Adult, Dislocated Worker, and Youth Activities

The entire document "Guidance in Negotiating Costs and Services of Vermont's Comprehensive One Stop Service Delivery System Under the Workforce Innovation and Opportunity Act of 2014 (WIOA)" issued by Governor Scott on June 30, 2017 is included in this plan in the Common Elements Section - question III.b.2. Section VI states:

“If a required One-Stop partner disagrees with the Governor's decision about the partner program's contribution to the One-Stop infrastructure funding, it may appeal the decision within 10 business days. Appeals shall be made in writing to the SWDB and shall describe the basis for objection, propose an agreeable contribution amount, and supply relevant information for the SWDB to make an infom1ed decision. The SWDB shall consider the appeal and, at the chair's discretion, may make a determination by action of the operating committee or majority of the entire board. The appealing partner shall be notified in writing of the SWDB decision to uphold the Governor's determination or otherwise alter the partner's required contribution amount within two weeks. The SWDB determination shall be final.”

VDOL's Grievance and Complaint Process is located here: 

Section l: Purpose:

The Vermont Department of Labor (VDOL) is committed to fair and timely resolution of complaints and grievances, from any person or organization, relating to VDOL's administration of federal programs. The procedure outlined in this document will cover any complaints or grievances relating to the federal programs and grants administered by the Workforce Development Division (WDD) Employment Service (ES). These include, but are not limited to, WIA/WIOA, Wagner-Peyser Act, Trade Adjustment Act, Jobs for Veterans Service Grant, Migrant and Seasonal Farmworker (MSFW), Registered Apprenticeship, MSHA, and special grant funds, such as National Dislocated Worker Grants.

Section 2: Program Administration Goal:

The VDOL will administer federal programs and funding in a manner that fully complies with the law; ensures the accessibility of program services and resources to all persons who may be, or who are determined, eligible; trains staff and monitors performance and data to ensure that service delivery, allocation of resources, and decisions and determinations are made consistent with applicable laws and rules, are free of bias or discriminatory motive, and are provided in a manner that is respectful, courteous, and professional. By federal law, VDOL is required to "attempt to resolve the complaint immediately, and may, if necessary, conduct a further investigation" (20 C.F.R. § 658.411(d)(4)(i)).

Section 3: Persons Filing a Complaint:

A complaint may be brought to the VDOL's attention through any mean or method, whether verbally or in writing. A complaint may be presented to VDOL by the person/complainant, by a person who is assisting the complainant, or by a person who may have simply witnessed the situation or action giving rise to a complaint. Consistent with applicable laws and a fair determination of the complaint, the VDOL shall, to the maximum extent possible, keep confidential any personal information, as well  as the identity of the complainant and any other persons who furnish information relating to an investigation. VDOL staff shall ensure that they do not release or discuss any confidential or personal information without a VDOL authorized release form, signed by the complainant, to allow staff to discuss the matter with the person assisting the complainant.

The complaint may be, but is not required to be, made in person. It can be transmitted to VDOL via any reasonable method (for example: verbally, in writing, phone, fax, text, email, postal mail, etc.). Any staff member who receives a complaint shall:

1. 1. Record or assist the complainant in recording the complaint on the VDOL ES Complaint Form.
   2. Record the complaint in the VDOL Complaint Log, outlining as much detail and information as is reasonably available at the time of entering the data into the log, including the names and contact information (home address, telephone number(s) and email address) for the complainant. It is very important to accurately record the person's name and contact information.
   3. Keep copies of any document or materials given by the complainant
   4. Immediately forward the complaint information to the appropriate VDOL staff person(s) as outlined in this policy.

Section 4: Types of Complaints:

Minor Complaints:

Not all complaints rise to the level of a formal review. For example, a client may complain that he/she has been waiting too long to see a staff member, or that he/she needs assistance with computer log-in. The resolution of those types of complaints should be relatively simple and apparent. In cases where the staff can assist and resolve the matter quickly and properly, staff shall do so.

Reportable Complaints:

In general, VDOL might anticipate certain types of complaint, such as:

• A complaint regarding a program's regulations or policies that may deny or limit services.
• A complaint about Employment Service actions or omissions.
• A complaint regarding service delivery by a VDOL staff person(s).
• A complaint regarding service delivery by a partner agency, or an organization or provider to whom VDOL has made a referral.
• A complaint against an employer to which the applicant was referred by Employment Service.
• A complaint that claimant was provided inaccurate or untimely information that adversely affected the claimant's services or benefits, or their decision-making or actions in relationship to services or benefits.
• A violation of employment related law(s) by an employer associated with the VDOL.
• A complaint of discrimination, harassment, intimidation or retaliation.

The above examples are illustrative; not intended to be exhaustive of complaints that VDOL might receive. All staff shall be active listeners and attentive to any information that is being shared with staff that might in any way be considered a complaint, and shall take immediate steps to document the information and initiate the complaint process to ensure a fair and timely resolution of the complainant.

Be aware that certain complaints are governed by provisions of state and federal laws and regulations. Do not attempt to determine the applicable law; rather, ensure that a Regional Manager is advised of complaints as soon as they are brought forward.

Section 5: Procedure for Handling a Complaint:

If present, a Regional Manager or Regional Supervisor shall take all complaints. If a Regional Manager or Supervisor is not present, a VDOL staff member shall:

1. Record or assist the complainant in recording the complaint on the VDOL ES Complaint Form.
2. Record the complaint in the VDOL Complaint Log
3. Inform the complainant that a Regional Manager will be notified of the complaint; and
4. Immediately notify a Regional Manager.

Instructions for Completing Employment Service Complaint Form/Log:

In completing the Complaint Form and Complaint Log for a reportable complaint, VDOL staff members shall:

1. Provide the complainant with a copy of the VDOL Employment Service Complaint Procedure.

2. Utilize only the form and log provided by VDOL Central Office to ensure compliance with federal regulations. Staff members shall comply with state and federal laws and rules relating to the privacy of data, social security numbers and other Personally Identifiable Information.
3. Ensure that the original and one copy of the complaint are maintained at the local office.
4. Provide the complainant with a copy of the statement entered on the Complaint Form. Ask if the statement reflects his/her complaint. If not, revise the Complaint Form until the complaint is recorded to the individual's satisfaction. Ask the person to date and sign or initial the complaint.
5. Sign and date the complaint and provide the individual a copy.

Once the nature of the complaint and the programs involved has been determined, the Regional Manager or Regional Supervisor shall:

1. Ensure that the staff member(s) involved in any conversation with the person(s) who made the complaint write a clear and accurate report of the complaint, conversation and any relevant information related to the complaint.
2. Ensure that any, and all materials, documents, emails, phone messages, etc., relating to the complaint are secured and preserved.
3. Ensure that the complaint has been logged into the VDOL Complaint Log.
4. Send a copy of the Complaint Form with related documents to the WDD Director.
5. Ensure that the confidentiality of the complaint and situation is maintained by all VDOL staff.
6. Ensure that the person(s) making the complaint is treated respectfully by all VDOL staff, and that they suffer no retaliation, adverse actions or consequences for their complaint.
7. Within not more than 24 hours, or sooner whenever possible, make an initial determination of the type of complaint, and, if necessary, contact the appropriate VDOL person(s) as outlined in this procedure.

It is expected that VDOL staff members will attempt to resolve any minor complaints that are called to their attention. VDOL staff shall record and report all reportable complaints to the Regional Manager. This mandate includes any, and all complaints that may be made against any VDOL staff member, other, state agencies, partner organizations, or their staff members. Failure to report a complaint is not an option, even if the complaint is against the recording staff member, a co-worker or another employee of the department, State, or partner organization. Staff shall advise a Regional Manager if he/she becomes aware of a complaint that has not been reported by another staff member. If a staff member fails to   report a complaint, that omission may subject him/her to disciplinary action, up to and including dismissal. The Regional Manager shall immediately inform the Commissioner and WDD Director of any complaints regarding VDOL staff.

In a situation where the Regional Manager is attempting to resolve a complaint, the timeframes outlined under federal law shall be strictly followed (see 20 C.F.R. § 658.41 l(d)(2)(ii)). Regional Managers shall take steps to resolve the complaint within 15 working days after receipt of the complaint, unless the Regional Manager has made a written request for information. In resolving a complaint, the Regional Manager shall attempt to secure resolution confirmation, in writing, from the complainant. If the Regional Manager cannot resolve the complaint within these timeframes, the complaint shall be

forwarded to the WDD Director for State level resolution. The Regional Manager shall notify the complainant, in writing, of a referral to the VDOL Central Office.

The measure of whether something has been resolved is determined by the client's opinion, not the VDOL staff (see 20 C.F.R. § 658.41 l(e), outlined below). The complainant shall indicate satisfaction with the outcome. An Employment Service Complaint is considered resolved when:

1. The complainant indicates satisfaction with the outcome via written correspondence
2. The complainant chooses not to elevate the complaint to the next level of review
3. The complainant or the complainant's authorized representative fails to respond within 20 working days, or in cases where the complainant is an MSFW, 40 working days of a written request by the appropriate local employment service office or State agency
4. The complainant exhausts all available options for review
5. A final determination has been made by the enforcement agency to which the complaint was referred.

Section 6: Complaints Required to be Referred:

The Regional Manager shall try to resolve all complaints, except in the following circumstances:

• All complaints alleging discrimination by race, color, religion, national origin, sex, sexual orientation, gender identity, age, disability, or genetic information or complaints alleging retaliation for protected activity shall be forwarded to the VDOL EEO Officer.
• Complaints alleging violations of employment-related laws shall be forwarded to the WDD Director who shall immediately refer them to the appropriate enforcement authority.
• Complaints involving MSFWs shall be forwarded to the State Monitor Advocate.
• Complaints alleging criminal conduct shall be referred to the VDOL Commissioner's Office for investigation (see Incident Reporting Policy and Procedure).

Section 7: State Level Review:

If the complaint is filed initially with the VDOL Central Office, and is not transferred to a local office nor referred to an enforcement agency under Section 6, the Employment Service Complaint Officer (ESCO) shall investigate and attempt to resolve the complaint immediately upon receipt. If the VDOL receives the complaint on referral from a local office, the WDD Director shall forward the complaint to the ESCO who shall attempt to resolve the complaint immediately and may, if necessary, conduct a further investigation. The State Monitor Advocate will normally serve as the VDOL's ESCO, unless, in the opinion of the VDOL Commission, the specific circumstances warrant investigation by another individual. The ESCO, or other complaint investigator, shall be assigned complaint review and investigation at the State level, reporting information and findings to the VDOL Commissioner and WDD Director. If resolution has not been accomplished within 30 working days (20 working days with respect to complaints by MSFWs) after the complaint was received by the VDOL (whether  the complaint was received directly or at a local office), the VDOL shall make a written determination regarding the complaint and shall send copies to the complainant and the respondent, except that if the VDOL has made a written request for information these time periods shall not apply until the complainant's response is received.

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VDOL EMPLOYMENT SERVICE COMPLAINT MANUAL

Section 8: Written Requests for Information:

In the course of investigating a complaint, the investigating officer may make a written request for information. The resolution timeframes shall not apply until the complainant's response is received. If the complainant or the complainant's authorized representative fails to respond within 20 working days or, in cases where the complainant is an MSFW, 40 working days of a written request, the complaint shall be considered resolved.

Section 9: Written Determinations:

If the VDOL issues a complaint determination, the determination shall be made in writing, sent by certified mail and include the following:

• The results of any VDOL investigation.
• Conclusions reached on the allegations of the complaint.

• If a resolution was not reached, an explanation of why the complaint was not resolved.
• If the complaint is against an employer, and the VDOL has found that the employer has violated ES regulations, the determination shall state that the VDOL will initiate procedures for discontinuation of services to the employer in accordance with 20 C.F.R. part 658, subpart F.
• If the complaint is against an employer and has not been referred to an enforcement agency and the VDOL has found that the employer has not violated ES regulations, a notice to the complainant of the opportunity to request a hearing within 20 working days after the certified date of receipt of the notification.
• If the complaint is against the VDOL, an offer to the complainant of the opportunity to request, in writing, a hearing within 20 working days after the certified date of receipt of the notification.

Section 10:  State Hearing Notification Letter:

If the VDOL receives a written request for a hearing, within 20 working days after the certified date of receipt of the resolution, the VDOL shall notify the respective parties, in writing, of the following:

• That the parties will be notified of the date, time, and place of the hearing
• The parties may be represented by an attorney or other representative, at their own expense
• The parties may bring witnesses and/or documentary evidence to the hearing
• The parties may cross-examine opposing witnesses at the hearing; and
• The decision on the complaint will be based on the evidence presented at the hearing.

Section 11: State Hearing Officer:

The VDOL Commissioner will appoint a Hearing Officer (HO), to oversee any complaint hearing, and will ensure that the HO has the qualifications, skills, and abilities to fairly, accurately, and without bias, assess the information and determine the facts.

Section 12: State Hearing Procedure:

A hearing shall be scheduled on a date and time mutually acceptable to the parties, but consistent with timeframes that ensure federal compliance. The hearing shall be conducted in a fair and impartial manner in accordance with the following procedures:

• All testimony at the hearing shall be recorded. Copies will be made available to the parties upon request.

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VDOL EMPLOYMENT SERVICE COMPLAINT MANUAL

• Parties shall be afforded the opportunity to present, examine, and cross-examine witnesses.
• The Hearing Officer may elicit testimony from witnesses but, shall not act as advocate for any party.
• Any documentary evidence offered by a party and accepted by the Hearing Officer shall be included in the record. The party submitting the evidence shall concurrently provide copies to the other parties.
• Federal and State rules of evidence shall not apply; however, rules or principles designed to assure production of the most credible evidence available and to subject testimony to test by cross-examination, shall be applied where reasonably necessary. The Hearing Officer may exclude irrelevant, immaterial, or unduly repetitious evidence.
• Upon request, the case record, or any portion thereof, shall be available for inspection by any party at, prior to, or subsequent to the hearing. If copies are requested, the Department has the right to charge reasonable costs related to staff time to compile and produce such material.
• The Hearing Officer may allow other appropriate individuals, organizations, or associations to participate in the hearing as amicus curiae (friends of the court) with respect to any legal or factual issues relevant to the complaint. Documents submitted shall be included in the record.
• The State Hearing Officer may reschedule the hearing at the request of a party or its representative, provided the reschedule shall not cause undue delay or violate federal timeframes.
• With the consent of the State Workforce Agency and the· Hearing Officer, the party who requested the hearing may withdraw the request for the hearing in writing at any time prior to the hearing.

In conducting the hearing, the Hearing Officer shall:

• Regulate the course of the hearing
• Issue subpoenas if necessary
• Ensure that all relevant issues are considered
• Rule on the introduction of evidence
• Take all actions necessary to ensure an orderly proceeding; and

• If feasible, resolve the dispute at any time prior to the conclusion of the hearing.

The Hearing Officer's determination shall be in writing, based on the entire record, and include findings of fact and law, and the reasons thereof. The Hearing Officer shall send copies of the decision to all required parties and shall inform both the complainant and respondent that an appeal may be filed. For employment service decisions, appeals shall be with the Regional Administrator within 20 working days of the date of the decision in accordance with 20 C.F.R. § 658.418. For any WIA/WIOA related hearing, appeal shall be to the Secretary of the USDOL in accordance with 20 C.F.R. § 683.610. The decision shall provide the specifics as to which office, address and time for the parties to file any appeal.

Section 13: Complaints Involving Discrimination, Harassment. Intimidation or Retaliation:

The VDOL has a formally trained EEO Officer, appointed by the VDOL Commissioner. All complaints alleging discrimination, harassment, intimidation or retaliation· based upon race, color, religion, national origin, disability, sex (including pregnancy and gender identity), age, genetic information, parental status, sexual orientation or physical or mental status unrelated to job performance - including a

complaint from someone who alleges that he/she has witnessed such - shall be referred to the VDOL EEO Officer. The EEO Officer is responsible for receiving, reviewing and investigating all complaints about discrimination, and required to make findings and recommendations to the VDOL Commissioner for the resolution of all complaints. Such review and determination shall be done in compliance with 20 C.F.R. § 658.41l(c) and 29 C.F.R. Part 37. The EEO Officer shall utilize current federal reporting forms and file such forms with the USDOL Civil Rights Division.

Section 14: Situations Involving Life-Threatening Conduct:

For situations involving imminent danger to life or property, immediately contact law enforcement authorities and the VDOL Commissioner's Office.

Section 15: Complaints Involving VDOL Programs Administered by Other VDOL Divisions:

VDOL oversees many programs that are not under the direction or control of the Workforce Development Division or the Career Resource Centers but are administered by other VDOL divisions. Complaints may relate to other VDOL program areas. In that event, the complaint shall be referred to the VDOL Commissioner's Office. For example, complaints may be received on the following issues: Unemployment Insurance (UI), UI Employer Audits or Tax Assessment, Wage and Hour and Employment Practices, VOSHA, Workers Comp, Labor Market Information or other areas.

Section 16: Complaints Involving Non-VDOL Persons or Organizations:

If VDOL staff receives a complaint about a non-VDOL staff person or organization working in partnership with the VDOL Employment Service, the Regional Manager shall first attempt to resolve the complaint for the client by engaging the person or organization with whom VDOL is working to discuss the complaint and resolution. If resolution is not possible, the Regional Manager shall contact the VDOL Commissioner and WDD Director.

Section 17: Complaints Involving Other State of Vermont Agencies or Departments:

If the complaint involves another state agency or department, a Regional Manager shall advise the VDOL Commissioner's Office and WDD Director of the complaint. The Commissioner or WDD Director shall contact and advise the appropriate state agency head. The completed complaint form and other relevant documents shall be sent by VDOL to the other state agency, but that transmittal shall be handled by the VDOL Commissioner or WDD Director. Complaints against multiple agencies are handled as separate complaints to each agency.

Section 18: Other Jurisdictions, State Agencies. and VDOL's Mandate for Follow-Up:

• If a complaint concerns an employer in another state, the state agency receiving the complaint shall transfer the complaint directly to the state agency in the other state. Copies of the referral must be sent to the complainant and to the Regional Administrator with jurisdiction over both states.
• If a complaint involves more than one office of a state agency or alleges statewide practices in violation of the regulations or involves the VDOL, it is assigned to VDOL. In all cases where a complaint is being referred to another office or agency for handling, a copy of the referral shall be provided to the complainant.

• If a complaint concerns a violation of employment related law, it shall be referred to the enforcement agency with jurisdiction over that law.

• When an ES related complaint is referred to another enforcement agency, the VDOL shall provide the complainant with a periodic status report (monthly on MSFW complaints and quarterly on Non-MSFW complaints).
  • If a complaint is referred to an enforcement agency for determination, the following steps should occur: The complaint and the referral should be recorded on the Complaint System Log and referred to the WDD Director. The WDD Director shall forward the complaint to the appropriate enforcement agency. When the final determination is received back from the enforcement agency, the complaint should be considered "resolved". If no violation is found, the case is closed. If a violation is found, the procedures for Discontinuation of Services at 20 C.F.R. part 658, subpart F shall be initiated.

Section 19: Processing Apparent Violations: 20 C.F.R. § 658.419:

If a VDOL employee observes, has reason to believe, or is in receipt of information regarding a suspected violation of employment related laws or ES regulations by an employer, except as provided at Sec. 653.503 (field checks) or Sec. 658.411 of this chapter (complaints), the employee shall document the suspected violation and refer this information to the Regional Manager. The Regional Manager shall forward the information to the VDOL Commissioner and the WDD Director.

Section 20: Complaint Logs:

Regional Managers shall forward a copy of the Complaint Logs to the ESCO on a quarterly basis for recordkeeping. The ESCO shall maintain the master Complaint Log at the Central Office. The ESCO shall forward the Complaint Log to the VDOL Commissioner monthly. The VDOL Complaint Log will be forwarded by the VDOL Commissioner's Office to the U.S. Department of Labor Regional Administrator on a quarterly basis.