(a) Policy. (1) Each grantee shall establish and maintain a
procedure for resolving any complaint alleging a violation of the Act,
regulations, grant or other agreements under the Act, including any
complaint arising in connection with the JTPA programs operated by the
grantee or its subrecipients. Such complaint procedures must meet the
requirements of this section. The complaint procedure shall provide for
final resolution of complaints within 60 days after filing the
complaint. Where existing complaints or grievance procedures include the
elements set forth in this section, grantees may adopt such mechanism
as, or as part of, their JTPA procedure.
(2) Participants shall be provided, upon enrollment into employment
or training, with a written description of the complaint procedures
including notification of their right to file a complaint and
instructions on how to do so. Grantees should designate an individual to
monitor the operation of the complaint procedures, to ensure that
complaints and related correspondence are logged and filed, to ensure
that assistance is available for properly filling complaints, and to
ensure the availability, coordination, and promptness of all elements of
the procedures. Upon filing a complaint, and at each stage thereafter,
each complaint shall be notified in writing of the next step in the
procedure.
(3) Complaints may be brought by any individual or organization
including, but not limited to, program participants, subrecipients,
contractors, staff of the grantee or subrecipient, applicants for
participation or financial assistance, labor unions, and community-based
organizations.
(4) With the exception of complaints alleging fraud or criminal
activity, the filing of a complaint pursuant to this section must be
made within one year of the alleged occurrence.
(5) The grantee may delegate the authority to operate and maintain
the complaint and hearing procedure to its subrecipients except for
complaints between the grantee and its subrecipients (e.g., audit
disallowances), complaints involving more than one of its subrecipients,
or complaints directly involving the operations or responsibilities of
the grantee. Where the procedure is delegated, the grantee may provide
for an appeal to itself from the decision of the subrecipient or the
grantee may provide that the subrecipient's decision is the final
decision of the grantee. Where the procedure is delegated, the grantee
shall ensure that the procedures specified in this section are followed
and a decision issued promptly within 60 days after a complaint is
filed.
(6) When a participant is an employee of a grantee or subrecipient
and alleges that an occurrence constitutes a violation of the Act,
regulations, grant, or other agreements under the Act, as well as a
violation of the terms and conditions of employment under a State or
local law or a collective bargaining agreement, the participant may
pursue the complaint and hearing procedures under the State or local law
or the collective bargaining agreement, pursuant to Sec. 636.4. A
participant who selects the procedures provided in this section is not
precluded from filing a complaint under Sec. 636.4, unless otherwise
prohibited by State or local law, or applicable collective bargaining
agreement.
(b) Complaint procedures. The complaint resolution procedure shall
include:
(1) Opportunity to file a complaint. All complaints shall be in
writing.
(2) Opportunity for informal resolution of the complaint.
(3) Written notification of an opportunity for a hearing when an
informal resolution has not been accomplished. The notice shall state
the procedures for requesting a hearing and shall describe the elements
in the hearing procedures including those set forth in paragraph (c) of
this section.
(4) Opportunity to amend the complaint prior to a hearing.
(5) Opportunity for a hearing pursuant to paragraph (c) of this
section within 30 days of filing the complaint.
(6) A final written decision to the complainant which shall be made
within 60 days of the filing of the complaint and provided to the
parties by certified or registered mail, return receipt requested. The
decision shall include:
(i) A statement of facts and reason(s) for the decision.
(ii) A statement that the procedures delineated in this section have
been completed.
(iii) A statement of any remedies to be applied.
(iv) Notice of the right to file a complaint with the Grant Officer
pursuant to Sec. 636.6 where any party disagrees with the decision.
(c) Hearing procedure. A hearing shall be provided within 30 days
after filing a complaint. The hearing procedure shall include:
(1) Written notice of the date, time and place of the hearing, the
manner in which it will be conducted, and the issues to be decided.
Other interested parties may apply for notice. Such other interested
party is a person or organization potentially affected by the outcome.
The notice to other interested parties shall include the same
information furnished to the complainant and shall further state whether
such interested parties may participate in the hearing and if
applicable, the method by which they may request such participation.
(2) Opportunity to withdraw the request for hearing in writing
before the hearing.
(3) Opportunity to request rescheduling of the hearing for good
cause.
(4) Opportunity to be represented by an attorney or other
representative of the complainant's choice.
(5) Opportunity to call witnesses and introduce documentary
evidence. Recipients or subrecipients shall cooperate in making
available any persons under their control or employ to testify, if such
persons are requested to testify by the complainant.
(6) Opportunity to have records or documents relevant to the issues
produced by their custodian when such records or documents are kept by
or for the grantee or its subrecipient in the ordinary course of
business.
(7) Opportunity to question any witnesses or parties.
(8) The right to an impartial hearing officer.
(9) A verbatim record of the proceeding.
(10) A written decision from the hearing officer to the
complainant(s) and any other interested parties within 60 days of the
filing of the complaint. This period may be extended with the written
consent of all of the parties for good cause. The written decision shall
include a statement of facts, a statement of reasons for the decision
and a statement of any remedies to be applied. Where the hearing
officer's decision is the grantee's final decision it shall be provided
to the parties by certified or registered mail, return receipt
requested.
(11) Where a complaint procedure provides for a grantee's review of
the hearing officer's decision, the grantee shall complete its review
and provide a final written decision to the complainant(s), and any
other parties, by certified or registered mail, return receipt
requested, as provided in paragraph (c)(10) of this section within 60
days after the complaint is filed.
(12) Where local law, personnel rules or other applicable
requirements specify procedures in addition to those specified above,
similarly employed JTPA participants shall be notified of their right to
use the same procedures.
