting Criminal Fraud and Abuse

WIA Section 667.630 describes the process for reporting complaints and/or reports of
criminal fraud and abuse. Complaints/reports must be reported immediately to the
USDOL Office of Inspector General, Office of Investigations, Room S5514, 200
Constitution Avenue NW, Washington, D.C. 20210.

The complaint or report can also be mailed to the USDOL Southeast Regional Inspector
General for Investigations, Office of Investigations, Sam Nunn Atlanta Federal Center,
61 Forsythe Street, SW, Suite 6T1, Atlanta, Georgia 30303 with a copy simultaneously
provided to the Employment and Training Administration.

Reports or complaints alleging criminal fraud and abuse may also be reported through
USDOL's Hotline at 1-800-347-3756.

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II. Reporting WIA, TANF/WT, FSET, and Wagner-Peyser Discrimination
Complaints

WIA Section 667.275(a) requires that recipients of financial assistance under WIA Title
I, as defined in 29 CFR 37.4, comply with the requirements of WIA Section 188 and its
implementing regulations at 29 CFR part 37, along with other federal requirements
related to nondiscrimination.

Under WP, discrimination complaints may be filed directly with a local-office equal
opportunity representative, when such has been designated and trained, with the state
agency having administrative responsibility for WP programs, or with the Civil Rights
Center, U.S. Department of Labor. (See 20 CFR 658.411.)

Under the FSET program, individuals who believe that they have been subject to
discrimination may file a written complaint with the United States Department of
Agriculture, Office of the Hearing Clerk, Room 112, Administration Building,
Washington, D.C. 20250 (See 7 CFR part 15.) Alternatively any person who believes
he or she, or any specific class of individuals (including employees of and applicants for
employment with an agency administering the FSET program), has been subjected to
unlawful discrimination under FSET program may file a complaint in accordance with
the Agency for Workforce Innovation Discrimination-Complaint Procedures.

Under Florida law, employees or applicants may also choose to file employment
complaints with the Florida Commission on Human Relations. (See Section 760.06,
Florida Statutes.) Contact the following entities for discrimination, employment, health
and safety, or Florida Law violations/complaints:

Florida Commission on Human Relations U. S. Department of Labor,

Florida Law Violations Civil Rights Center
2009 Apalachee Parkway, Suite 100 Discrimination Complaints
Tallahassee, Florida 32301 200 Constitution Avenue, NW,
(850) 488-7082 Room N-4123
1-800-342-8170 (voice and TTY) Washington, D. C. 20210
U. S. Equal Employment Opportunity Commission USDOL Occupational Safety and Health
(EEOC) Administration (OSHA)
Employment Complaints Safety and Health Violations
Miami District Office 200 Constitution Avenue, NW
One Biscayne Tower Washington, D.C. 20210
2 South Biscayne Boulevard, Suite 2700
Miami, Florida 33131
(305) 536-4491 or 1-800- 669-4000
TTY (305) 536-5721 or 1-800-669-6820
EEOC USDOL Office of Inspector General, Office
Tampa Area Office of Investigations
501 East Polk Street, Suite 1000 200 Constitution Avenue, NW
Tampa, Florida 33602 Room S-5014
(813) 228-2310 or TTY (813) 228-2003 Washington, D. C. 20210.

SUPERSESSION:
WPDG 00-004, Issued March 15, 2004

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