[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: 20CFR636.6]

[Page 324-326]
 
                      TITLE 20--EMPLOYEES' BENEFITS
 
 CHAPTER V--EMPLOYMENT AND TRAINING ADMINISTRATION, DEPARTMENT OF LABOR
 
PART 636--COMPLAINTS, INVESTIGATIONS AND HEARINGS--Table of Contents
 
Sec. 636.6  Complaints and investigations at the Federal level.

    (a) General; final determination of reliable and probative evidence. 
Where local administrative remedies have been exhausted, section 144(c) 
of the Act requires that a final determination of the complaint shall be 
made within 120 days after the Department receives the complaint. The 
Department's resolution of non-criminal matters pursuant to section 
144(c) of the Act consists of the final determination under 
Sec. 636.8(e) of whether there is reliable and probative evidence to 
support the allegation or belief that a grantee or subrecipient is 
failing to comply with the requirements of the Act, regulations, grant 
or other agreement under the Act.

[[Page 325]]

    (b) Complaints. (1) Every complaint shall be filed in writing before 
the commencement of any investigation or corrective action shall be 
required. Complaints alleging discrimination under section 167, will be 
filed with the Regional Director, Office of Civil Rights (OCR). All 
other JTPA complaints will be filed with the appropriate Grant Officer. 
However, a complaint timely filed with either the Grant Officer or the 
Regional OCR Director shall be deemed properly filed and shall be 
referred (as necessary) to the appropriate office. The complaint shall 
be filed only after the grantee level procedures in Sec. 636.3 have been 
exhausted and no later than 30 days from the date of receipt of the 
written decision or notice required by Sec. 636.3. The complaint should 
contain the following:
    (i) The full name, telephone number (if any), and address of the 
person making the complaint.
    (ii) The full name and address of the respondent (the grantee or 
subrecipient or person against whom the complaint is made).
    (iii) A clear and concise statement of the facts, including 
pertinent dates, constituting the alleged violation.
    (iv) Where known, the provisions of the Act, regulations, grant or 
other agreements under the Act believed to have been violated.
    (v) A statement disclosing whether proceedings involving the subject 
of the complaint have been commenced or concluded before any Federal, 
State or local authority, and, if so, the date of such commencement or 
conclusion, the name and address of the authority and the style of the 
case.
    (vi) A copy of the final decision of the recipient or subrecipient 
issued pursuant to Sec. 636.3.
    (2) A complaint will be considered to have been received upon 
receipt by the appropriate Grant Officer. To be acceptable, the 
complaint must be a written statement sufficiently precise to both 
identify those against whom the allegations are made and to fairly 
afford the respondent an opportunity to prepare a defense. A complaint 
may be amended to cure defects or omissions, or to clarify and amplify 
allegations made therein, and such amendments relate back to the 
original filing date for purposes of timely filing.
    (3) A complaint once filed may be withdrawn only with the consent of 
the Grant Officer. If the complainant fails to cooperate or is 
unavailable, the complaint may be dismissed upon reasonable notice to 
the last known address of the complainant.
    (c) Investigation of complaints. Whenever the Grant Officer receives 
a complaint filed in accordance with paragraphs (a) and (b) of this 
section, the complaint shall be investigated if it alleges that any 
person, grantee or subrecipient has failed to comply with the 
requirements of the Act, regulations, grant or other agreements under 
the Act. The Grant Officer shall promptly issue a notice to the grantee 
or subrecipient which shall include a copy or summary of the complaint 
and which shall direct the grantee or subrecipient to forward a copy of 
the complete administrative file, including a copy of the certified 
verbatim transcript of the hearing, within 15 days of receipt of such 
notice to the Grant Officer. Such investigation shall be completed and a 
conclusion made pursuant to Sec. 636.8(e) within 120 days of the filing 
of the complaint, except that the time may be extended with the written 
consent of all the parties.
    (d) Onsite review and other bases for investigation. If after an 
onsite review, monitoring visit, review of reports, data or other 
information, the Grant Officer has reason to believe that a grantee or 
subrecipient is failing to comply with the requirements of the Act, 
regulations, grant or other agreements under the Act, the Grant Officer 
or other designated authority shall inquire into the matter.
    (e) Utilizing other services. With the consent and cooperation of 
State agencies charged with the administration or enforcement of State 
laws, the Secretary may elect for the purpose of carrying out this part, 
to utilize the services of State, local and Tribal agencies and their 
employees, and notwithstanding any other provision of law, may 
reimburse, in whole or in part, such State and local agencies and their 
employees for services rendered for such purposes.

[[Page 326]]

    (f) Criminal investigation. Notwithstanding any other provision of 
this part, investigation by the Department of any matter concerning a 
potential Federal criminal violation shall be conducted as the Inspector 
General shall direct pursuant to the powers granted by the Inspector 
General Act of 1978, Pub. L. 95-452, 92 Stat. 1101.