[Code of Federal Regulations]
[Title 20, Volume 3]
[Revised as of April 1, 2003]
From the U.S. Government Printing Office via GPO Access
[CITE: 20CFR636.3]

[Page 322-324]
 
                      TITLE 20--EMPLOYEES' BENEFITS
 
 CHAPTER V--EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR
 
PART 636--COMPLAINTS, INVESTIGATIONS AND HEARINGS--Table of Contents
 
Sec. 636.3  Complaint and hearing procedures at the grantee level.

    (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.

[[Page 323]]

    (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.

[[Page 324]]

    (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.